•

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Chapter 1. Organization and Content of the U.S. Customs and Border
Protection (CBP) Inspector's Field Manual (IFM).
Chapter 2.

Mission and Conduct of Inspections Officers.

2.1
Mission Statement
2.2
Authority
2.3
Reserved
The Inspector and the Public
2.4
Uniforms, Badges and Identification
2.5
The Work Environment
2.6
Reporting Unusual Incidents
2.7
Hostage Situations
2.8
Dealing with Attorneys and Other Representatives
2.9
2.10 Land Border Integrity Program (Added 6/23/99; IN99-22)
Chapter 3.
3.1
3.2
3.3
3.4
Chapter 4.
4.1
4.2
4.3
4.4
4.5

The Organization of Inspections.
(Chapter removed and reserved 2/10/06;
(Chapter removed and reserved 2/10/06;
(Chapter removed and reserved 2/10/06;
(Chapter removed and reserved 2/10/06;

CBP 17-06)
CBP 17-06)
CBP 17-06)
CBP 17-06)

Conducting Research.
General Considerations
Sources and Organization of Immigration Law
Basic Research Methods
Factual Research and Service Data Bases
(Removed 2/10/06; CBP 17-06)

Policies and Procedures: Application for Admission. Each chapter from 11
I.
through 18 describes the policies and procedures peculiar to persons included in
the chapter title. Other special topics discussed within each chapter are noted in
the chapter descriptions.
Chapter 11. Persons Exempt Inspection.
11.1 Inspection and Examination
11.2 Members of the U.S. and NATO Armed Forces
11.3 American Indians Born in Canada
Chapter 12. United States Citizens and Other Nationals.
12.1 Inspection of U.S. Citizens
12.2 Evidence of Citizenship

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12.3
12.4
12.5
12.6
12.7
12.8
12.9
12.10

•

Oral Testimony
United States Passports
United States Passport Waivers
Other Documentary Evidence
Loss of Citizenship
Non-Citizen Nationals
Northern Mariana Islanders
Nationals of Former Trust Territories

Chapter 13. Returning Residents.
13.1 Inspection of Returning Lawful Permanent Residents (LPRs)
13.2 Returning Residents Lacking Evidence of Alien Registration
(Revised 5/16/05; CBP 9-05)
13.3 Returning Military Dependents
13.4 Question of Meaningful Departure
13.5 Returning Residents with SB-1 Visas
13.6 Readmission of Temporary Residents
13.7 Conditional Residents
Chapter 14. New Immigrants.

14.5

14.1 Inspecting New Immigrant Applicants
14.2 Passport Requirements
14.3 Inspection of Family Groups
14.4 Immigrant Visa Admission Processing Procedures
Admission of Certain Immigrant Children without Immigrant Visas
14.6 Conditional Residents
14.7 Immigrant Commuters

Chapter 15. Nonimmigrants and Border Crossers.
15.1 General Considerations and Processing Instructions (Revised
5/16/05; CBP 9-05)
15.2 Passports
15.3 Visas
15.4 Requirements and Procedures for Nonimmigrant Classes
15.5 NAFTA Admissions
15.6 Transit without Visa Admissions
15.7 Visa Waiver Program
15.8 Guam Visa Waiver Program
15.9 Border Crossing Card (BCC) Admissions
15.10 Entry of Nonimmigrant Workers during Labor Disputes
15.11 Special Interest Aliens (Revised IN02-34)
15.12 Correction of Erroneous Admissions
15.13 Nationals of Former Trust Territories

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15.14 Hong Kong Travel Documents
15.15 Cancellation of Nonimmigrant Visas under Section 222(g) of the
Act

15.16 Student and Exchange Visitor (SEVIS) Processing
Chapter 16. Special Classes.
16.1 Parole
16.2 Refugee Admissions
16.3 Asylees and Asylum Applicants
16.4 Temporary Protected Status (TPS) Cases
Chapter 17. Inadmissible Aliens.
17.1 Deferred Inspection (Revised 5/16/05; CBP 9-05)
17.2 Withdrawal of Application for Admission
17.3 Fraudulent Documents
17.4 False Claims to U.S. Citizenship
17.5 Waivers
17.6 Preparing Removal or Prosecution Hearings
17.7 Temporary Inadmissibility under section 235(c)
17.8 Detention of Aliens at Ports-of Entry
17.9 Medical Referrals
17.10 Abandonment of Lawful Permanent Resident Status
17.11 Asylum Claims/Safe Third Country Agreement with Canada.
(Revised 2/23/05; CBP 8-05)
17.12 Bonds
17.13 Visa Waiver Program Cases
17.14 Lookout Intercepts
17.15 Expedited Removal
17.16 Members and Representatives of Terrorist Organizations
17.17 Technical Notes
17.18 Use of Interpreters and Interpreter Services
Chapter 18. Criminal Prosecution (Added INS-TM2)
18.1 General
18.2 Criminal Offenses Under the INA
18.3 Types of Arrest
18.4 Arrest Authority
18.5 Arrests Based on IBIS or National Crime Information Center
(NCIC) Information
18.6 Warrantless Searches and Seizures
18.7 Degrees of Suspicion
18.8 Criminal Action Procedures
18.9 Procedures after the Arrest

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18.10
18.11
18.12
18.13

•

Jurisdiction and Venue
Case Presentation
General Rules of Evidence
Definitions

II.
Special Policies and Procedures for Land, Air, Sea, Preinspection and
Preclearance Stations, Special Programs. Each chapter from 21 through 27
contains a discussion of policies and procedures specific to the type of inspection
named in the chapter heading. Other special topics for each chapter are noted.
Chapter 21

Land Border Inspection (Added INS-TM2)

21.1
21.2
21.3
21 .4
21.5
21.6
21.7
21.8
21.9
21.10
(SENTRI)
21.11
21.12
Strikes
21.13

Land Border Inspection Procedures
Secondary Inspection
Persons Arriving by Common Carrier
Land Border Inspection Responsibilities
Mexican Border Crossing Cards
Canadian Border Crossing Cards
Use of Form 1-94
Commuters
Northern Border Inspection System (NorBIS)
Secure Electronic Network for Traveler's Rapid Inspection
Facilities Inspections
Emergency Procedures during Canadian Air Traffic Controller
Entry of Commercial Truck Drivers into the United States

Chapter 22. Airport Procedures.
22.1 General
22.2 Inspection Systems
22.3 Primary Inspection Procedures
22.4 Secondary Referrals
22.5 Inspection of Air Crewmembers
22.6 Processing Arrival Manifests and Flight Logs
22.7 Departure Manifest Procedures
22.8 Progressive Clearance
22.9 Emergency Procedures during Canadian Air Traffic Controller Strikes
22.10 Inspection of International-to-International (ITI) Transit Passengers
(Heading changed 11/17/98; IN99-04)
Chapter 23. Seaport Inspection.
23.1
23.2

General
Exceptions to Inspection Requirements

•
23.3
23.4
23.5
23.6
23.7
23.8
23.9
23.10
23.11
23.12
23.13
23.14
23.15
23.16
23.17
23.18
23.19
23.20

•

Inspecting Cargo Vessels
Inspecting Cruise Ships
Payoff and Discharge of Crewmembers
Refusals
Deserters and Abscondees
Stowaways
Mustering
Revocation of landing Permits
Performance of longshore Work by Crewmembers
Parole of Alien Crewmembers
Vessels Remaining beyond 29 Days
Ship Intelligence Cards
Departure Manifests
United States-Based Fishing Vessels
Vessels Serving on the Outer Continental Shelf (OCS)
Asylum Claims by Vessel Crewmembers or Stowaways
Special Interest Vessels/Non-Entrant Countries
Seaport database queries

Chapter 24. Preinspection and Preclearance (Added INS-TM2)
24.1 General
24.2 Foreign Preinspection and Preclearance Procedures
24.3 Departure Controls at Guam, Puerto Rico, and the U.S. Virgin Islands
24.4 Emergency Procedures during Canadian Air Traffic Controller
Strikes
Chapter 25. Private Aircraft and Vessels (Added INS-TM2)
25.1
25.2
25.3
25.4
25.5

Canadian Small Boat Permit Program
Procedures for Inspecting Private Aircraft
Inspection of Private Vessels
Snowmobiles
GATE Program

Chapter 26. Special Programs (Added INS-TM2)
26.1 INS Port Passenger Accelerated Service System (PORTPASS,
DCl, APP SENTRI)
26.2 Advance Passenger Information System (APIS)
26.3 Carrier Consultant Program (CCP)
26.4 Inspections Response Teams (IRT)
26.5 Immigration and Naturalization Service Passenger Accelerated
Inspection System (INSPASS)
26.6 Inspections Canine Program

•

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Chapter 27

Departure Controls (Added INS-TM2)

27.1 General
27.2 Prevent Departure Procedures
27.3 Aliens Seeking to Depart witnout Evidence of Compliance with
Federal Income Tax Laws
27.4 Protective Custody
27.5 Verification of Departure
27.6 Departure Controls at Guam, Puerto Rico and the U.S. Virgin
Islands
Chpater 28
28.1
28.2
28.3
28.4
28.5
28.6
28.7
28.8

Missing or Abducted Children and Runaways (Added INS-TM2)
Introduction
Related Legislation
Abductions, Internal Abductions and Runaways
Primary Inspection
Secondary Inspection
Lookouts
Sources of Assistance
Child Sex Tourism

III. Support Services, Tools and Equipment.
Chapter 31

Service Records (Added INS-TM2)

31.1
31.2
31.3
31.4
31.5
31.6
31.7
31.8
Records
31.9

Introduction to Service Records Systems
Systems Security Requirements
Introduction to Service Automated Systems
Image Storage and Retrieval System
Posting, Maintaining, and Cancellation of Lookouts
Lookout Intercepts
Responding to Inquiries Concerning Lookout Records
Regional Random Quality Review of INS Permanent Lookout
. (Added 2/16/06; CBP 18-06)

Chapter 32. Intelligence (Added INS-TM2)
32.1 INS Intelligence Program - General
32.2 Intelligence Collection Requirements; Instructions for Completing
an Intelligence Report (Forms G-392 and G-392A)
32.3 The OASIS Database [Reserved]
32.4 Headquarters INS Intelligence Bulletin Board
32.5 INS Forensic Document Laboratory (INS/FDL)

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32.6 EPIC Operations; Instructions for Completing Report of
Documented False Claim to Citizenship (Form G-329)
32.7 Interpol
Chapter 33

Multi-Agency Automated Systems (Added INS-TM2)

33.1
33.2
33.3
33.4
(CLETS)

Interagency Border Inspection System (IBIS)
National Crime Information Center (NCIC)
National Law Enforcement Telecommunications System (NLETS)
The California Law Enforcement Telecommunication System

Chapter 34

Tools and Equipment (Added INS-TM2)

34.1
34.2
34.3
34.4
34.5
34.6
34.7
34.8
34.9
34.10
34.12
34.13

General
Firearms and Other Defensive Equipment

Photophones
Machine Readable Document Readers
Admission Stamps and Security Ink
Government Vehicles
Audio Visual Equipment

IV. Management and Administrative Activities.
Chapter 41

Liaison Activities (Added INS-TM2)

41 .1 Liaison with Federal Inspection Agencies
41.2 International Agreements and Border Liaison
41.3 Liaison with International Air and Sea Carriers and Foreign
Governments
41.4 Liaison with Other Federal Agencies
41.5 Liaison with Port Authorities; Inspectional Facilities
Chapter 42
42.1
42.2
42.3
42.4
42.5

Transportation Agreements (Added INS-TM2)
General Considerations
Transit Agreements
Visa Waiver Program (VWP) Agreements
Guam Visa Waiver Program (GVWP) Agreements
Preinspection or Preclearance Agreements

•
42.6
42.7
42.8
42.9
IN99-34)

•

Foreign Territory or Adjacent Islands Agreements
Landing Rights and Carrier Requirements
Progressive Clearance
Section 273(e) Memorandum of Understanding (MOU) (Added

Chapter 43. Fines and Liquidated Damages (Added INS-TM2)
43.1
43.2
43.3
43.4
43.5
43.6
43.7
43.8
Chapter 44
44.1
44.2
44.3
44.4
44.5
44.6
44.7
44.8
44.9
44.10
44.11
44.12
44.13
44.14
44.15
Chapter 45

General
Administrative Fine Violations
Processing Administrative Fines at Ports-of-Entry
Passengers Arriving from Contiguous Territory
Processing Administrative Fines at the National Fines Office
Processing Liquidated Damages at Ports-of-Entry
Processing of Liquidated Damages by National Fines Office
Civil Document Fraud Penalties
Conveyance Seizures (Added INS-TM2)
Background
Violations
Probable Cause
Seizure Justification
Procedure
Conveyance Appraisal
Custody and Storage
Notification
Personal Interview
Returns Prior to Forfeiture
Procedure for Return
Judicial Forfeiture
Administrative Forfeiture
Disposal
Disposal by the United States Marshals Service
Bonds.

45.1

Posting, Cancellation and Breaching of Maintenance of Status

45.2
45.3
45.4
45.5
45.6
45.7
45.8

Posting a Bond
Procedures for Acceptance of a Bond
Control of Bonds
Call up Procedures
Transfer of Bonds
Grounds for Cancellation of a Bond
Procedures for Bond Cancellation

Bonds

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45.9 Grounds for Breaching a Bond
45.10 Procedures for Bond Breaches
45.11 Designation of Attorney in Fact
Chapter 46
46.1
46.2
Chapter 47
47.1
47.2
47.3
47.4
47.5
47.6
Chapter 48
48.1
48.2

Fees (Added INS-TM2)
General
Cash Collection at Ports-of-Entry
Statistical Reporting for Ports-of-Entry (Added INS-TM2)
General
Required Reports
Workforce Analysis Model (WAM)
Port OfficeManagement System (POMS)
Performance Analysis System (PAS)
Records of Inadmissible Passenger System (RIPS)
Overtime Policy and Audits (Added INS-TM2)
Overtime Policy
Overtime Audits

lliS#m4'§O-chapter-32-1

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INSERTS PLUS/Inspectors Field Manual/Chapter 1: Organization and Content of the U.S. Customs and Border Protection (CBP) Inspector's
Field Manual (IFM) (Revised 2/10/06; CBP 17-06)

Chapter 1:
Organization and Content of the U.S. Customs and
Border Protection (CBP) Inspector's Field Manual (IFM) (Revised
2/10/06; CBP 17-06)
Welcome to the Customs and Border Protection Inspector's Field Manual (IFM). This manual is a
comprehensive "how to" manual detailing official CBP policies and procedures for CBP's
immigration mission. The IFI"1 should be used in concert with several other references: the
Immigration and Nationality Act ("INA" or "Act"); Title 8 of the Code of Federal Regulations (8
CFR), and official CBP directives, among others. The IFM is not intended to duplicate or replace
any of them. Although initiated under the former Immigration and Naturalization Service, this
manual is gradually being updated to address CBP's policies and practices.
The IFM, as well as the other volumes concerning immigration information, are included in the
"I-LINK" (formerly INSERTS) CD-ROM reference library program as well as on the CBP intranet.
I-LINK's volumes are electronically connected so that you can conveniently flip from one to the
other (referred to as "hypertext" links) without haVing to close one volume and open the next.
A search function allowing for the search of a particular topic is included in I-LINK.
The IFM is intended to be "user friendly." Please send your suggestions for improvements and
ideas for new items you think should be included in the IFM through your chain of command to
CBP HQ, Admissibility Requirements and Migration Control (ARMC).
IMPORTANT NOTICE:
Nothing in this manual shall be construed to create any substantive or procedural right or
benefit that is legally enforceable by any party against the United States or its agencies or
officers or any other person.
Go to the Next Page> > >

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INS#m450-chapter-3l.-l.
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INSERTS PLUS/Inspectors Field Manual/Chapter 2: Mission and Conduct of Inspections Officers

Chapter 2:

Mission and Conduct of Inspections Officers

2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9

Mission Statement
Authority
Reporting Assau Its
The Inspector and the Public
Uniforms, Badges and Identification
The Work Environment
Reporting Unusual Incidents
Hostage Situations
Dealing with Attorneys and Other Representatives

2.10

Land Border Integrity Program (Added 6/23/99; IN99-22)

2.1 Mission Statement.
We are the guardians of our nation's borders. We are America's frontline.
We safeguard the American homeland at and beyond our borders.
We protect the American public against terrorists and the instruments of terror.
We steadfastly enforce the laws of the United States while fostering our nation's economic security throug h lawful international trade
and travel.
We serve the American public with vigilance, integrity and professionalism.
CBP Core Values
Vigilance: Vigilance is how we ensure the safety of all Americans. We are continuously watchful and alert to deter, detect and prevent
to our nation. We demonstrate courage and valor in the protection of our nation.
Service to Country: Service to country is embodied in the work we do. We are dedicated to defending and upholding the Constitution
of the United States. The American people have entrusted us to protect the homeland and defend liberty.
Integrity: Integrity is our cornerstone. We are guided by the highest ethical and moral principles. Our actions bring honor to ourselves
and our agency.

2.2 Authority. (Revised 2110/06; CBP 17-06)
The United States, as a matter of sovereign right, exercises control over aliens seeking to enter, pass through, or remain in the
national territory. The purpose of the controls is to protect the national interest and the continuing good order and well-being of the
nation. Immigration inspection procedures are designed to simplify the examination and admission of United States citizens who can
readily establish their identity, and to determine whether each alien meets the admission requirements of the Immigration and
Nationality Act (INA).
The authority of CBP officers to conduct immigration inspection of arriving persons is contained in section 235 of the INA. Other
authorities are contained in section 287 of the INA. The principal authorities relating to inspection of persons are:
to board and search any vessel, aircraft, railway car, or other conveyance or vehicle in which it is believed aliens are being
brought into the United States;
to order detention and delivery of arriving aliens;
to question, under oath any person seeking to enter the U.S. in order to determine admissibility;
to take and consider evidence of or from any person touching the privilege of any alien to enter, reenter, transit through, or reside
in, the United States;

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INS#m450-chapter-32-2

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to search, without warrant, the person and belongings of any applicant seeking admission, concerning whom the officer may have
reasonable cause to suspect that grounds exist for denial of admission.

2.3 Reserved.

2.4 The CBP Officer and the Public. (Revised 2/1 0/06; CBP 17-06)
At a port-of-entry, you are customarily the first representative of our government the public meets. First impressions last, so it is
important that you maintain a highly professional appearance and standard of conduct at all times, regardless of circumstances. It is
your responsibility as an officer to carry out the duties and responsibilities of your position in accordance with law, regulation, and CBP
policy. Remember, that you are both a law enforcement officer and service provider. You must constantly be aware of your
"customers," the American public whose laws you have sworn to uphold and enforce and the traveling public who expect and deserve
prompt, efficient, courteous, inspectional services.
It is important that the applicant for admission be left with the impression that you were honest, fair, courteous, and considerate. Bias
or prejudice is not acceptabie. Since officers may talk to hundreds of persons daily, a conscious effort must be made to remain patient.
Your decisions concerning the people you inspect could seriously affect their lives.

2.5 Uniforms, Badges, and Identification.
(a) The CBP Officer Uniform. All officers are required to be properly attired in the appropriate uniform at all times when on duty.
Appendix 2-3 describes when and how the uniform is to be worn.

2.6 The Work Environment.
Our work environment at times can be difficult and challenging. CBP has many programs in place that help insure a safe and healthy
work environment and to guarantee that you, as an employee, are treated equitably and professionally and given the tools necessary
to succeed. Following is a brief description of many of the current programs designed to support you in your job. Each, in its own way,
contributes to the success of our overall mission. (Introductory text revised 2/10/06; CBP 17-06)

(a)

CBP Safety Program. The component elements of the CBP Occupational Safety and Health Program are set forth in the

Occupational Safety and Health Handbook, CIS HB 5200-08A dated May 2003. It establishes CBP policies and procedures to
assure a safe work environment, safe work practices, and conformance with statutory and regulatory requirements for Federal agency
safety and occupational health programs. The CBP Occupational Safety and Health Program consists of the following core elements:

1.

•

•

Safety Program Management
The Designated Safety and Health Official (DSHO) for CBP is the Assistant Commissioner, Human Resources Management (HRM).
The Assistant Commissioner, HRM oversees administration of the CBP Safety Program on behalf of the Commissioner.
Director, HRM Employee Support, Safety and Health (SAFE) Division administers the CBP National Safety Program. The
Headquarters safety staff is the Safety and Occupational Health Branch, located in Indianapolis, Indiana.
Chief, HRM Safety and Occupational Health Branch is responsible for develop service-wide safety policy, establishes national
program goals and objectives and the day-to-day management of the CBP Safety Program.
HRM Area Safety and Occupational Health Managers (ASOHMs) serves as a technical and policy advisor to management and will
serve all CBP organizations located within their assigned geographic areas to Office of Field Operations (OFO) Field Offices and
Border Patrol Sectors.
Collateral Duty Safety Officers (CDSO) are required in every CBP facility. Where deemed appropriate, CDSO's may service multiple
facilities. CDSO's shall ensure that all program elements established by CBP policy and 29 CFR 1960 are implemented within
their area of responsibility. Managers should recruit volunteers who have an interest in the safety program to serve as CDSOs.
Headquarters Office Directors and Principal Field Office Managers are responsible for providing a safe and healthy work
environment and for actively promoting the Safety and Occupational Health Program. Principal Field Office Managers include
Directors, Field Operations, Port Directors, Chief Patrol Agents, Laboratory Directors, Strategic Trade Center Directors, and
Training Center Directors.
CBP Supervisors are the cornerstone of the CBP Safety Program and have specific responsibilities defined in the Occupational
Safety and Health Handbook, CIS HB S200-08A dated May 2003.

2. Primary CBP Safety Program Elements

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ruS#m4jiO-chapter-32-2

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Reporting, Investigation, Recording and Analyzing Incidents
Reporting and Abating Hazards
Safety and Health Committees
Safety Training
Hazard Analysis
Personal Protective Equipment (PPE)
Written Programs
Program Evaluations
Educational/Promotional and Motivational Programs
Field Federal Safety and Health Councils

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Any CBP employee wishing to report an unsafe condition (CBP Form 507), to inquire about any safety and occupational health issue, or
to obtain updated information on the provisions of the Occupational Safety and Health Handbook, CIS HB 5200-08A dated May 2003
should first contact the Collateral Duty Safety Officer (COSO) for their location. You may also contact the HRM Area Safety and
Occupational Health Manager or the HRM Safety and Occupational Health Branch at (317) 614-4840 or (Detailed Contact Information).

(Paragraph (a) revised 2/10/06; CBP 17-06)
(b) Employee Assistance Program.

(1) General. The INS Employee Assistance Program (EAP) is designed to provide training and confidential
short-term counseling, information, and referral and assistance in the areas listed below. For more
information refer to AM 1.3.203 or c a l l - ' LCSW/ACSW, INS EAP Administrator at (202) 5145763 or FAX (202) 514-5928 or pager ~ PIN # 101-4729.
b'":f-G
Assistance areas:

•
•
•
•
•
•
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•
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Emotional/Stress
Family/children/education
Relationships/Marital
Drug/Alcohol
Trauma (shootings, etc.)
Financial/Legal Referrals
Day Care/Elder Care
Special Education
Work Performance Problems
Interpersonal/work site issues

(2) Purpose. The purpose of the EAP is:
•

to provide services for treating the mental health, alcohol, and other drug related problems of the
workforce. Participation is always voluntary;

•

to assist employees with work performance problems and to provide support and gUidance throughout
the problem-solving period in a positive non adversarial manner; and

•

to serve as a resource for management in providing gUidance in working with employees whose
personal problems have affected their job performance.

(3) Trauma Debriefings. Trauma debriefings are mandatory for any employee involved in an operational
incident such as a shooting, accident, drowning, etc. Debriefings are conducted to minimize psychological
injury to the employee. Debriefings are conducted by a licensed Police Psychologist or Social Worker.
Supervisors of the affected employee must request the debriefings ASAP by calling 800-467-3277 or the
PAGE number noted below.

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(4) Confidentiality. This program is authorized by laws which protect the privacy of the individual and
confidentiality of records in accordance with the provisions of Pub. L. 93-282. An employees job security
will not be affected by requests for counseling or referral assistance. Information shared between the
employee and the EAP counselor is considered confidential.
(5) Service Limits. Employees and their family members are entitled to meet with an EAP counselor,
funding permitting. Administrative leave may be authorized to see an EAP counselor. There is no charge
for EAP services. Information & Referral Services are provided on a broad range of interests for employee
and family members. The EAP will do your "research" in finding necessary resources your family mighl
need.
(c) Equal Employment Opportunity Program. See Equal Employment Opportunity Handbook.
(d) Incentive Awards Program. The Service actively encourages all employees to be innovative and to
continually perform to the best of their abilities. Individual employee incentive awards available for innovative
ideas and exceptional performance are discussed in AM 1.3.202.
(e) Employee Union Activities. Two unions represent different segments of INS bargaining unit employees.
The National INS Council of the American Federation of Government Employees (AFGE) represents INS
district employees. The National Border Patrol Council represents Border Patrol employees. The National INS
Council, of which Inspectors are members, is comprised of various AFGE Locals organized throughout the
INS districts. Officials of the Locals and the Council are elected by bargaining unit members.
A negotiated Agreement (often called the union Contract) regulates some of the interactions that take place
between INS employees and management, and between union representatives and management. For
example, an article of the Agreement (3B) states that discussions between a supervisor and an employee
concerning counseling, evaluations, workload, or disciplinary action should be conducted to insure the
employee's privacy. The Agreement is national in scope. Various AFGE Locals have negotiated supplemental
agreements that pertain to the Local's area only. These agreements may cover a range of topics; often they
state how Inspections overtime will be scheduled. [See Agreement between INS and National Immigration ana
Naturalization Service Council, M·203 and Agreement Between INS and National Border Patrol Council, M·
422.]
Sometimes port, district, or other managers overlook an obligation to contact an appropriate union
representative before changing a policy or practice, or initiating a new procedure that changes working
conditions for bargaining unit employees. Part of a manager's planning for these changes should include
notification to appropriate union representatives. (See Article 9) If in doubt whether or not to contact a union
representative over a specific matter, a manager may seek advice from the district administrative office, or the
regional or Headquarters Office of Labor-Management Relations.
In keeping with the INS partnership with the National INS Council, an even better procedure to notifying the
union of changes is for managers to invite appropriate union officials to participate in planning such changes.
Union representatives can provide a complimentary perspective, valuable front-line experience, and ideas for
carrying out procedures or solving attendant problems. For union participants, on the other hand, helping with
such planning sessions gives better insight into constraints managers must work within, valuable experience in
planning and implementing projects, and an opportunity to share ideas and contribute to improving the
Inspections Program. Using a duly-designated union representative to help plan changes often relieves
managers of the need to notify the union later of changes and bargain over their impact. When union input is
incorporated into the planning process, the plan often meets the needs of both the employees and managers
better. The Inspections Program strongly endorses the concept of the Partnership. Union representatives
currently participate on many national and port committees and task forces.
(f) Training .

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(1) General. All immigration officers will receive the necessary training to successfully perform the duties
of their position. This is both a promise and a challenge. The job of the immigration inspector has
undergone many changes in recent years, a result of technological improvements, legislation, and an
effort by the Service to create a more professional officer corps.[see AM 1.2]
(2) Preacademy Training. When Inspectors first come on duty there may be some delay in going to the
Academy. During this time, new officers should begin a locally-prepared preacademy training course. The
first step in this program should be the preparation of a training file, to be maintained by the local training
officer or supervisor. This file should contain the training agreement, signed certification of having read
and discussed "The Officer's Handbook" (Form M-68), a list of instructional materials provided to and
mastered by the trainee, evaluations (Form G-445), and other materials that will later be useful in
determining the trainee's readiness for promotion. The training itself should include a combination of
academic instruction and on-the-job training (OJT) assignments. Providing such instruction usually
involves the cooperation of training officer and journeyman inspectors. Each step in the academic training
and the OJT should be recorded. Special attention in the preacademy training should be given to those
areas that are not covered thoroughly in the Academy and areas involving local policy covering situations
commonly encountered at the trainee's duty station.
(3) Academy Training. New permanent full time inspectors generally enter the Service at the GS-5 level
and go through a two year training period to reach the journeymen level of GS-9. Some inspectors enter
through special programs at the GS-7 level. In both cases, the Inspector goes through a one year period
of probation. During this time he or she is required to attend The Immigration Officers Basic Training
Course (IOBTC) at the Immigration Officer Academy (lOA) in Glynco, Georgia and to complete a twentyweek Post Academy Course. A trainee will be detailed to the lOA within thirty days of entry on duty when
administratively and operationally feasible.
The course at lOA consists of ten weeks of Immigration and law enforcement courses. Each attendee is
also tested in Spanish. Those that are found to be adequate in the Spanish language return to their duty
station on graduation from the basic course. Those who need more instruction are kept for a four week
total immersion course in Spanish.
Other than permanent full time (OTP) inspectors are also hired at the GS-5 level with promotion potential
to GS-7. They are required to attend and satisfactorily complete a special OTP basic training program.
Phase I of this course is a four week course given at lOA. Phase II is completed at the Inspector's duty
station. Phase II must be completed within 90 days of the completion of phase I. If the individual cannot
pass the course, he or she will be given another opportunity to take and pass the course. If an individual
cannot pass the course on the second attempt, district management will review the individual's case and
consult with Regional Personnel.
Successful completion of the IOBTC is a requirement for any OTP immigration inspector who is converted
to a full-time, permanent Officer Corps position.
(4) Post Academy Training. IOBTC and OTP basic are both followed by formal post academy training
courses. Both courses are obtained from and administered by the Immigration Officer Academy. These
courses cover most of the material needed by the immigration inspector. However, inspectors work in a
complex, constantly changing work environment. There is a need for continuing informal post academy
training that provides for the updating of knowledge and skills. Some of the needed information will come
from supervisory briefings, some from formal classes given by training officers, special operations officers,
intelligence officers, or senior inspectors, and some training material is provided by the Service in the form
of video tapes.
One form of self-help instruction comes in the form of locally prepared "how to" manuals. They have
copies of completed forms, sample A files, form letters or memoranda, instructions on the use of computer
systems, sample copies of exclusion or prosecution cases, etc. These books provide easy references for

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(5) Computer Training. Computers have played a part in the inspection process for quite some time. Each
year more of our processes become automated. The inspector needs certain computer skills to do his or
her job. On primary there is need to query vehicles and individuals. In secondary he or she must be able
to run on-line queries on CIS, NilS, STSC, NAILS, IBIS, NLETS/I\lCIC, and OASIS. Inspectors must be
able to change their passwords in PICS and IBIS. Reports and memoranda are prepared on off-line
systems such as Word Perfect, or on Service-developed systems such as the Performance Analysis
System (PAS). Many offices have established a local area networks (LAN) that contain the software for
word processing, spreadsheets, and databases. The Academy has provided for some orientation in the
on-line systems but "hands-on" training in these systems as well as most off-line training is done locally.
[See AM 1.2.301]
(g) Special Emphasis Programs (SEPs). Special Emphasis Programs are mechanisms used to assist in the implementation of the
affirmative employment aspect of the EEO Program. Each Program is assigned a national and local (Le. regional, district, sector, etc.)
Special Emphasis Program Manager (SEPM) who emphasizes and initiates positive actions to attain appropriate representation of
minorities, women and persons with disabilities within each organizational component, occupational category and grade level
commensurate with the national and local civilian labor force. The national program managers, under the supervision of the Chief of
Affirmative Employment and Director of EEO, develop and evaluate service-wide policies and procedures for the SEPs and provide
program leadership, advice and gUidance. Currently there are approximately 275 local office SEPMs serving on a collateral duty basis.
SEPMs at the local level are selected through the application process. The positions are announced as any other vacancies and up to
20% of the employee's time may be devoted to performing duties. The Special Emphasis Programs are as follows:
•
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•
•
•
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Asian/Pacific American
Black Affairs
Federal Women
Hispanic Employment
Native American
Selective Placement (includes persons with disabilities and disabled veterans)

(Added INOO-1S)

2.7 Reporting Significant Incidents.
With the recent merger, CBP has become the focal point for a much higher level of public interest than in the past. The Office of Field
Operations program, since it is so highly visible, is an obvious target of those seeking publicity. You should anticipate national media
attention and prepare yourself to act promptly and properly in emergency situations. For instance, strikes and demonstrations on
either northern or southern borders are not uncommon, threats of terrorist activities are frequent at international airports, bomb
threats at land ports are common, assaults upon officers, and natural disasters can occur anywhere. As a CBP Officer, you may be
confronted with such situations. Local ports should insure all officers have access to and are familiar with guidelines for reporting and
handling such situations through the chain of command.

bl) b 1£
Further guidance regarding significant incident reporting can be obtained in CBP Directive No. 3340-0256, issued by the Commissioner,
dated May 16, 2003.

2.8 Hostage Situations.

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2.9 Dealing with Attorneys and Other Representatives.
No applicant for admission, either during primary or secondary inspection has a right to be represented by an
attorney - unless the applicant has become the focus of a criminal investigation and has been taken into
custody. An attorney who attempts to impede in any way your inspection should be courteously advised of
this regulation. This does not preclude you, as an inspecting officer, to permit a relative, friend, or
representative access to the inspectional area to provide assistance when the situation warrants such action.
A more comprehensive treatment of this topic is contained in the Adjudicator's Field Manual, Chapter 12, and
8 CFR 292.5(b).

2.10

Land Border Integrity Program (Added 6/23/99; IN99-22)

Office of Inspections has st forth policy and gUidance in establishing uniform national practices for integrity standards at all land POEs.
Field managers are responsible for implementing the standards and guidelines outlined below. These guidelines are not intended to
prevent tests of new and special processing techniques, nor are these guidelines intended to impose unrealistic operating requirements
on POEs.
Each port must choose one or more of the options outlined below regarding vehicle and pedestrain lane scheduling options and
implement at a minimum once per shift. Primary lane changes on INS staff with Customs staff are desirable. Schedules and
frequencies should be negotiated with Customs counterparts locally.
Vehicle and Pedestrian Lane Scheduling Options:

(1) Agency pushes - Supervisory Immigration Inspector will randomly instruct officers to lane shift
(2) Compex/INTEX hits - Any time there is a hit, there is an automatic lane assignment shift
(3) Traffic manager will initiate random lane flip-flops - Primary lane changes of INS and Customs Staff
(4) Computer Generated random lane assignments and shift.
To further enhance the integrity of the inspectional process, an automatic lane push or flip-flop will occur when the inspecting officer
encounters a relative. The term relative includes, but is not limited to: immediate family, and extended family such as in-laws, cousins,

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uncles, aunts, nephews, nieces, and significant others. This is not intended to impose unrealistic operating requirements on small POEs
with minimum staffing levels. For example, if there is only one officer on duty, or it is realistically not possible to avoid inspecting a
relative, the inspection should be done in a professional and thorough manner. In addition, ports are reminded to reinforce the policy
of 100% inspection of all law enforcement personnel. Although INS respects and values its working relationship with other local and
Federal law-enforcement agencies, officers of these agencies are not exempt of the inspection process and are, in fact, held to a higher
standard.

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INSERTS PLUS/Inspectors Field Manual/Chapter 3: The Organization of Inspections

Chapter 3:

The Organization of Inspections

(Chapter removed and reserved 2/10/06; CBP 17-06)

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INSERTS PLUS/Inspectors Field Manual/Chapter 4: Conducting Research. (Revised 2/10/06; CBP 17-06)

Chapter 4:
4.1
4.2
4.3
4.4

Conducting Research. (Revised 2/10/06; CBP 17-06)

General Considerations
Sources and Organization of Immigration Law
Basic Research Methods
Factual Research and Databases

4.1 General Considerations.
As a CBP officer, you will often encounter novel issues or factual situations. In the course of your duties, you will also be exposed to
other areas of immigration law that may have a bearing on the action you take. The correct resolution of these issues, or whether they
are relevant at all, will not always be apparent. Even when an outcome is clearly apparent, you should always provide a basis for an
action grounded in legal authority. There will thus be occasions when you will need to perform research before you make a decision.
This chapter will seek to familiarize you with some of the basic methods of legal research and with the general organization of the
immigration law.
It is important to remember that you must take an active role as an officer. Not every situation will be the same, and not every
situation will suggest an easy resolution. You must be on the lookout for issues and circumstances that can affect your decision.
Creative thinking and a willingness to "dig" beneath the surfac wi
k
0
ore effective officer. This manual, as well as CBP's
Policy Online Document Search (PODS) http:
reflects CBP's commitment to improve availability of
timely and complete policy information for its
. e ern 9 0
e c an the regulations are only the beginning of your duties as
a CBP officer. Supplemental materials provide insight into the regulations and clarify your legal duties.

6'"1.
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4.2 Sources and Organization of Immigration Law.
The Immigration and Nationality Act (the Act, INA) is the major source of immigration law. Any lawful action by CBP or by any of its
officers with respect to immigration processing must be traced back to and authorized by the provisions of the Act. Provisions of the
Act are often referred to by their position within the Act. Thus "section 235" refers to that section of the Act. The Act itself, part of the
larger u.s. Code system, is contained at 8 U.S.c. §§ 1-1574, and particular sections are frequently referred to by their U.S.c. citation
rather than their INA citation (e.g. section 235 of the INA may also be referred to as 8 U.S.C. 1225.)
The other major source of authority in immigration law is the Code of Federal Regulations. When Congress passes a provision of law, it
often delegates authority to implement the law to the agency, consistent with the terms of the statute. Congress may provide that a
certain class of aliens may be eligible for a particular benefit, but it is not until the Department issues regulations concerning details
such as application procedures, filing fees, etc. that the statutory provisions come to life. Regulations, though not issued by Congress,
have the same force and effect as the statute. The Department's immigration regulations are contained in Title 8 of the Code of
Federal Regulations (CFR). Generally, but not exclusively, the numbering of the regulations tracks the numbering of sections in the
Act. Rules dealing with section 235 of the Act would thus be found at 8 CFR part 235. Other parts of the Code of Federal Regulations
may have an effect on immigration issues. This is especially so with State Department regulations, which can be found at 22 CFR.
Generally, whenever you see a statutory citation, the relevant CFR title will track the United States Code title, so that 7 U.S.C. will lead
you to 7 CFR.
While the statute and regulations are the primary source of law, materials that interpret these are also an important source. The Board
of Immigration Appeals (BIA) in Falls Church, Virginia is the major appellate body deciding immigration matters. Its decisions have the
force of law and are binding upon DHS officers. Significant BIA decisions are published and indexed to make them readily accessible by
DHS employees as well as the general public. These decisions may be accessed on the DOJ website at

httg:/lwww.usdolgov/eJ)ir/vlllintdecllibindecitnet.html. Appeals are taken to the BIA from DHS decisions on
adjudicative matters such as visa petitions and adjustment of status petitions, and are also taken from Immigration Court on matters
such as removability and relief from removal. The Office of the Chief Administrative Hearing Officer (OCAHO) is similar, except it hears
cases dealing only with fines and penalties. Internally, directives and policy memoranda are binding on CBP employees as are other
policy issuances such as the materials contained in I-LINK. Many cases not appealable to the BIA are appealable to the Administrative
Appeals Office (AAO), located in U.S. Citizenship and Immigration Services. Although less frequent, that office may also publish its
decisions as precedent, in which case they are indexed and published in the same volumes as those of the BIA.

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4.3 Basic Research Methods.
Legal research is a search for authorities and standards to apply in resolving legal issues. As a beginning researcher, you need to know
where to look for information, but in order to know where to look, you first need to know something about your subject. This problem
reveals the fundamental principle of successful research: successful research is nothing more than a process of building upon what you
already know. For example, you may have nothing more than a reference to a section of the Act. From that information, you can
obtain the U.S. Code section. U.S. Code Annotated will often refer to judicial cases dealing with the particular section. The case will
usually cite various relevant regulations, law review articles, and other interpretive materials. Those materials will in turn refer to other
materials and issues. From a very small amount of information you are able to find a wealth of materials.
(a) Federal Regulations. The Code of Federal Regulations changes literally every day. Thus, although you may know the controlling
regulations and your regulation may not be affected, you need to know how to find the latest version of a relevant regulation. While
the changes you find may often be small, this is not always the case.
Federal regulations are published every day, chronologically, in the Federal Register. It is in the Federal Register that you will first see
changes to the regulations. In addition to regulations, the Federal Register also publishes executive orders, presidential statements,
and proposed changes to the regulations. When rules are published in the Federal Register, they almost always contain a preamble,
which is a statement by the agency promulgating the rule both explaining the rule and the basis for issuance of the rule. By reading
the preamble, you will often find guidance on how a specific provision of the regulations is meant to apply. Recent Federal Register
notices relating to immigration matters can also be found in I-LINK, as well as through various websites. The USCIS website at

www.USCIS.gov is a good

source for Federal Register information relating to immigration matters. Another site for Federal

Register information in general is

www.gpoaccess.gov.

After initial publication in the Federal Register, the regulations are compiled annually by subject and issuing agency and published in
the more familiar Code of Federai Regulations. Several items in the Federal Register will help you determine if your regulation has
been affected. At the beginning of each issue of the Federal Register you will find a table of contents arranged by agency name. This is
followed by a "list of CFR parts affected" by that day's issue. You can qUickly scan this list to determine if you need to read further in
that day's issue. At the end of each day's issue, you will find a cumulative list of parts affected listing all the parts affected for the
current month. The Federal Register also publishes on a monthly basis a pamphlet entitled: LSA: List of CFR Sections Affected. This list
is also cumulative and lists by Federal Register page number each section affected. By following this process, you will ensure that you
are aware of the most current version of the regulations.
(b) Board of Immigration Appeals (BIA) Decisions. Not all decisions of the BIA are published. While you may on occasion have access
to unpublished Board decisions, these do not have precedential value. When first published, BIA decisions are designated with an
"interim decision" number. Periodically, interim decisions are collected and published chronologically. There are currently 23 volumes
of published precedent decisions entitled Administrative Decisions Under the Immigration and Nationality Laws of the United States.
Once published in this format, they may still be referred to by their interim decision number but are more likely to be referred to by
volume and page number. For example, 19 I&N 234 is found in volume 19, beginning on page 234. The most recent volume contains a
subject index covering cases contained in volume 16 forward. Volume 15 contains an index for cases published in volumes 1-15. You
can thus find relevant cases by searching under a subject heading in the index. Because the most recent decisions have not been
published in this format, you need to check the "index of interim decisions" periodically published by the BIA to make sure you have all
the relevant case law.
It is equally important to be sure that the case law you are reading is still the law. Recent decisions often modify aspects of earlier
ones, and occasionally overrule them completely. Checking the "index of interim decisions" mentioned above will give you some
indication of whether the topic or case you are researching has been affected.
(c) Federal Court Decisions. DHS is often involved in litigation that affects its operations. Although not as common, judicial decisions
not directly involving CBP can also affect operations. You need to understand these decisions and the authority of the Federal courts in
order to know if they affect your duties. The federal court system is divided into three levels of authority. The district court is the trial
body of the Federal court system; there are many district courts. Generally, district court decisions are only binding upon judges within
that district. Thus, a statement of the law in the Northern District of California may not be the same as one in the District of Wisconsin.
(In smaller states, there is only one district court, while larger states are divided into several districts). While the law in a District is
binding only upon judges in that circuit and is merely advisory upon other judges in other circuits, a District Judge has authority to
issue an order affecting the entire nation. Thus, injunctions or other orders requiring DHS to act in a certain way often issue from the
District Courts.
Appeals from the District Court are taken to the Circuit Courts of Appeals. There are 13 circuits. Again, decisions of law are binding
only upon judges within that circuit. From the Circuit level, appeals are heard by the Supreme Court of the United States. Decisions of
the Supreme Court are binding upon any court in the United States.
It is important to be aware of the law in your district, circuit, and nationwide. Interpreter Releases, mentioned below, usually mentions
recent judicial decisions affecting DHS. Internal CBP communications and transmittals will inform you of decisions affecting your duties.
You should read these carefully when you receive them and store them for future reference.

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(d) Supplemental Materials. There is a wealth of published materials to guide you through your immigration research. An excellent
source of immigration information is the Department of State's Foreign Affairs Manual (FAM). This manual contains extensive
procedural notes relating to the issuance of visas and other travel documents, as well as discussion of factors to consider in
determining admissibility of visa applicants. 9 FAM 40 - 42 contains the most useful information for relating to visas and grounds of
inadmissibility. The FAM can be accessed at J1UR://Ww-,rlJQia~$1ate,g~~'lREGS/.s_~a.LGJl,~S.R.
In addition to internal CBP and other government manuals, materials published for the private immigration bar are readily available
and can provide significant help. The American Immigration Lawyers Association (AILA) publishes several useful items. AILA publishes
regular mailings updating its readers on the latest developments in immigration law. Another significant source of current information
relating to immigration issues is Interpreter Releases, published by West Publishing. This periodical is published weekly and provides
its readers with the latest developments in immigration law. It also contains information about certain DHS policies and procedures
and recent court cases that may affect your job.
There are several comprehensive sources of immigration law that are not as timely but cover much more material. Immigration Law
and Procedure, more commonly referred to as "Gordon and Mailman", after the original authors, provides an overview of immigration
law. Bender's Immigration Bulletin is another good source. Also useful is the State Department's Foreign Affairs Manual available at

http://www.foia.state.gov/REGS/~earch.a$p.
Volume 9 deals with visas.
There are many available materials containing current developments in the law. It is your responsibility to keep up to date on your job
and the law by looking for these materials and reading them regularly. If you are unaware of changes in the law and policy applicable
to your job, it is impossible for you to do your job correctly and professionally.

4.4 Factual Research and Databases.
You will often be confronted with factual issues in dealing with an application. Most often, facts will arise which will lead you to believe
that the alien has had prior invoivement with immigration matters which he is not disclosing or may not know how to describe.
Occasionally, you may believe that an alien has a criminal or other record (public assistance, child support, etc.) that may be relevant
to your decision, but that information is not immediately available. In these situations, you will need to conduct factual research.
DHS maintains numerous databases containing information on aliens' immigration histories. Chapters 31 and 33 of this manual
describe some of the internal and interagency systems and contain instructions on how to access them. You should familiarize yourself
with user's manuals for each system available at your location. It is important to fully and creatively develop a case. You should
attempt to use as many avenues to gain information as possible. "A" numbers, sound-alike searches, names of family members,
aliases, misspellings, and cross-searching between different databases should all be used to ensure that you obtain all possible
information on an individual. As you gain experience, you will become more familiar with the various databases and search systems. It
is only by performing thorough research that you will be able to fully develop a case and thus fully perform your duties.

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Chapter 11: Persons Exempt Inspection.
11.1
11.2
11.3

Inspection and Examination
Members of the U.S. and NATO Armed Forces
American Indians Born in Canada

References:
INA:

Sections 235, 284, 289.

Regulations:

8 CFR 235, 289; 22 CFR 41.

11.1

Inspection and Examination.

Section 235 of the Act provides for the examination of all persons seeking to enter the U.S. by
an immigration officer. Once determined not to be a citizen, the applicant will be inspected as
an alien. There are, however, certain classes of aliens who are specifically exempt inspection
and may not be excluded from the United States.

11.2

Members ofD.S. and NATO Armed Forces.

11.2 Members of U.S. and NATO Armed Forces.

(a) Members of U.S. Armed Forces. Alien members of the U.S. military forces entering under
official orders are exempt from the controls of the INA, pursuant to 8 CFR 235.1 (c), including
the requirement to present a passport and visa. See section 284 of the Act. Such persons
returning to the U.S. after a temporary trip are also eligible for this exemption without presenting
any official orders. Upon request, such persons may be inspected and admitted pursuant to
other provisions of the Act. However, if found inadmissible for any reason, the applicant will be
so advised and permitted to enter without controls.
(b) Members of NATO Armed Forces. (1) Background. The Agreement Between the Parties to
the North Atlantic Treaty Regarding the Status of Their Forces (commonly referred to as the
Status of Forces Agreement, or SOFA) was signed by the United States on June 19, 1951 and
entered into force on August 23, 1953. Under Article III of the SOFA, NATO military personnel
are normally exempt from inspection and control procedures and, until recently, a Form 1-94
was not issued.
Such persons enter the United States upon presentation of military
identification and official travel orders. Countries currently party to the SOFA are: Belgium,
Canada, the Czech Republic, Denmark, France, Germany, Greece, Hungary, Italy,
Luxembourg, the Netherlands, Norway, Poland, Portugal, Spain, Turkey, the United Kingdom of

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Inspector's Field Manual
Great Britain and Northern Ireland, and the United States.
Section 235(a)(3) of the Act, as amended by the Illegal Immigration Reform and Immigrant
Responsibility Act of 1996, requires the inspection of "all aliens (including alien crewmen) who
are applicants for admission or otherwise seeking admission or readmission to or transit
through the United States." NATO aliens are not within the scope of this requirement. That is,
NATO aliens continue to be exempt from inspection, but may be screened to confirm identity.
(General Counsel opinion of April?, 1999.)
(2) Inspection of NATO military personnel upon request. 8 CFR 235.1 (c) provides that any
alien who is a member of a force of a NATO country may, upon request, be inspected and
his or her entry as an alien may be recorded.
NATO military personnel stationed in the United States for a significant period of time (over
6 months) need a Form 1-94, Arrival/Departure Record, for "quality of life" reasons, such as
to secure a social security number or a state-issued driver's license. To ensure that these
persons routinely receive a Form 1-94 at the time of inspection, the Department of State has
recommended that NATO military personnel entering the United States for a significant
period of time be issued a visa at a U.S. Embassy or Consulate abroad. Accordingly,
although not required under the NATO SOFA, inspectors should anticipate that NATO
military personnel stationed in the United States for a significant period may present a visa
at the time of inspection so that a Form 1-94 may be issued.
Service officers must be responsive to the requests of NATO military personnel for a Form
1-94. A NATO military nonimmigrant who is an applicant for admission and intends to
remain in the United States for a significant period of time and who does not have a visa
may present a letter concerning the nature of the intended stay in the United States so that
Service inspectors have a basis for issuing a Form 1-94. Such a letter must include a
specific and concrete explanation of the nature, location, and duration of the NATO
member's stay in the United States, a request for a Form 1-94 and the signature of the
NATO country commander or designee in the United States where the alien is to reside for
a significant period of time. The Form 1-94 should be issued for the length of stay as
specified in the individual's military orders. Form 1-193 and fee are not required for such
NATO military nonimmigrants. Individuals arriVing in this manner would be classified
NATO-2 through NATO-5. Should questions arise at the port-of- entry regarding proper
classification, the inspector may wish to contact the Headquarters of the Supreme Allied
Commander, Atlantic (SACLANT) at its number listed in paragraph (b)(9).

Note: NATO personnel already in the United States (i.e., not currently
applying for admission) who will be here for six months or longer and are in I
need of a Form 1-94 for such quality of life reasons may apply for one under
the procedures set forth in paragraph (b)(8).
(3) NATO personnel not entitled to inspection and admission. Form 1-94 issuance does not
apply to short-term NATO stays, e.g., for routine military exercises or short-term training
only (i.e., less than 6 months).
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Inspector's Field Manual
(4) Issues regarding validity of NATO orders. If questions arise regarding the validity or
authenticity of an alien's travel orders, contact SACLANT at the telephone number listed in
paragraph (b)(9).
(5) Travel To Mexico and Canada by NATO personnel. Under the procedures set forth in
paragraph (2), many NATO personnel in the United States for six months or longer should
have a Form 1-94. However, Service officers should be sensitive to the fact that a NATO
military nonimmigrant who, for some reason, does not have a Form 1- 94 and is staying for a
long term in the United States may need to enter the United States after a brief departure to
Mexico or Canada, whether or not the trip was for pleasure or in conjunction with his or her
duties. In order to receive a Form 1-94, such a nonimmigrant must present his or her
military identification, travel orders, and an appropriate letter, such as that described in
paragraph (b)(2). In such cases, officers should feel free to verify the status of an applicant
for admission directly with the NATO country commander or designee in the United States
where the nonimmigrant is stationed or with SACLANT at the number listed in paragraph
(b)(9). In these circumstances, Form 1-94 should be issued only for the time period of the
nonimmigrant's stay in the United States, as indicated by travel orders or the letter.
(6) Technical Experts. In discussions with the Department of State and the Service, the
German Government has advised the Service that the number of military and civilian
personnel arriving for long-term stays at Holloman Air Force Base in New Mexico will be
doubling to over 6,000 during calendar years 1999 and 2000. The Department of State has
determined that technical experts working for the German Government at Holloman will be
provided with A-2 visas and issued Form 1-94 through routine procedures.
(7) Partnership for Peace (PFP). The PFP was initiated in 1994 by the United States to
enhance European security by establishing strong links between NATO, its new democratic
partners in the former Soviet bloc, and some of Europe's traditionally neutral countries.
The PFP SOFA incorporated by reference most of the terms of the NATO SOFA, although
PFP countries are not full NATO members. The number of nations that have ratified the
PFP SOFA continues to grow. At this time, such countries are Albania, Austria, Bulgaria,
Estonia, Finland, Georgia, Kazakhstan, Latvia, Lithuania, the Former Yugoslav Republic of
Macedonia, Moldova, Romania, the Slovak Republic, Slovenia, Sweden, Uzbekistan, and on
a provisional basis, the Ukraine. The Department of State has determined that PFP
personnel are entitled to A-2 visa status.
In addition, PFP military personnel have been entering the United States for short-term
military exercises and training since 1996. Under the PFP SOFA, the same exemptions are
provided as under the NATO SOFA regarding passports, visas, inspection and control.
Also, like NATO nonimmigrants, PFP personnel in the United States for short-term stays
(e.g., military exercises) do not need to be inspected, and should not receive a Form 1-94.
(General Counsel opinion of April 7, 1999.)
Similarly, in a few instances, personnel from PFP countries have entered the United States

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pursuant to the PFP SOFA for significant periods of time to do business at SACLANT, or a
subordinate headquarters, on their military travel orders and identification cards. If entering
for a significant period of time, such persons may prefer to secure a Form 1-94 for the same
quality of life reasons that impact their NATO counterparts, either by presenting a visa or an
appropriate letter with a request for a Form 1-94, as discussed in this memorandum.
Service inspectors should be responsive to requests for a Form 1-94 where PFP personnel
will remain in the United States for a significant period. Most individuals arriving in this
manner would be classified as A-2. Should questions arise at the port-of-entry regarding
proper classification, the inspector may wish to contact SACLANT at its number listed in
paragraph (b)(9).
(8) Issuance of Form 1-94 to NATO or PFP personnel currently in the United States. Form
1-102 may be used by the small number of NATO or PFP personnel who are already
residing in the United States for a significant period and who did not present a visa or
otherwise secure a Form 1-94 at the time of admission. Accordingly, NATO or PFP
personnel remaining in the United States for a significant period who need a Form 1-94 in
order to obtain a social security number, a driver's license, or for other quality of life
reasons, must submit their requests on a completed Form 1-102, without fee, with a copy of
their military identification and travel orders, and a letter from their unit commander, or
designee, in the United States which contains: (1) arrival information (including where,
when, and aboard what vehicle arrival occurred); (2) the reason for the request; and, (3)
information regarding the intended length of stay. The complete request package should be
mailed to USINS Nebraska Service Center, P.O. Box 87526, Lincoln, NE 68501-2521.
(9) Contact Telephone Number for SACLANT. Questions arising at the port-of- entry or
elsewhere regarding the status of a nonimmigrant in NATO or a PFP official in A-2
classification may be referred to SACLANT directly at (757) 445-3640 or (757) 445- 3783.
SACLANT's after hours telephone contact number is (757) 445-3400.
(10) Contact Telephone Numbers for INS Headquarters.
NATO matters may be directed to the Office of Inspections.

Operational questions about

(Revised INOO-23)

11.3

American Indians Born in Canada. (Revised IN99-11)

11.3 American Indians Born in Canada.

(a) General. Under section 289 of the Act, American Indians born in Canada, with at least 50%
American Indian blood, cannot be denied admission to the United States. The applicant bears
the burden of proof in establishing eligibility. Usually, this is accomplished by presenting
identification such as a tribal certification that is based on reliable tribal records, birth
certificates, and other documents establishing the requisite percentage of Indian blood. The
Canadian Certificate of Indian Status (Form IA-1395) issued by the Canadian Department of
Indian Affairs in Ottawa specifies the tribal affiliation but does not indicate percentage of Indian

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blood. Membership in an Indian tribe in Canada does not necessarily require Indian blood.
Once the claim to 50% Indian blood has been established, the applicant can freely enter the
U.S., regardless of the purpose or duration of the trip, even if technically inadmissible or
previously deported.
Note: See also Chapter 56 of the Adjudicator's Field Manual regarding persons who are
already in the United States and are applying for evidence of status pursuant to section 289 of
the Act.

(b) Creation of Record of Admission for Lawful Permanent Residence. If a person claiming
such status seeks to enter to reside permanently in the U.S., complete the following steps to
document the first entry:
(1) Review documentation submitted to support the claim, including birth records, tribal
records, etc. Officers at locations which frequently encounter Indian tribal members should
familiarize themselves with tribal documentation common to the area. Make photocopies of
all documentation. Depending upon the facts and documentation presented, a sworn
statement may also be required to clarify any issues in doubt.
(2) Complete a central index check and open an "A" file at the port of entry in accordance
with local procedures.

(3) Conduct an Interagency Border Inspections System (IBIS) check on all applicants over
the age of 14.
(4) If the documentation is acceptable and no adverse information develops from the central
index query, complete Form 1-181, Memorandum of Creation of Record of Admission for
Lawful Permanent Residence. The words "Canadian born American Indian admitted for
permanent residence" must be endorsed on the Form 1-181. Under the box marked "Other
Law" indicate section 289 of the INA.
(5) Complete Form 1-89, Data Collection Card, including fingerprint, proper photograph, and
other required data. The admission classification is 513. Forward the completed Form 1-89
and a copy of the Form 1-181 for card issuance, in the manner prescribed for immigrant
visas. [See Appendix 15-8.]
(6) If the alien is 14 years of age or older, take a complete set of fingerprints on Form
FD-258, in compliance with section 264 of the Act. These fingerprints need not be
forwarded for clearance to the FBI, but should be retained in the file.

(7) Issue a temporary Form 1-551 to facilitate travel until the actual Form 1-551 is produced.
(8) Include copies of all supporting materials in the file, placing the Form 1-181 on top.
Forward the "A" file to the district file room.
(c) Denied Applications. In any instance where admission as a lawful permanent resident based
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on claimed American Indian status is denied, either because documentation is lacking, a claim
to eligibility turns out to be false, or because the claimant does not possess the requisite
percentum of American Indian blood, an A-file should be created. Place a memorandum in the
file indicating that the application has been denied and the reasons therefore. Verbally advise
the applicant of the decision.
There is no appeal from the decision, although the claimant may renew his or her request if and
when he or she is able to overcome the basis of the decision.
Depending on the
circumstances, such an applicant may be permitted to withdraw or may be processed for
expedited removal in accordance with the procedures described in Chapter 17.15.

Chapter 12: United States Citizens and Other Nationals.
12.1
12.2
12.3
12.4
12.5
12.6
12.7
12.8
12.9
12.10

Inspection of U.S. Citizens
Evidence of Citizenship
Oral Testimony
United States Passports
United States Passport Waivers
Other Documentary Evidence
Loss of Citizenship
Non-Citizen Nationals
Northern Mariana Islanders
Nationals of Former Trust Territories

INA:

Sections 101 (a)(22), (29), (38), 215, 235,301 - 310.

Other laws:

Pub. L. 94-241 (Covenant for Commonwealth of the Northern Marianas
Islands), 48 U.S.C. 1681; Pub. L. 98-213 (Act of December 8, 1983);
Pub. L. 99-239 (Compact of Free Association Act of 1985), 48 U.S.C.
1901; and Pub. L. 99-658 (Compact of Free Association between the
United States and the Government of Palau), 48 U.S.c.. 1931.

Regulations:

8 CFR 212.1 (d), 235, 22 CFR 53.1-2.

12.1

Inspection of U.S. Citizens.

When you are convinced that an applicant for admission is a citizen of the United States, the
examination is terminated. This is not to say that your role as an inspector is always completed
at that time. Listing of the subject in a lookout system may dictate further action, such as
notifying Customs or another agency of the person's entry.

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It must be emphasized that the grounds of inadmissibility contained in 212(a) of the INA are
applicable only to aliens. Consequently, the examination of a person claiming to be a United
States citizen is limited to matters required to establish present citizenship. Once you are
satisfied the person being examined is a U.S. citizen and any required lookout query has been
completed, the examination is over.
Temporary detention of a U.S. citizen for extensive questioning generally requires reasonable
suspicion that the person is involved in illegal activity. Inspectors cross-designated to perform
Customs inspections may, of course, continue questioning for Customs purposes. If probable
cause to arrest the U.S. citizen cannot be developed within a reasonable period of time, the
person must be released.
It is important to note that although the United States does not formally recognize "dual
nationality"; many other countries do. It is not unusual to encounter a United States citizen
(even native born) bearing evidence of both United States citizenship and foreign nationality.
For example, a child born in the United States to a foreign national may, under the laws of that
country, be entitled to its parent's citizenship and be included in the parent's passport. Under
certain circumstances, that document may be used for identification and entry, if presented in
conjunction with a birth certificate or other evidence of U.S. citizenship. Specific provisions
relating to passport requirements for United States citizens are outlined in 22 CFR 53.1 and 2.

12.2

Evidence of Citizenship.

Any time documentary evidence of citizenship is required (e.g., when a passport is required of a
U.S. citizen returning from outside of the Western Hemisphere) or whenever documentation is
voluntarily presented by an applicant, you should make an effort to review the documents. If
there is any question as to the subject's citizenship, close scrutiny is necessary to determine
that the documents are unaltered, genuine, valid, and belong to the bearer. In the instance
where documentation is volunteered by an applicant, you should make a cursory review of the
document(s), even if your preliminary inquiries have allowed you to make a determination of the
applicant's United States citizenship. A brief review should be made, if for no other reason,
because the applicant may have gone to considerable effort to obtain a particular document
and may feel the Service is failing in its responsibility if the document is considered
unimportant.

12.3

Oral Testimony.

It must be emphasized that in many instances where a United States passport is not statutorily
required of an arriving citizen applicant, a person may establish United States citizenship by
oral statements.

12.4

United States Passport~.

(a) General. A United States passport (even if expired) may be accepted as evidence of
citizenship in the absence of information showing that the holder has expatriated. Service
personnel performing inspections of returning United States citizens must be familiar with
passport requirements and periodically review the Passport Studies manuals provided in each
Service office. The three types of passports issued by the United States are described therein
(with frequent revisions of format), and it is incumbent upon you to keep up to date on any
changes.
Essentially, the ordinary passport is issued to a citizen of the United States who is going
abroad for personal or business reasons. It is valid for a period of ten years from the date of
issuance unless specifically restricted to a shorter time, in which case the document is usually a
"duplicate" issued in replacement of one lost or stolen.
An official passport is issued to an officer or an employee of the United States Government
proceeding abroad in an official capacity. Official passports are valid for five years or the
duration of the official's duties abroad, not to exceed five years.
A diplomatic passport is issued to a foreign service officer, a person of the diplomatic corps, to
a person having diplomatic status because of his or her foreign mission, or by reason of the
office the bearer holds. There is no fixed time limit on the validity of a diplomatic passport other
than the limit presupposed by the maintenance of the bearer's actual diplomatic status.
United States passports should be stamped on request of the bearer and in accordance with
local policy.
(b) Travel Restrictions. Periodically, because of national emergencies, the Department of
State will place restrictions on the use of a U.S. passport for travel to certain countries. If you
encounter a citizen who is returning from travel to a restricted area, lift the passport and
prepare a memorandum to the Department of State containing the basic passport data and
facts surrounding the travel, and that the passport appears to be invalid pursuant to 22 CFR
51.73. Attach a separate sheet containing any details which may be of use to DOS in pursuing
the matter. Provide the bearer with a copy of the memorandum, but not the separate detail
sheet. Mail the passport, memorandum, and detail sheet, via certified mail, to:
Department of State
Passport/Legal (Room 300)
1425 K St., NW
Washington, DC 20522-1705
(c) Dependents on U.S. passports. A spouse, minor child, or minor unmarried sibling may

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be included on the passport of a U.S. citizen if such spouse, child, or sibling is also a U.S.
citizen. In a situation where a passport is required for travel, a passport is valid for the reentry
of the dependent only if accompanying the principal passport holder. A dependent may,
however, present such a passport as evidence of citizenship when returning from a place where
no U.S. passport is required.

12.5

United States Passport Waivers.

(a) General. Although primarily charged with the responsibility of determining citizenship, you
are required to verify the validity of a United States passport when one is required by law.
When an applicant fails to present a passport or presents an expired document, the immigration
officer shall, if satisfied that the person is a United States citizen, advise the individual of the
necessity of having a valid U.S. passport. Although technically you are waiving the passport
requirement for the Department of State, no form need be completed. In addition, there is no
fee collected by INS. (Paragraph (a) revised 10/21/98; IN99-02)
(b) Merchant Seamen. The passport office has determined that the fee for a passport waiver
will not be charged in the case of a bona fide U.S. merchant seaman who has lost his or her
documents while outside the U.S., provided the seaman's status is reflected in the ships Articles
and he or she is returning to the U.S. on board that vessel. Mark the DS-1423: "Mariner--No
Fee" and forward it to the Department of State.

12.6

Other Documentary Evidence.

Other common documents that may help to establish United States citizenship include the
following:
(1) A Certificate of Naturalization,
(2) A Certificate of Citizenship,
(3) Citizen's identification cards (Service Forms 1-179 or 1-197),
(4) State Department Certificates of Identity and Registration (Forms FS-225 and FS-225A)
[See 22 CFR 50.9.],
(5) The United States Coast Guard Mariner's Document indicating U.S. nationality (known
as a Z-card, this document may also be issued to LPRs),
(6) Birth Certificate showing a place of birth in the U.S. accompanied by good identification,
and
(7) Baptismal certificates or other forms of secondary evidence of U.S. citizenship.
Most documented false claims to United States citizenship will be carrying birth certificates,

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baptismal certificates, or both.
These documents are most easily obtained, altered, or
manufactured. A more detailed discussion of false claims to U.S. citizenship is contained in
Chapter 17.

12.7

Loss of Citizenship.

There are various ways in which a citizen of the United States, whether naturalized or
native-born, may lose citizenship. During the course of an inspection, you may have reason to
question an applicant for admission regarding this topic. It is an extremely complex issue, and
making such a determination must be carefully and thoroughly handled. Sections 349 through
357 of the INA specify the ways in which citizenship can be lost. Service regulations for the
corresponding sections and Department of State regulations at 22 CFR 50 provide information
and guidance on the subject. You may find endorsements in U.S. passports which lead to
questions regarding possible loss of citizenship. For example, Great Britain inserts a Certificate
of Partiality in a passport to show the holder enjoys the benefits accorded a British subject.
Such a certificate, standing alone, does not establish an individual's loss of U.S. citizenship.
Such evidence should, however, prompt further inquiry by the inspecting officer.

12.8

Non-Citizen Nationals.

There is a technical distinction between a citizen of the United States and a national of the
United States. All citizens of the U.S. are nationals, but all nationals are not citizens. The term
national of the United States is defined in section 101 (a)(22) of the INA, and explained in detail
in section 308 of the INA. At present, American Samoans (including Swains Islanders) are the
only United States non-citizen nationals. They will generally present a Certificate of Identity
showing United States nationality, a United States passport, or a birth certificate. Upon
admission, stamp the travel document of any American Samoan or Swains Islander, since
these individuals must establish three months residence in the U.S. for naturalization purposes.
Section 308 also provides for acquisition of nationality at birth outside the United States or
American Samoa for a child born to a national of the United States. Prior to 1986 there was no
provision for a child born to one national and one alien parent. Pub.L. 99-396 (Aug. 27, 1986)
amended Section 308 by adding Section 308.4 which provides for acquisition at birth to those
born outside of the U.S. or an outlying possession with one alien parent and one national
parent. The amendment was unusual in that it made the change retroactive and provided that
nationality to someone born before the amendment was only acquired when the applicant
established to the satisfaction of the Secretary of State that the requirements of the statute
were met. Therefore, any person born before August 27, 1986 who claims nationality through
one parent must present a United States passport showing he or she is a "national."

12.9

Northern Mariana Islanders.

The Commonwealth of the Northern Mariana Islands is a former Trust Territory that concluded
an agreement with the United States. The agreement was concluded in 1976, but did not
become effective until November 3, 1986. The agreement is titled a Covenant to Establish a

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Commonwealth of Northern Mariana Islands. Public Law 94-241 is the implementing statute
and the Covenant.
The Commonwealth of the Northern Mariana Islands is composed of 14 islands with the
majority of the population residing on Saipan, the capital, Rota, and Tinian. The other islands
are: Uracas, Maug, Asuncion, Agrihan, Pagan, Alamagan, Guguan, Sarigan, Anatahan,
Farallon de Medinilla, and Aguijan. Most of the second group are uninhabited except for Pagan
due to volcanic activity, but many have been inhabited at one time or another.
During various periods between 1979 and implementation of the Covenant in 1986, citizens of
the Commonowealth of Northern Mariana Islands were admitted as "though they were citizens
of the United States."
On November 3, 1986 the Covenant became effective and under certain conditions Citizens of
the Northern Mariana Islands became United States Citizens. All persons born in the
Commonwealth after November 3, 1986 are citizens at birth under section 301 of the INA. The
Covenant provides for three categories of persons who acquired citizenship upon
implementation of the Covenant. It should be noted that each category required residence in
the Commonwealth or the United States at the time of implementation and only one allowed
residence outside the Commonwealth at the time of implementation. Under the terms of the
Covenant a citizen of the Trust Territory born in the Northern Marianas but residing in the
Marshalls, for example, did not acquire citizenship on November 3, 1986 because the Covenant
requires residence in the Marianas or the United States. Even though not required many of
those who became citizens on November 3, 1986 applied for and received U.S. Passports. In
1989 the Service had a program for two years that provided for issuance of a Northern Mariana
Card which is evidence of U.S. citizenship [See 8 CFR 235.12.].
A person who claims birth in the Mariana's prior to 1986 and United States Citizenship and who
does not present a passport or card should be questioned carefully to determine if they meet
the conditions in the Covenant. The Immigration Offices in Honolulu and Agana, Guam and the
United States Passport Office in Honolulu are excellent sources for assistance in resolving
claims to citizenship.

12.10 Nationals of Former Trust Territories.
See Chapter 15.13.

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Chapter 13: Returning Residents.
13.1
13.2
13.3
13.4
13.5
13.6
13.7

Inspection of Returning Lawful Permanent Residents (LPRs)
Returning Residents Lacking Evidence of Alien Registration
Returning Military Dependents
Question of Meaningful Departure
Returning Residents with SB-1 Visas
Readmission of Temporary Residents
Conditional Residents

References:
INA:

Sections 101(a)(13)(C), 211, 212, 215, 216, 216A, 223, 235.

Regulations:

8 CFR 210.1, 211, 212, 216, 245a.2

13.1

Inspection of Returning Lawful Permanent Residents (LPRs).

The primary inspector shall admit a resident alien returning to an unrelinquished
domicile, if not otherwise inadmissible under section 212(a), upon presentation of an
unexpired Permanent Resident Card (Form 1-551), a reentry permit, refugee travel
document (indicating lawful permanent residence), or temporary evidence of LPR status
such as an Alien Documentation Identification and Telecommunication (ADIT)
stamp. The question of whether or not a returning resident is seeking admission as
defined in section 101 (a)(13)(C) of the Act or has relinquished his or her domicile is a
complex one, and is discussed in Chapter 13.4. Since all but the earliest version of
Forms 1-551 are machine readable, conduct an IBIS query, where available, to verify
the card's continuing validity.
A returning resident alien is not required to present a valid passport for reentry into the
U.S. (see 8 CFR 211.2), although most will have one since a passport is often required
for entry into a foreign country. When presented, the passport should be stamped,
endorsed "ARC" or "RIP," as appropriate, and, if not already written on the passport,
the alien's "A" number should be written on the page with the admission stamp. Review
reentry permits for restrictions and stamp them with your admission stamp upon
admission. Remember that a reentry permit does not guarantee admissibility [See
section 215(d) of the Act.]. Despite this fact, a reentry permit may be accepted by
many foreign countries in lieu of a resident alien's national passport. Also, in some
instances, a foreign country will refuse to place a visa in the passport of another country
which it does not officially recognize, but it may place the visa in a reentry permit.
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Refugee travel documents may, in some instances, be issued to resident aliens. The
class of admission will be included on the data page of the document. See Chapter
21.9 for special procedures relating to LPR "commuters."
In addition to considering the general grounds of inadmissibility applicable to returning
residents, such as public charge, there are several things you should be aware of:
An LPR who accepts a position that would qualify the LPR for status as an A, E
or G nonimmigrant under section 101 (a)(15)(A), (E) or (G) may be inadmissible
as a permanent resident unless the LPR has waived or is willing to waive any
special immunities to which the alien would be entitled because of the position
that would qualify the LPR for status as an A, E or G nonimmigrant. See section
247(b) and 8 CFR 247.11.
• An LPR who has been outside the United States for more than one year (two, if
presenting a reentry permit), may have abandoned residence. Other indicators
of possible abandonment of residence are employment abroad, immediate family
members who are not permanent residents, arrival on a charter flight where most
passengers are non-residents with return passage, lack of a fixed address in the
U.S., or frequent prolonged absences from the United States. In questionable
cases, it is appropriate to ask for other documentation to substantiate residence,
such as driver's licenses and employer identification cards. [Procedures for
processing abandonment of residence cases are discussed in Chapter 17.10];
and
• An LPR who no longer has the qualifying marital or employment relationship
upon which his or her immigration was originally based may be inadmissible
based on fraud. The classification code on the Form 1-551 will permit you to
determine the basis for original admission in order to ask appropriate questions.
A table of immigrant categories is included in Appendix 13-1 of this manual.
•

You must also carefully determine that the individual in front of you is the rightful holder
of the Permanent Resident Card. The attempted use of legitimate Forms 1-551 and
reentry permits by look-alike imposters is a common occurrence. Likewise, DHS has
uncovered applications for reentry permits submitted by look-alikes using valid
Permanent Resident Cards for identity.
A thorough knowledge of the security features on the current Permanent Resident Card
and reentry permits, and a knowledge of detection techniques for photo substitutions
will help you detect counterfeit and altered cards. The DHS provides numerous aids,
such as document alerts, to assist you in developing proficiency in this area [See
discussion in Chapter 32.5.]. When you are faced with a possible fraudulent applicant,
it may also be useful to question the applicant regarding the basis for his or her original
immigration or adjustment of status. Codes and explanations of current and past
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immigrant classifications are included in Appendix 13-1. The nationality code included
on each alien registration card can also be helpful in verifying if the bearer is the rightful
holder [See Appendix 13-2].
In addition to expertise in security features and techniques for identifying counterfeit
and altered immigration benefit documents, the CBP officer must also become well
Prompt,
versed in navigating established immigration benefit computer systems.
accurate validation of LPR status can be achieved by cross checking the returning
resident's evidence, i.e. AD IT Stamp, Re-entry permit, Form 1-551 with the information
found in the Image Storage and Retrieval System (ISRS), CIS and CLAIMS.
[Procedures for validating LPR status using the noted computer systems can be found
in Chapter 31.3]

13.2 Returning Residents Lacking Evidence of Alien Registration. (Revised
5/16/05; CBP 9-05)
Ports-of-entry (POEs) encountering returning lawful permanent residents (LPR) lacking
evidence of alien registration because said evidence has been secured at home or in a safety
deposit box may offer a visa waiver pursuant to section 211 (b) of the Act, with fee, or defer the
inspection. If the LPR claims the card has been lost or stolen, the POE may accept a Form
1-90, Application to Replace Permanent Resident Card, with fee. These actions may be
considered once the identity of the LPR has been confirmed, preferably by checking against the
data contained in the Image Storage and Retrieval System (refer to Chapter 31.4} and the
validity of the applicant's status has been verified in the Central Index (Central Index) System.
Fine proceedings, discussed in Chapter 43, may also be appropriate. Any actions taken are to
be recorded in the 10-95 Results Screens.
a. Visa Waiver. A LPR requesting a visa waiver is to be enrolled in ENFORCE through the
creation of a Form 1-193, Application for Waiver of Visa or Passport, if otherwise admissible.
The applicant requesting the waiver is to review the information recorded on the printed form for
accuracy and sign where indicated. Collect the reqUired fee.
•

If the waiver is approved, stamp the original Form 1-193 and passport with an admission
stamp and endorse both with "211 (b)". Upon completion, the LPR is to be given a copy
of the Form 1-193 and be admitted as a returning resident. The original Form 1-193 is to
be forwarded to the Files Control Office (FCO) for inclusion in the A-File.

•

If a waiver is denied under section 211 (b) of the Act, the applicant may be placed in
removal proceedings before an immigration judge.

b. Deferred Inspection. Deferred inspection should be limited to a LPR who:
•

will be able to produce the requisite document within a few days; or,

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•

claims to have lost or had the Form 1-551 stolen, is unable to pay the Form 1-90 fee at
the time of initial inspection and has not been previously deferred for presentation of the
Form 1-551 document. The LPR will be required to file a Form 1-90 with U.S. Citizenship
and Immigration Services (USCIS) within the next 30-days.

The applicant is to be enrolled in ENFORCE and procedures set forth in Chapter 17.10 are to
be followed. Advise the LPR that a Form 1-90 may be filed electronically at
http://uscis.gov/graphics/formsfee/forms/efiling.htm. Appointments for fingerprints and
photographs may be made by accessing www.INFOPASS.USCIS.gov. When appearing for
the deferred inspection, the LPR will be required to present evidence, generally a Form 1-797
Receipt Notice, that the Form 1-90 has been properly filed.
c. Form 1-90 Application. Once identity and admissibility has been established, the LPR is to
prepare a Form 1-90 in duplicate. Collect the required fee. Endorse the reverse side of both
copies with an admission stamp and the notation "Admitted 211 (b), to file 1-90". One copy is to
be routed to the alien's A-file. The second form will be returned to the LPR in order to compete
the filing of the application. Process the second form in the following manner:
•

In the fee block notate "duplicate--fee previously collected".

•

On the instruction page, legibly record the text "To schedule an appointment to complete
the application process you should refer to
http://uscis.gov/graphics/formsfee/forms/efiling.htm. Appointments for fingerprints
and photographs may be made by accessing www./NFOPASS.uscis.gov ", if not
preprinted on the form.

•

Staple the receipt to the form.

•

Give the form to the LPR, advising him/her to contact USCIS as noted on the form to
obtain photographs and a fingerprint, and complete the filing of the application.

(d) Special Notes.
If at the time of the current application for admission existing records indicate that the LPR has
been issued a Form 1-90 or a deferred inspection had been scheduled to file a Form 1-90
previously, the POE should take a Form 1-193, with fee. Another Form 1-90 should not be filed
or deferred inspection should not be authorized. If the LPR requires a replacement Form 1-551,
refer the applicant to http://uscis.gov/graphics/formsfee/forms/efiling.htm. Appointments
for fingerprints and photographs may be made by accessing www.INFOPASS.uscis.gov.
A resident alien who has turned 14 years of age and has not replaced his or her alien
registration card should be advised of the registry requirements of section 264 of the Act.
Central Index should be queried during any secondary inspection, prior to deciding what course
of action is appropriate. Evidence of current status and the applicant's prior alien registration
card history will be available in the Central Index.

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A LPR presenting an expired 10-year Form 1-551 should be advised to file a Form 1-90 with
USCIS. No further action is to be taken.

13.3

Returning Military Dependents.

The spouse and children of a member of the U.S. Armed Forces, or a civilian employee of the
U.S. Government (including those paid from non-appropriated funds such as Stars and Stripes
or the Army and Air Force Exchange System) returning from a foreign assignment are exempt
many normal requirements for returning residents pursuant to 8 CFR 211.1 (a). If a dependent
is a conditional resident, and the period of conditional residence has expired, the alien should
be admitted and advised to file Form 1-751 within 90 days.

13.4

Question of Meaningful Departure.

Prior to April 1, 1997, if a lawful permanent resident was believed to be inadmissible, you had to
first make a determination whether his or her absence was "meaningfully interruptive" of
permanent residence. This topic is the focus of a key court decision, Rosenberg vs. FIe uti, 374
U.S. 449 (1963), as well as Matter of Kane, 15 I&N Dec. 258 (BIA 1975) and Matter of
Montero, 14 I&N Dec. 399 (BIA 1973). The IIRIRA amended section 101(a)(13) of the Act to
codify into statute several of the issues addressed in Fleuti by defining the terms "admission"
and "admitted".
A lawful permanent resident is NOT considered to be seeking admission
unless the alien:
•

has abandoned or relinquished that status;

•

has been absent continuously for more than 180 days;

•

has engaged in illegal activity after departing the U.S.;

•

has departed under legal process seeking removal;

•

has committed certain criminal offenses;

•

is attempting entry without inspection; or

•

has entered the U.S. without authorization by an immigration officer.

If you believe a lawful permanent resident may be inadmissible or no longer entitled to lawful
permanent resident status, you must first determine whether the alien is seeking admission
within the meaning of section 101 (a)(13)(C). If you determine the returning resident is seeking
admission, you should refer the alien for removal proceedings under section 240 of the Act as
an alien inadmissible under section 212(a) of the Act. If you determine that the alien is not
seeking admission, but may be deportable under section 237 of the Act, you may intiate

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removal proceedings under section 240 of the Act, charging the alien as deportable.
Procedures for preparing for removal hearings and processing inadmissible LPRs are
discussed in Chapters 17.6 and 17.10. This subject, especially issues involving possible
abandonment or relinquishment of status, is a complex one, and may be resolved by the
immigration judge during removal proceedings.
Procedures for preparing for removal hearings and processing inadmissible LPRs are
discussed in Chapters 17.6 and 17.10. Although the charging document, Form 1-862, Notice to
Appear, is the same for both inadmissible and deportable aliens, immigration officers
performing inspections at a port-of-entry are authorized to issue a Notice to Appear only to
arriving aliens, as defined in 8 CFR 1.1 (q). If a lawful permanent resident is not considered to
be seeking admission, he or she is not an arriving alien. If a Notice to Appear is to be issued
charging the returning resident as a deportable alien, the Notice to Appear must be issued by
one of the authorizing officers listed in 8 CFR 239.1, such as the ADDE or ADDI, in accordance
with local policy.
The fact that a returning resident may not be considered to be seeking admission does not
exempt the alien from having to present the required immigration documents to establish that
he or she holds that status. [8 CFR 211.1 and 235.1(d)(1)]. See Chapter 17.15(e) for
procedures for dealing with aliens who claim to have been admitted for lawful permanent
residence. See also section 240A of the Act concerning authority of the Attorney General to
cancel removal of LPR aliens with at least seven years continued residence. (Amended 3/9/98;
IN98-10)

13.5

Returning Residents with SB-1 Visas. (Revised IN99-11)

A returning resident who has been abroad for more than one year may be issued an S8-1 visa
by an American consular officer if the alien's'stay abroad was not an abandonment of residence
and the alien fully intended to return to the United States. The inspecting officer should review
the facts surrounding the departure and reasons for the time spent abroad. If the officer is
convinced the alien is indeed returning to his or her residence, the inspection should be
concluded.
The immigrant visa packet (OF-155) is handled somewhat differently than a new immigrant
visa.

If original 1-551 is attached:

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and forward
ee
arm 1-90, and Form 1-89 to the recipient indicated in
appendix 15-8. On Form 1-89, complete the entire Transaction 1 side of the form and
blocks 8, 0, and E of the reverse side, as appropriate. If the 1-551 is returned to the alien,
so note the OF-155.
If an original Form 1-151 or no alien registration card is attached:

13.6

Readmission of Temporary Residents.

(a) Aliens already granted temporary resident status. A temporary resident under section 210
of the Act, Special Agricultural Worker Program (SAW), with an unexpired Form 1-688 who has
not relinquished residence may be readmitted after an absence of up to 1 year [See 8 CFR
210.4(b)(3) and 211.1.]. Temporary residents under section 245a of the Act, Legalization
Program, must not have been absent more than 30 days, or an aggregate of 90 days since
obtaining status, and be returning to an unrelinquished residence [See 8 CFR 245a.2(n)(3) and
211.1.]. Status information concerning pending cases may be found in CLAIMS or CIS. If
otherwise admissible, admit the applicant, endorsing the 1-94 with the appropriate classification
code [For complete code listing, see Adjudications Field Manual, Appendix 24-1 ].
(b) Aliens who are applicants for temporary resident status. Except as described in
subparagraph (c) below, holders of Form 1-688A, applying under §245a must have an advance
parole in order to travel [See 8 CFR 245a.2(n)(2).]. Such persons attempting reentry without
an advance parole should be placed in removal proceedings. Holders of Forms 1-688A,
applying under §210 may travel without an advance parole using their unexpired 1-688A, after
an absence of up to 1 year, provided they are returning to an unrelinquished residence [See 8

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CFR 21 0.4(b)(2).].
(c) CSS/LULAC class members. Two large groups of legalization applicants have been
included as plaintiffs in ongoing litigation against the Service's regulations administering the
legalization program. lVIembers of the first group are referred to as "CSS" (Catholic Social
Services) cases; members of the second group are referred to as "LULAC" (League of United
Latin American Citizens), recently renamed "Newman," cases. Although often referred to
collectively, there are certain distinctions between the two classes.
One major distinction
concerns reentry after travel outside the United States. LULAC plaintiffs, identified in CIS as
LU1, must obtain advance parole prior to departing the United States and can be properly
placed in removal proceedings, including expedited removal, if they attempt to re-enter without
having obtained advance parole.
On January 16, 1998, the Ninth Circuit Court of Appeals issued an amended opinion in CSS v.
Reno. CSS class members are no longer entitled to employment authorization, stays of
removal, or any other immigration benefit based on their claimed CSS class membership. If an
alien is determined to be a CSS class member (COA=CS1, CS2, CS3, or CSS), the alien
should be processed as any other applicant for admission and, if found to be inadmissible, may
be placed in removal proceedings, including expedited removal, if appropriate. If, however,
such an individual is in possession of a valid, unexpired Form 1-512, Advance Parole
Authorization, issued on the basis of his or her CSS class membership, and he or she is not
otherwise admissible, he or she may only be placed in section 240 removal proceedings.
(Paragraph (c) revised 3/9/98; IN98-10)
(d) Zambrano, Perales, SEVIS OS-2019, and Proyecto litigation. Class members for these
ongoing cases must obtain an advance parole, Form 1-512, prior to departing the U.S. and may
be placed in removal proceedings if they attempt reentry without obtaining advance parole
authorization.

13.7

Conditional Residents.

A conditional resident (CR-1, C5-1 etc.) is admissible if applying before the second anniversary
of admission for conditional residence. The conditional resident may also be admissible if he or
she has a boarding letter from a U.S. consulate, has been stationed abroad under government
civilian military orders, or is the spouse or child of a person stationed abroad under government
orders.
Otherwise, the applicant for admission as a conditional resident must have filed a joint petition
or an application for waiver, Form 1-751 (marriage-based cases) or Form 1-829 (investment
-based cases), in the U.S. within the 90 days before the second anniversary but not more than
6 months prior to the application for entry.
If none of those conditions exist, the inspector may defer the applicant to file Form 1-751 or
1-829 if there is reason to believe the Service will approve a petition or waiver.

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If the applicant is not admissible, place him or her in removal proceedings.

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See 8 CFR 235.11.

Inspector's Field Manual

Chapter 14: New Immigrants.
14.1
14.2
14.3
14.4
14.5
14.6
14.7

Inspecting New Immigrant Applicants
Passport Requirements
Inspection of Family Groups
Immigrant Admission Procedures
Admission of Certain Immigrant Children without Immigrant Visas
Conditional Residents
Immigrant Commuters

References:
INA:

Sections 101(a)(27), 201, 203, 211, 212, 216, 216A, 235.

Regulations:

8 CFR 211,216,221; 22 CFR 42.

14.1

Inspecting New Immigrant Applicants.

The primary inspector processing a new immigrant must complete a variety of actions efficiently
and accurately, since the actions taken are essential steps in creating a permanent record for
the arriving alien. Examine the immigrant visa carefully to ensure it is valid and unaltered.
Generally, an immigrant visa is valid for six months from the date of issuance. For immigrants
who will lose eligibility because of age, the validity period may be shortened. For a child
adopted by a U.S. citizen in U.S. Government service abroad, an immigrant visa may be issued
for a validity of up to three years, until the citizen returns to the United States. Certain persons
chargeable to Hong Kong may have visas valid until January 1, 2002. Although alteration and
counterfeiting of immigrant visas is uncommon, such cases have been detected so you should
carefully examine each visa presented.
You must verify eligibility for the visa classification indicated on the visa page. There are
occasional misclassifications by the adjudicator or consular officer processing the visa. If you
are unsure of requirements for the classification, refer to sections 101 (a)(27), 201, or 203 of the
INA for definitions and requirements. Department of State regulations at 22 CFR 42.73 detail
procedures followed by consular officers issuing immigrant visas. Normally, you will need to
insure that either a qualifying relationship or offer of employment continue to exist. In addition,
you must assess whether immigrants specified in sections 216 or 216A of the Act are
admissible for a two-year .conditional period. A table of immigrant visa classification codes is
included in Appendix 13-1 to assist you in'determining the requirements of each immigrant
category. If a "derivative" beneficiary, that is, an immigrant receiving his or her visa based on a
visa issued to a spouse or parent, you must verify that the principal immigrant is either
accompanying the dependent or has previously immigrated. A discussion of "accompanying"
status is included below in Chapter 14.3.

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Verify that the personal data and address on the front of the visa are correct. This is critical to
insure the information on the alien registration card is correct and that the new immigrant
receives his or her card without delay.
If the immigrant holds or previously held a position which would entitle him or her to diplomatic
immunity, verify that a waiver of rights and privileges, Form 1-508, has been signed.
An 1-94 is not required for a new immigrant.
A discussion of the medical examination requirements for arriving immigrants is contained in
Chapter 17.9. A discussion of waivers available for technical problems involving immigrant
visas is contained in Chapter 17.5.

14.2

Passport Requirements.

Most immigrants are not required to have a valid passport as a condition of admission, but as a
practical matter the vast majority will have needed a passport for departure from their country of
Passport
origin and will therefore present a passport with the immigrant visa packet.
requirements for arriving immigrants are specified in 8 CFR 211.2 and should also be indicated
by the consular officer on the front of the visa.

14.3

Inspection of Family Groups.

When members of a family group arrive together and present themselves for inspection as
immigrants, you should inspect them as a group. You should not admit any member until you
are certain each member of the group is admissible. This is because an intending immigrant
who derives preference status (family based, employment based, or special immigrant) as an
accompanying spouse or child, or who is charged numerically to the foreign state limitation of
another family member as specified in section 202(b) of the INA, is inadmissible if the principal
alien or alien whose foreign state was charged numerically is not admitted.
The term "accompanying" as used in this context does not necessarily mean that the derivative
alien is physically accompanying the principal alien. An "accompanying" alien may actually
seek admission up to four months after the principal has been admitted. An "accompanying"
alien may not, however seek admission based on his or her derivative status before the
principal alien has been admitted [See Matter of Khan, 14 I & N Dec. 122 (BIA 1972)].
"Accompanying" is defined in 22 CFR 40.1 (a), and generally includes any qualifying derivative
alien issued an immigrant visa within four months of visa issuance, adjustment of status, or
registry of the principal immigrant. Absent .evidence of fraud or error, you should accept the
consular official's finding that an alien has derived status as an accompanying alien.
Similar to "accompanying" aliens are those who are "following to join" a principal beneficiary.
These aliens are permitted to obtain the status of the principal alien so long as the "following to

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join" alien possesses the required spousal or parental relationship with the principal. There is
not necessarily any time limit involved so long as the required relationship still exists (See 9
FAM 40.1, N.?). The classic example involves the married child or child over age twenty-one
seeking admission as the unmarried child of an immigrant or as the minor child of an immigrant.
Because the qualifying relationship no longer exists, the alien cannot "follow to join." It is
irrelevant that at the time the visa was issued the relationship did exist. Thus, in either the
"accompanying" or "following to join" situation, you should be careful to verify that the
relationship between the principal and dependent aliens existed at the time that the principal
alien obtained his or her status and continues to exist at the time that the derivative alien seeks
admission based on that relationship.

14.4 Immigrant Visa Admission Processing Procedures. (Revised by CBP
3-04)
(a) Processing at the Port-of-Entry (POE). After it has been determined that the
immigrant is admissible to the United States, the Immigrant Visa (IV) Packet must be
processed following the instructions set forth in paragraphs (1) through (8). The U.S.
Department of State (DOS) issues a Machine Readable Immigrant Visa (MRIV) in the
immigrant's passport. If a passport is unavailable, the DOS will issue the MRIV on a
Form OS-232. Existing copies of the older version OF-232 are still valid. The Forensic
Document Lab Alert 2004A-35 issued February 20, 2004 provides the details of the
new I\I1RIV. The traditional Standard Immigrant Visa (IV) Packet, Optional Form 155A
may be issued by a U.S. Consulates or U.S. Embassy awaiting MRIV deployment.
On June 28, 2004, the DOS began incorporating the language of the Alien
Documentation Identification and Telecommunication System (ADIT) Stamp, commonly
referred to as the "Temporary 1-551 Stamp", into the secure MRIV by electronically
printing the following statement in the body of the MRIV directly above the
machine-readable zone:
"UPON ENDORSEMENT SERVES AS TEMPORARY 1-551 EVIDENCING
PERMANENT RESIDENCE FOR 1 YEAR"
In early September 2004, the DOS began issuing MRIVs with an "Immigrant Data
Summary" sheet. The summary sheet includes a digitized photograph of the immigrant,
an admission stamp block and the data necessary for the creation of the Form 1-551.
The MRIV packets issued between June 28, and early September 2004 do not include
the immigrant data summary sheet, traditional IV Packet, Optional Forms 155A1155B
cover page, or any other type of cover sheet. During that time, the DOS issued IV
packages in a sealed envelope identified with the name of the immigrant. All IV
packets contain the Form OS-230 Part 1, Application for Immigrant Visa and Alien
Registration, supporting documentation and photographs.
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Effective August 2, 2004, the photograph requirement standard became full frontal face
position, commonly known as passport style photographs. Both three-quarter and full
color frontal photographs will both be accepted until September 1, 2004. After that
date, only passport style photos will be accepted. Three-quarter photos attached to the
old-style OF-155B forms in immigrant visa packets or included in the MRIV packets
issued prior to September 1, 2004 by DOS will be accepted when processing an
immigrant visa at the POE.

(1) Review the Immigrant Visa Packet: Confirm the applicant's identity by
comparing the photograph on the MRIV or the photograph attached to the IV to the
immigrant. Cross check the identity with the passport. If a passport is not required
and unavailable; reference 8 CFR 211.2, compare the immigrant's appearance to
government-issued identification containing the immigrant's name, date of birth
and/or signature. Verify the immigrant's information listed on the data summary
sheet, Form OS-230 or standard IV, particularly the gender, marital status and
mailing address. The address field should reflect the most current and accurate
mailing address for the immigrant. The phrase "In care of" should be used
whenever appropriate to ensure proper delivery.
•

MRIV with Data Summary Sheet. Any changes or updates to the MRIV
packet should be made directly and clearly to the data summary sheet,
validated with the officer's initials. If the officer corrects or modifies any data
on the data summary sheet, he or she must attach and sign an explanatory
memorandum.
• IV1RIV Lacking Cover Page. If the officer determines that any data on the
Form OS-230 requires correction or modification, he or she must circle the
item number on the application. Attach a signed explanatory memorandum
identifying the item and requested correction. The officer should not make
any data changes directly on the Form OS-230.
• Traditional IV. Any changes or updates to the traditional IV should be made
directly and clearly to the IV, validated with the officer's initials. If the officer
corrects or modifies any data on the IV, he or she must attach and sign an
explanatory memorandum.
(2) Endorse the Immigrant Visa Packet. The DOS will provide the immigrant with a
visa packet, to be processed in the following manner:
(A) Machine Readable IV with Data Summary Sheet:
• Stamp the "Admission Stamp" block with the admission stamp. Ensure
that the stamp can be easily read and is not too light or smudged. The
CBP officer's admission stamp serves as evidence of valid admission as a
permanent resident and establishes the immigrant's date and place of
admission. Both are required data elements for the creation of the Form
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•

1-551.
Legibly record the class of admission on the line provided on the
admission stamp.

(8) Machine Readable IV, Without Data Summary Sheet: The Form OS-230
submitted to the DOS is usually printed on one-sided paper.
• Stamp the reverse (blank) s'ide of the Form OS-230 with the admission
stamp. Ensure the impression is clear and distinct. The inspector's
admission stamp serves as evidence of lawful admission as a permanent
resident and establishes the immigrant's date and place of admission.
Both of these items are required data elements for creation of the Form
1-551.
• Legibly record the class of admission on the line provided on the
admission stamp.
• Legibly record the A-Number from the upper right corner of the MRIV
below the admission stamp.
• Create a photocopy of the MRIV to be forwarded to the service center with
the IV Packet.
• POEs are not required to endorse the Form OS-230 with the "Processed
for 1-551" stamp or record the manner of arrival i.e. flight, vessel data,
train, bus, etc.
In the event that the MRIV packet contains a Form OS-230 that is printed on
both sides of the paper (double sided):
• Stamp the upper left corner of the front side of the Form OS-230 near the
eagle with the admission stamp. Ensure that the stamp can be easily read
and is not too light or smudged. The CBP officer's admission stamp
serves as evidence of valid admission as a permanent resident and
establishes the immigrant's date and place of admission. Both of these
items are required data elements for the creation of the Form 1-551.
• On the line provided on the admission stamp, legibly record the class of
admission.
• Across the center top of the Form OS-230, legibly record the registration
number from the upper right corner of the MRIV.
• Create a photocopy of the MRIV to be forwarded to the service center with
the IV Packet.
• POEs are not required to endorse the Form OS-230 with the "Processed
for 1-551" stamp or record the manner of arrival i.e. flight, vessel data,
train, bus, etc.

(C) Standard Immigrant Visa (IV) Packet, Optional Forms 155A or 1558
• Stamp the "Action by Immigration Inspector" block with the admission
stamp. Ensure that the stamp can be easily read and is not too light or
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Inspector's Field Manual
smudged. The inspector's admission stamp serves as evidence of valid
admission as a permanent resident and establishes the immigrant's date
and place of admission. Both are required data elements for the creation
of the Form 1-551.
Place a "Processed for 1-551" stamp in the block labeled "USPHS"
(located in the lower right corner) using security ink as specified in IFM
34.10. On the "Valid to" line, enter a date that is 12 months from the date
of admission.
Record the applicable flight or vessel data in the block "The Immigrant
Named Above Arrived in the United States Via (Name of Vessel or Flight
Number of Arrival)". If traveling across a land border, designate privately
owned vehicle (POV), on foot, train, bus, etc.

(3) Issue Temporary Evidence of Permanent Residence Status. DHS must provide
the immigrant with temporary evidence of permanent resident status while the
permanent Form 1-551 is being processed.
(A) MRIV with Temporary 1-551 Language. MRIVs issued after June 28, 2004
should contain temporary 1-551 language electronically printed in the body of the
MRIV directly above the machine-readable zone. Upon the CBP officer's
placement of an admission stamp .on the MRIV, the alien is admitted to the
United States as a permanent resident. The stamp should be placed on the
upper portion of the MRIV so that part of it overlaps onto the adjoining page.
Endorse the upper left corner if possible. Ensure that the stamp can be easily
read and is not too light or smudged. When an MRIV bearing this statement and
contained in an unexpired foreign passport is endorsed with an admission stamp
it constitutes a temporary 1-551, valid for one year from the date of endorsement
on the admission stamp. This document is acceptable for travel and
employment purposes.

Under limited circumstances, if a passport is unavailable, the DOS will issue the
MRIV on a Form OS-232. Existing copies of the older version of the OF-232 are
also still valid.
(8) MRIV Lacking Temporary 1-551 Language or Standard IV. If the alien is in
possession of a passport that does not contain a MRIV with temporary 1-551
language (which for this purpose may be either valid or expired):

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•

Endorse the appropriate passport in the manner outlined above if the
immigrant is a minor child accompanying (and listed in the passport of) his
or her parent. Include a separate "Processed for 1-551" and admission
stamp for each child indicating the child's name, A-Number and class of
admission.

(C) No Passport. If the alien is not in possession of a passport or a MRIV with
temporary 1-55'1 language, an Arrival/Departure Record, Form 1-94 can be used
to create a temporary Form 1-551. The creation of a Temporary 1-551 should be
limited to immigrants not in possession of a passport. The arrival portion of an
Arrival/Departure Record, Form 1-94 is used to create the document, in
accordance with these instructions.

(4) Check the Photographs: The IV should contain recent photographs of the
immigrant. The DOSstandard for IV photographs requires that (except in countries
where the consular officer determines that facilities for producing color photographs
are unavailable or where obtaining color photographs would cause applicants undue
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hardship) each applicant, regardless of age, furnish two identical photographs, to
be included with the IV.

Extras that may be available will be in an envelope stapled in the upper right corner
of the IV below the supporting documents.

r

•

The photograph should be no larger than 2 X 2 inches, with the distance
from the top of the head to just below the chin about 1 to 1 3/8 inch;

•

The photograph must exhibit an acceptable level of contrast. The
photograph will not scan properly if the person has a very fair complexion
and the image is light in comparison to the background. If the person has
a very dark complexion and there are a lot of shadows in the picture, it will
not scan correctly;
Hats and headgear are not authorized, unless worn daily for religious
reasons; and,
Digital photographs are acceptable on photo quality paper. An electronic
copy is not acceptable.

•
•

(8) Record the A-number and alien's name in pencil, not a ballpoint pen, on the
back of the photographs. Do not apply excessive pressure on the photo, as it
may cause the A-number to appear on the photograph, making it unusable.
(C) Insert the photos in an envelope, glassine if available, and staple the
envelope to the Form 1-89 where the form indicates its placement. Officers
should take care not to staple through the photograph(s), or transfer ink to the
face of the picture from their pen, hands, or other documents.

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(7) Secure the original documents in the IV: Original documents such as birth
certificates, adoption decrees, or marriage certificates, contained in the IV packet
are considered part of the record and should not be disturbed, with the exception of
the SB-1 visa classification explained above. The DHS will return original
documents to the immigrant upon written request. In this instance, a copy of every
document returned must be substituted for the original and marked "Exact copy of
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original", with the date and officer's initial.
(8) Conduct a final review: As a final step prior to allowing the immigrant to depart
from the inspection area:
• Review the Form 1-89 and IV for completeness and accuracy. Officers should
exercise extreme care to ensure the placement of the admission stamp and
other processing steps are completed prior to dismissing the immigrant from
the inspection area and forwarding the IV packet to the service center. If the
IV does not contain the inspector's admission stamp, the service center will
not be able to create a Form 1-551 subsequently requiring corrective action
on the part of the service center and the POE.
• Remind the immigrant, if he/she is being admitted conditionally, that an
application for removal of conditions must be filed within the 90-day period
immediately PRIOR TO the second anniversary of the date of admission.
• Advise the immigrant that the Form 1-551 will be mailed to the address on the
immigrant visa. Instruct the immigrant that if he/she moves prior to the
receipt of the card a forwarding address should be provided to the post office.
The notification should include all family members to ensure everyone
receives his/her Form 1-551. Ifthe address is incorrect or missing, the service
center does not have a mechanism for contacting the immigrant; as a result
card production is suspended until an inquiry about the status of the card is
made. Generally, immigrants file an Inquiry About Status of 1-551 Permanent
Resident Card, Form G-731, with the appropriate service center to locate a
missing card.
• Inform the immigrant to check with their USCIS district office if they have not
received their card within 4 to 5 months. If the service center is notified
promptly, there is a chance that a card that was returned as undeliverable
can be re-sent before it is destroyed.
(b) Transmittal of Immigrant Visa Package to the Service Center. POEs shall observe
the following steps to transmit the immigrant visa package to the Service center:
(1) POE Review of IVs: Prior to forwarding to the designated service center,
conduct a quality control review of all IV's to ensure that the required data elements,
biometrics and photographs meet Service standards.
(2) Separate out USPHS cases. Separate out visas requiring Public Health Service
attention (following local SOPs) and forward such visas to the USPHS address
indicated in Appendix 15-8).
(3) Log and prepare visas for mailing. Log the visa data on the Immigrant Visa Log.
When packaging the visas, include a manifest indicating the POE, quantity of visas
and date of entry.
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(4) Mailing Immigrant Visa. Within 24 hours of alien's admission to the United
States, forward the entire immigrant visa packet with the completed Form 1-89 to the
appropriate Service Center at the address specified in Appendix 15-8

14.5 Admission of Certain Immigrant Children without Immigrant Visas.
(Revised IN99-11) (Amended IN98-21) (Revised IN98-07)
Children may be admitted as new immigrants without presenting an immigrant visa
under two circumstances:
A child born to an accompanying parent after issuance of an immigrant visa to the
parent but prior to the parent's initial admission as an immigrant (XE3, XF3, XR3 or
XN3); or
A child, under 2 years of age, born during a temporary absence of a lawful permanent
resident mother if the child is accompanying the parent who is reentering the U.S. as a
returning resident for the first time after the birth of the child (NA3).
You must establish the relationship between parent and child, generally by a birth
certificate (with English translation) and, of course, the admissibility of the parent.
There have been incidents of attempted fraud in such cases, so in doubtful cases,
corroborating evidence such as medical records may be required. Verify the parent's
LPR status using the Central Index System.
It is important that you properly record the admission of such new immigrants. If you
are processing a child born subsequent to the issuance of an immigrant visa, use the
following admission symbols:
•

XE3 Parent is an employment based immigrant;

•

XF3 Parent is a family based immigrant;

•

XR3 Parent is an immediate relative; or

•

XN3 Parent is none of the above.

A child admitted with a returning resident parent is admitted in class NA3.
Upon admission, stamp the passport (the parent's passport if the child has none) with
the admission stamp and endorse it with the admission symbol above. Stamp the
"temporary 1-551" stamp in the passport. Complete Form 1-181, Memorandum of
Creation of Record of Lawful Permanent Residence. Check the block marked "other
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law" and note the block 8 CFR 211.1 (b)(1). Place an admission stamp on the right side
of the block reserved for use by visa control office and endorse it with the appropriate
visa symbol. Complete Transaction 1 of Form 1-89, including a photograph, and
forward the 1-89, 1-181, and copy of the birth certificate to the recipient indicated in
appendix 15-8 for creation of the alien file and production of the child's alien registration
card. Forward a copy of the 1-181 to the file of the parent.

14.6

Conditional Residents.

Admission procedures for conditional immigrants (based on spouse or investment) are
discussed in 8 CFR 235.11. Procedures are generally the same as for other immigrants, but in
spouse cases, if the marriage upon which the visa is issued occurred more than 2 years prior to
the date of admission, you must admit the alien unconditionally, regardless of the visa symbol
on the immigrant visa.
Conversely, if you encounter an immigrant visa classified as
unconditional, where the qualifying marriage occurred less than 2 years before the date of
admission, you must admit the immigrant conditionally.

14.7

Immigrant Commuters.

Refer to Chapter 21.9.

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Chapter 15: Nonimmigrants and Border Crossers.
15.1
15.2
15.3
15.4
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
U)
(k)
(I)
(m)
(n)
(0)
(p)
(q)
(r)
(s)
(t)
15.5
15.6
15.7
15.8
15.9
15.10
15.11
15.12
15.13
15.14
15.15
15.16

General Considerations and Processing Instructions
Passports
Visas
Requirements and Procedures for Nonimmigrant Classes
Foreign government officials
Visitors
Transits
Crewmembers
Traders and investors
Students
Representatives to, and employees of, international organizations
Temporary workers
Representatives of information media
Exchange aliens
Fiance(s) of U.S. Citizens and Nonimmigrant Spouses of U.S. Citizens
Intracompany transferees
Vocational students
Certain special immigrant spouses and children
Aliens of extraordinary ability
Artists, athletes and entertainers
International cultural exchange visitors
Religious workers
Confidential witnesses and informants
NATO employees
NAFTA Admissions
Transit without Visa Admissions
Visa Waiver Program
Guam Visa Waiver Program
Border Crossing Card (BCC) Admissions
Entry of Nonimmigrant Workers during Labor Disputes
Special Interest Aliens
Correction of Erroneous Admissions
Nationals of Former Trust Territories
Hong Kong Travel Documents
Cancellation of nonimmigrant visas under section 222(g) of the Act.
Student and Exchange Visitor (SEVIS) Processing

References:
INA:

Section 101(a)(15), 212, 214, 217, 231, 232, 233, 235.
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Other law:

Pub. L. 99-396 (Omnibus Territories Act).

Regulations:

8 CFR 212,214,231,232,233,235; 22 CFR 41.

15.1 General Considerations and Processing Instructions. (Revised 5/16/05;
CBP 9-05)
(a) General. As a primary inspector, the majority of your workload will deal with nonimmigrant
aliens. You must be thoroughly familiar with the requirements for admission of the many
nonimmigrant classes you encounter in order to function effectively as an inspector. Familiarity
with the requirements for various categories will increase your efficiency in detecting
inadmissible aliens and will accelerate the admission process for those who meet the necessary
requirements.
(b) Preparation of Forms 1-94 and other INS documents.
General: You perform a vital role in creating an accurate record of admission, the basis for all
further immigration-related activity that a nonimmigrant may engage in while in the United
States. Your processing of the basic Form 1-94, Arrival-Departure Record, and other
documents you encounter during the inspection process is a critical part of the agencies'
system of records. It is important that you properly record relevant notations such as file
numbers, waivers, and any restrictions on admission in the appropriate places on agency
forms. Precise adherence to standards for entries on these forms is critical to creating reliable
databases. In turn, reliable databases are essential to the CBP law enforcement and
intelligence missions.
The specific requirements for issuing Form 1-94 are set forth in 8 CFR 235.1 (f). The Form 1-94
may be issued for a single entry, or, at land border ports-of-entry, it may be valid for multiple
entries for frequent border crossers. See Chapter 21.7. A special edition of Form 1-94 is
required for Visa Waiver Program aliens (Form 1-94W) and certain land border POEs
generating the form electronically (Form 1-94A).
Forms 1-94A are issued at designated land border POEs. The Form 1-94A is identical to the
Form 1-94; however, the biographical, visa, passport and U.S. destination data is electronically
printed on the Form 1-94A, Departure Record. This information is electronically captured in IBIS
eliminating the need to produce a hardcopy of the Form 1-94 Arrival Record for submission to
the contractor for data entry. This system is also used to generate the Form 1-94W.
(A) Airport/seaport Processing: As a CBP Officer, you must take such reasonable time
as needed to ensure that all Forms 1-94 presented to you during your inspection
activities are filled out completely, are legible, and accurately reflect the nonimmigrant's
passport or other appropriate travel document information.

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You must ensure that each nonimmigrant alien presents the correct version of Form
1-94. Aliens seeking admission with a nonimmigrant visa must never submit a green
Form 1-94W. Only nonimmigrant aliens seeking entry under the Visa Waiver Program
(VWP) may use this version of Form 1-94. Conversely, an alien seeking entry under the
Visa Waiver Program must never submit a white Form 1-94. You must not process an
alien for admission if they present the incorrect version of Form 1-94.
A valid B-1/B-2 visa takes precedence over any application for admission made under
the VWP. Thus, if a national from a VWP country presents a Form 1-94W but has a
valid 8-1/2 visa in his or her passport, the alien must be issued a regular Form 1-94 and
processed as a B-1/2 visitor.
In particular, it is critical that all arriving aliens that are required to be documented on
Form 1-94 or 1-94W provide an adequate address in the United States. An adequate
address is one at which any law enforcement official could locate the nonimmigrant alien
without undue delay. Nonimmigrant aliens who claim to be touring (e.g. by bicycle or
car) must still provide an adequate address for their first night's lodging. In some
situations, the address provided might be that of another person who will know the
actual whereabouts or itinerary of the named nonimmigrant alien. Nearly all travelers
know where they are going - how else are they going to give a taxi driver directions?
Many carry printed itineraries from travel agents, or receipts from Internet web sites.
They also usually know a relative or sponsor's phone number or address.
You must not process an alien until and unless they provide full and correct information
on Form 1-94 or 1-94W. If you encounter an alien with an incomplete or improperly
completed Form 1-94, as the situation warrants and depending on local operating
conditions, you should first refer these aliens to carrier personnel for assistance in
completing the arrival and departure information properly. If this does not result in an
acceptable Form 1-94, you may refer nonimmigrants that are unwilling to provide
complete arrival and departure Form 1-94 information, including an adequate address,
for secondary processing so they do not delay primary inspection processing.
(8) Land Border Processing: During the primary inspection, determine if additional
documentation is required. If so, refer the alien to secondary inspection for further
review and processing. Aliens seeking entry under the Visa Waiver Program must be
documented on a green Form 1-94W. You must document those aliens seeking
admission with a nonimmigrant visa, and aliens applying for nonimmigrant classification
other than a visitor status and exempt nonimmigrant visas on a white Form 1-94.
Generally, the inspector will complete the Form 1-94, Form 1-94W or 1-94A, where
available. However, there are no restrictions preventing the alien or a third party from
filling out the form (except for the Form 1-94A). Review the data to ensure that it is
complete, legible, and accurately reflects the nonimmigrant's passport or other
appropriate travel document information. It is critical that all arriving aliens who are
required to be documented on Form 1-94, Form 1-94W or Form 1-94A provide an
adequate address in the United States. An adequate address is one at which any law
enforcement official could locate the nonimmigrant alien without undue delay.

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Nonimmigrant aliens who claim to be touring (e.g. by bicycle or car) must still provide an
adequate address for their first night's lodging, unless the alien is making a short day
trip to visit or shop.
(2) Securing Form 1-94: Once you complete your primary inspection and separate the
departure and arrival portions of Form 1-94, you must staple the departure portion of the
Form 1-94 to the nonimmigrant alien's passport at the bottom edge of the form, at or next to
the words "STAPLE HERE." The departure Form 1-94 contains this perforated tab
specifically for stapling. Do not staple the departure portion of Form 1-94 in any other
manner. Advise the alien of the requirement to surrender the Form 1-94 upon departure, as
instructed on the reverse side of the form. When the alien departs the United States, carrier
personnel can easily remove the departure card from the alien's' passport by tearing along
the perforation, without damaging the important information on the departure card.
(3) Special Endorsements: The reverse of Form 1-94 contains a series of blocks that must
be completed by the inspecting officer in certain instances. Specific requirements are
included below, in the discussion of each nonimmigrant category - see Chapter 15.4. This
information is entered into CBP automated records. CBP uses these records for a variety of
reports to Congress and others. Thus, accurate entry of data into these fields is very
important. Item 18 on Form 1-94 is of particular Congressional interest and is required for a
variety of international agreements. The following table explains the usage of each block on
the reverse of Form 1-94.

'Ii
Block Title
1 Occupation

Usage
Complete for principal H, J, L, 0, P, Q, R,
and NAFTA

1 Waivers

Insert section of law for any type of
waiver granted

2 INS 'file

Insert any known "A" number relating to
this alien

2 INS FCO

Insert files control office (FCO) when
known

2 Petition Number

Complete for H, L, 0, P, and Q
principals.
For F, J, and M
record the 10 digit SEVIS 10 number.

2 Program Number

Complete for J-1

2 Bond

Check block if bond posted

2 Prospective

Check block if prospective student status
was indicated by the alien or the U.S.
consulate

Student

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2 Itinerary/Comments

Various (see notes for each
nonimmigrant class)

(4) Exemptions to Form 1-94 Requirements: A Form 1-94 is not required for the
following classes of nonimmigrants:
(A) A Canadian national or other nonimmigrant described in 8 CFR 212.1 (a) or
22 CFR 41.33 admitted as a visitor for pleasure or business or in transit through
the U.S.;
(B) A nonimmigrant alien residing in the British Virgin Islands admitted solely to
the U.S. Virgin Islands for business or pleasure under 8 CFR 212.1(b);
(C) A Mexican national seeking admission for business or pleasure, within 25 miles of
the Mexican border, for less than 72 hours, holding a valid Mexican Border Crossing
Card (any form) or valid Mexican passport and multiple entry B-1 or B-2 visa;
(D) A Mexican national seeking admission for business or pleasure through the Arizona
land border ports-of-entry at Naco, Sasabe, Nogales, Mariposa, and Douglas, traveling
within 75 miles of the Mexican border, for less than 72 hours, who holds either a valid
Mexican Border Crossing Card (any form) or valid Mexican passport and multiple entry
B-1 or B-2 visa;
(E) A Mexican national, holder of a diplomatic or official passport, as described in 8 CFR
212.1(c)(1); or
(F) Certain NATO nonimmigrant aliens described at 8 CFR 214.2, who are exempt from
the control provision of the Act (refer to 8 CFR 235.1 (c)).
You will handle other Department of Homeland Security (DHS) documents that are used
as primary data entry documents, notably for employment authorization and alien
registration. In any situation where you are required to enter data on such forms or
capture a signature specimen, fingerprint, or photograph, review the materials carefully
to insure full compliance with the speCifications for the form. Historically, the
ports-of-entry have had a high rejection rate for such forms, resulting in extra work for
the agency and serious inconvenience for travelers. Take the time to review data
collection forms before the applicant leaves the area. Periodically review local data
collection and quality control procedures to insure full compliance with set standards.
(5) Departure Form 1-94 in Passport of Arriving Nonimmigrant Alien: If a nonimmigrant alien
arrives with an unexpired Form 1-94 that will not be replaced during the course of the
inspection due to automatic revalidation provisions as discussed in Chapter 15.3(b), you
may readmit for the time remaining after you are satisfied that the alien is admissible.

•

Special Note for Students: You must issue a new Form 1-94 to:
Academic students (F-1) and their dependents (F-2) in possession of a properly

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endorsed SEVIS Form 1-20, Certificate of Eligibility for Nonimmigrant Student Status,
who are returning from other than contiguous territory or adjacent islands, or who are
returning from contiguous territory or adjacent islands from a departure of more than 30
days, unless the alien is continuing as a student returning from a single break between
classes/semesters and has not departed beyond those contiguous territories or adjacent
islands during the break.
Vocational students (M-1) and their dependents (M-2) in possession of a properly
endorsed SEVIS Form 1-20 who are returning from other than contiguous territory, or
who are returning from contiguous territory from a departure of more than 30 days.
You must not use the initial or previously issued Form 1-94 and former admission
number upon readmission. Endorse the new Form 1-94 in the manner described below.

(6) Signifying departure on Form 1-94 with a CBP Admission Stamp: In the routine course of
operations, you will receive departure portions of Form 1-94, Form 1-94W or Form 1-94A.
This may occur when individual aliens seek to report their departure, or carriers and border
management officials return departure Forms 1-94 under a local operating agreement.
re Form 1-9
Regardless of the
is date is en ere as the
departure ate unng the data entry process, the system may determine that the alie,n
overstayed his or her earlier authorized period of admission. This error could have serious
implications for the nonimmigrant for future travel to the United States. However, in some
circumstances, at some locations, border control officials from Canada or Mexico may apply
their admission stamp to the reverse of a departure Form 1-94. If the date on a Canadian or
Mexican admission stamp reflects a current departure from the U.S. and entry to contiguous
foreign territory, this is acceptable as evidence of departure from the U.S. Forward these
Form 1-94s for data entry.
(c) Procedures for Processing Form 1-94s: All arrival Forms 1-94 collected by CBP officers and
departure Forms 1-94 collected by carrier personnel (or, at land borders directly by CBP) must
be promptly routed for data entry to the CBP contractor. See handling procedures in Chapters

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21.8 (land), 22.7 (airport), and 23.4 (seaport).
In addition, remove all staples, paper clips, or other foreign materials from any Form 1-94
prepared for sending to data entry before bundling with other Forms 1-94. The only exceptions
are that Form 1-94 should remain stapled to Form 1-736, Guam Visa Waiver Information.
The properly annotated, sorted, and bundled arrival and departure Forms 1-94 and 1-94W for all
nonimmigrant aliens must be shipped daily, but not later than the following business day, via
overnight express package delivery services, or fastest available surface mail service to the
CBP data entry contractor at the address contained at Appendix 15-8.
(d) Miscellaneous Procedures for Handling Certain Form 1-94s: In addition to Forms 1-94
encountered at the ports-of-entry during routine primary inspection processing, you may
frequently encounter situations which cause serious complications if arrival and departure
records are not corrected or properly recorded to the IBIS. These situations and procedures for
addressing them include:
(1) Departure Form 1-94 not immediately available: When a nonimmigrant visitor asks how
to return a departure Form 1-94 that a carrier failed to collect on departure, you should
advise the nonimmigrant alien that, jf he/she returned home with the Form 1-94/Form 1-94A
(white) or Form 1-94W (green) in their passport, he/she must correct CBP records. He/she
must provide CBP sufficient information to enable us to connect their claimed departure to
their original arrival into the United States, so we can close the prior record. Provide the
alien(s) the material contained at IFM Appendix 15-10.
(2) Correcting "Confirmed" Overstay Lookouts: When a previously recorded, but allegedly
erroneous, Form 1-94 arrival or departure date causes an automatic lookout entry because
the system determined a confirmed overstay condition existed, CBP must try to determine
the correct arrival and departure date sequence. Once the arrival or departure date is
entered to the IBIS, only the CBP Lookout Unit can change these dates. There are internal
procedures to accommodate this. These situations frequently occur as written complaints
from aliens, Congressional inquiries, or letters from attorneys or employers.
To address these alleged mistakes, officers handling complaints or inquiries must advise
the alien or their representative to submit the information referenced in (d)(1) above to the
local port-of-entry or local CBP office, not directly to the CBP' contractor, specified at
Appendix 15-10. When the alien or their representative return the supporting information,
personnel at the local port-of-entry or field office must forward the information, with an
explanation of the issue, the current facts contained in IBIS, and a formal request to the
CBP Lookout Unit to request the Lookout Unit to modify the dates shown in the IBIS
database.
Under no circumstances are CBP personnel to advise aliens or members of the public to
communicate with or write to the Lookout Unit directly.

15.2

Passports.
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Except where specifically exempted, each arriving nonimmigrant must present a valid passport.
Generally, a passport (defined in section 101 (a)(30) of the Act) must be valid for 6 months
beyond the period of initial admission [See section 212(a)(7)(8) of the Act and 8 CFR
214.1 (a)(3).]. There are a number of countries with which the Department of State has
concluded agreements providing for return of the holder to his or her country of origin up to 6
months beyond the nominal expiration date of the passport. If a country is listed on this
"6-month" list, his or her passport needs to be valid only until the date to which the alien is
being admitted.
The 16-month" list is contained in Appendix 15.2.
General passport
requirements and exceptions are discussed in 8 CFR 212.1 and 22 CFR 41.1.
In addition to determining the validity of each passport presented, you must inspect the
document to determine if it has been altered through data eradication, photo substitution, page
substitution, or counterfeiting. You also must compare the photograph to the person presenting
the passport, to ensure it is not an imposter. The Service makes available various passport
studies to assist you in this process. These should be available at Ports-of-Entry for your
reference. Instances of passport fraud often occur in batches.
Use local port intelligence
for trends to assist you in focusing on documents with a high probability of fraud.
Ordinarily, Service officers may endorse the passport of a nonimmigrant applicant for admission
only with the admission stamp and specifically authorized notations such as those specified in
Chapter 15.3(d), or notations which cancel a visa, when INS officers are specifically empowered
to do so. Additional unauthorized passport notations must be avoided.
During the primary inspection at Sea and Air POEs, the inspecting officer shall ensure that the
passport number for each applicant for admission who presents a passport (with the exception
of a returning resident alien in possession of an 1-551 or temporary evidence of such, Re-Entry
Permit or Refugee Travel Document) is queried in IBIS/APIS as part of the primary query.
In cases where no APIS record relating to the applicant has been transmitted, the primary IBIS
query shall consist of the Applicant's Last Name(s), First Name(s), Date of Birth, and passport
number, or A-number (entered into the document # field). In cases where an APIS record
relating to the applicant has been transmitted, but the record does not contain document
number information, the APIS record must be modified to include the applicant's correct
passport number, or A-number (entered in the document # field after the record is selected for
modification).
Regardless of whether an APIS record relating to the applicant has been transmitted, when
either the biographical page of a machine readable passport or a machine readable
nonimmigrant visa is scanned on primary, the system automatically incorporates the passport
number into the primary query, and modifies the corresponding APIS record, if necessary.
When an 1-551 or temporary evidence of such, Re-Entry Permit or a Refugee Travel Document
is scanned, the system automatically incorporates the A-number into the primary query, and
modifies the corresponding APIS record, if necessary.
When manually entering the passport number on primary, if the passport has a perforated
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Inspector's Field Manual
number, inspectors shall enter this number into the document # field on primary. If the
document does not have a perforated number, the individual booklet number that is preprinted
at time of production (as opposed to the number added at the time of issuance) shall be
entered. If the document has neither a perforated number nor a pre-printed booklet number,
the inspecting officer shall enter the number found in the passport/document number field on
the biographical/photograph page of the passport.
(Revised IN99-27)

15.3

Visas.

(a) General. With certain exceptions, each arriving nonimmigrant must present a valid
visa. The exceptions are specified in 8 CFR 212.1 and 22 CFR 41.1 and discussed
below.
As with passports, you must examine each visa for alteration, photo
substitution, or page substitution. The Machine-Readable Visa (MRV) has replaced
the previously issued red, green, and blue "Burroughs-style" visas. Visas issued by
most consular posts indicate "bearer(s)" while those at high fraud posts will specify the
name of the person to whom the visa was issued. DHS periodically releases document
alerts to help identify genuine visas as. well as recently encountered counterfeit and
altered visas. These should be readily available at ports-of-entry for reference.
Appendix 15-6 includes a list of consular posts and the dates on which they converted
to the MRV format.
(b) Automatic revalidation. Specific requirements and restrictions outlined in 8 CFR
214.1 and 22 CFR 41.112 provide for the automatic revalidation of expired
nonimmigrant visas of aliens who have been out of the United States for 30 days or
less in contiguous territory and have a Form 1-94, Arrival-Departure Record, showing
the DHS authorization of an unexpired period of admission. Such aliens may apply for
readmission in the same classification or in a new classification authorized by DHS prior
to their departure. In the latter case, the revalidation includes a conversion to the new
classification. In the case of a qualified F-1 student or J-1 exchange visitor who has a
remaining period of authorized stay, the absence may have been in either contiguous
territory or adjacent islands other than Cuba. Automatic revalidation is applicable only
in the case of a nonimmigrant alien who is (Revised by CBP 3-04):
•

In possession of a Form 1-94, Arrival-Departure Record, endorsed by DHS to show
an unexpired period of initial admission or extension of stay; or,
o A qualified F-1 student or the accompanying spouse or child of such an alien, in
possession of a current SEVIS Form 1-20AB, Certificate of Eligibility for
Non-immigrant (F-1) Student Status - For Academic and Language Students,
issued by a school authorized by DHS for attendance by foreign students, and
endorsed by the issuing school official to indicate the period of initial admission
or extension of stay authorized by the DHS; or,
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o

•

A qualified J-1 exchange visitor or the accompanying spouse or child of such an
alien in possession of a valid SEVIS-generated Form DS-2019, Certificate of
Eligibility for Exchange Visitor (J-1) Status issued by a Department of State
designated program sponsor indicating the period of initial admission or
extension of stay authorized by DHS.

Is applying for readmission after an absence not exceeding 30 days solely in
contiguous territory (Canada or Mexico), or, in the case of an F-1 student or J-1
exchange visitor or accompanying spouse or child meeting the stipulations above,
after an absence not exceeding 30 days in contiguous territory or adjacent islands
other than Cuba;

Note: An M-1 student must be applying for readmission after an absence solely in
contiguous territory and must present their original Form 1-94 and a properly endorsed
SEVIS Form 1-20MN, Certificate of Eligibility for Nonimmigrant (M-1) Student StatusFor Vocational Students.
•

Has maintained and intends to resume nonimmigrant status;

•

Is applying for readmission within the authorized period of initial admission or
extension of stay;

•

Is in possession of a valid passport, unless exempt presentation of a passport;

•

Does not require a discretionary waiver of inadmissibility under INA 212(d)(3);

•

Has not applied for a new visa while abroad as annotated "Application Received at
specific post on date" on the last page of the passport by the Consulate or Embassy
abroad; and

Automatic revalidation does not apply to the Visa Waiver Program. Readmission after
departure to contiguous territory or adjacent islands for Visa Waiver Program applicants
is covered under 8 CFR 217.3(b).
.
The Director, Field Operations may parole into the United States or grant a waiver of
any documentary requirements only on a case-by-case basis. Pursuant to the
memorandum "Exercise of Discretion - Additional Guidance" issued July 20, 2004, this
authority has been delegated to the port director, assistant port or chief inspector at the
GS-13 level or above.
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(c) Valid visa in expired passport. An applicant for admission may use a valid visa in an
expired passport, provided he or she also presents a valid passport. The new, valid
travel document need not be issued by the same authority which issued the document
containing the valid visa. For example, an alien may present an expired Hong Kong
Certificate of Identity with a valid nonimmigrant visa plus a valid Hong Kong Special
Administrative Region passport. See 22 CFR 41.112.
(d) Admission procedures. Nonimmigrant visas may be issued for single entry, a
specified number of entries or multiple entries during the period of validity. Upon
admission of single or specially limited entry visas, place
tam on the
visa page or the adjacent page to indicate its use.
.
.

. This wll
complicate any attempted alteration. No other endorsement of the admission stamp is
authorized except the file number for a "K" alien, the 1-94 number for an "F" and "M"
alien, and, where the admission stamp is placed in a new passport and the visa is in an
expired passport, the admission class and a notation indicating the original visa
number, consulate, and date of issuance,
(e) Visa notations.

(1) General. Some nonimmigrant visas will bear a notation from a consular official.
The notations are intended to provide you with additional information upon which to
base your inspection. You are not bound by conditions set forth in these informal
notations, but they may well influence your decision. Common notations include
proposed destinations within the U.S.: port-of-entry restrictions, and duration of stay.
Specific notations relating to certain visa categories are discussed below, in the
sections relating to each nonimmigrant category.
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(3) PRNI limitations. An alien who is admitted solely to Puerto Rico or the Virgin
Islands, based on a notation on his or her nonimmigrant visa, may be permitted to
travel to other parts of the U.S. upon bonafide request. The inspecting officer
should note this authorization on the reverse of the 1-94.
(4)
Restrictions for certain United Nations visitors.
Certain nonimmigrants
inadmissible pursuant to provisions of section 212(a)(3) may have restricted visas
permitting travel only to the immediate area of the United Nations (within 25 mile
radius of Columbus Circle, NY). Deviations from this itinerary are permitted in
connection with confirmed departure reservations and if the alien has any required
visa for entry into the country to which he or she is destined. The Director, Field
Operations, New York City, may relax such restrictions in an individual case, upon
consultation with the Visa Office of the Department of State. Such aliens are issued
Form ER-142.

(f) Revocation or Cancellation by DHS officers. (1) Revocation. In specific instances,
DHS officers are delegated authority to revoke valid nonimmigrant visas issued by the
Department of State. These are specified in 22 CFR 41.122 and discussed further in
Chapter 17.
(2) Cancellation of old indefinite visas. The Department of State has revoked all
indefinite "Burroughs-style" nonimmigrant visas that are more than 10 years old.
Refer to secondary the holder of such visa, other than a border crossing stamp.
These visas are being phased out and replaced with the Machine-Readable Visas
(MRV) and are to be canceled upon the admission of the holder. When a visa is
canceled in this manner, give the alien a copy of the Department of State's
announcement concerning the program.
Endorse the passport, next to the
canceled visa, "Revoked pursuant to section 221 i of the INA--Canceled without
Pre·udice. "
rea ml,
app Ica Ion or
previously canceled
under this program. A list of countries whose nationals may, prior to May 5, 1997,
have been issued indefinite visas, is included in Appendix 15-2.
(3) Cancellation of visas voided pursuant to section 222(g). For guidance on the
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cancellation of nonimmigrant visas under section 222(g) of the Act, refer to Chapter
15.15. (Paragraph (f)(3) added IN99-08)
(g) Citizens of Canada or Bermuda. The waiver of passport and visa requirements
provided by 8 CFR 212.1 (a) ;s applicable only to citizens of Canada or the British
Overseas Territory of Bermuda. The waiver is not available to the bearer of a
Certificate of Identity or other "stateless person's" document issued by the governments
of the above countries as such person is not considered a national of the country that
issued the document. Effective March 17, 2003, the waiver of passport and
nonimmigrant visa is no longer available to landed immigrants of Canada or residents of
Bermuda having common nationality.
(h)
Adjacent Islands. This term is defined in section 101 (b)(5) of the Act. Cuba is
excluded only when the specific reference so states. For purposes of 8 CFR 212 only,
the term includes both Surinam and French Guiana.

15.4

Requirements and Procedures for Nonimmigrant Classes.

Each nonimmigrant class has specific restrictions and reqUirements. Below is a summary of
the specific requirements for each. Specific definitions for nonimmigrant classes are included in
section 101(a)(15) of the Act, and limited by sections 212(m) and (n) and 214 of the Act.
(a) Foreign government officials.
(1) Classification: A-1 Ambassador, public minister, career diplomatic or consular officer,
and members of the immediate family. See also section 102 of the Act.
Documents required:
Passport valid only to date of application for admission.
Nonimmigrant visa (A-1).
Qualifications: Must be an individual listed in the general description. Inadmissible only
under section 212(a)(3)(A), (B), or (C) of the Act. See section 102 of the Act.
Terms of admission: Admit A-1 for Duration of Status.
Notations on 1-94: A-1, DIS
Special notes:
(A) Presumption of eligibility. Presentation of an A-1 visa is prima facie evidence that
the alien is entitled to that status.
(B) Dependents.

For A-1 nonimmigrants, dependents are entitled to the same
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classification as the principal. "Dependents" include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21. Dependent employment
may be authorized under 8 CFR 274a.12(c) and 214.2(a).
(C) Temporary assignments. "TOY" noted on the NIV after "A-1" means the alien is on
temporary assignment of 90 days or less - admit D/S. Note "TOY" in block 26 on the
reverse of the 1-94.
(2) Classification: A-2 Other foreign government official or employee, and members of the
immediate family.
Documents required:
Passport valid only to the date of application for admission.
Nonimmigrant visa (A-2).
Qualifications: Must be an individual listed in the general description.
under section 212(a)(3)(A), (B), or (C). See section 102 of the Act.

Inadmissible only

Terms of admission: Admit A-2 for duration of status.
Notations on 1-94: A-2, D/S
Special notes:
(A) Presumption of eligibility. Presentation of an A-2 visa is prima facie evidence that
the alien is entitled to that status.
(B) Canadian military personnel. A-2 category may include Canadian military personnel

on temporary assignment in the U.S. and not traveling on NATO orders.
(C) Dependents.
For A-2 nonimmigrants, dependents are entitled to the same
classification. "Dependents" include more than just the spouse and children. See
definition of "Immediate family" in 22 CFR 41.21. Dependent employment may be
authorized under 8 CFR 274a.12(c) and 214.2(a).
(D) Temporary assignments. "TOY" noted on the visa after "A-2" means the alien is on
temporary assignment of 90 days or less - admit D/S. Note "TOY" in block 26 on the
reverse of the 1-94.
(3) Classification: A-3 Attendant, servant, or personal employee of A-1 and A-2
nonimmigrants, and members of their immediate family.
Documents required: Passport must be valid for 6 months beyond authorized admission.
Nonimmigrant visa (A-3).
Qualifications: Subject to all grounds of inadmissibility applicable to nonimmigrants.
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Terms of admission: Admit as A-3 for a period not in excess of three years.
Notations on 1-94: A-3, (date to which admitted). Note employer's name in block 26, on the
reverse of the 1-94.
Special notes:
(A) Presumption of eligibility. Presentation of an A-3 visa is prima facie evidence that
the alien is entitled to that status.
(B) Dependents. For A-3 nonimmigrants, dependents entitled to the same classification
include more than just the spouse and children. "Immediate family" is defined in 22
CFR 41.21.
(C) Attendants and personal servants defined.
employees" are defined in 22 CFR 41.21.

The terms "attendants" and "personal

(b) Visitors.
(1) Classification: B-1 Visitor for business.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission unless otherwise provided for or waived. Nonimmigrant B-1 visa unless waived.
Qualifications: Alien has a residence in a foreign country which he or she does not intend
to abandon. Subject to all nonimmigrant grounds of inadmissibility. Alien intends to enter
the U.S. for a temporary visit to engage in legitimate activities relating to business.
Applicant has made financial arrangements to carry out the purpose of the visit and depart
the United States.
Terms of admission: Maximum admission is 1 year. A B-1 will be admitted for a period of
time which is fair and reasonable for completion of the purpose of the visit. Extensions are
permitted in increments of 6 months (1 year for missionaries).
Notations on 1-94: B-1 (date to which admitted).
name on reverse.

If seaman joining vessel, enter vessel

Special notes:
(A) Restricted admission period.
Arbitrarily small admission periods needlessly
increase the volume of extension applications and should be avoided. Ordinarily, B-1
admission should be granted for the time requested or longer, in order to reduce
needless extension requests.

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(B) Determining eligibility. Consider the source of remuneration and also the actual
place of accrual of profits for services rendered by an alien in determining whether an
alien is classifiable as a B-1 (See Chapter 15.5 for special NAFTA B-1 instructions).
Each of the following has been determined to be permissible B-1 activity if the alien is
to receive no salary or other remuneration from a U.S. source (other than an expense
allowance or other reimbursement for expenses incidental to the temporary stay):
(1) An alien corning to the U.S. to: engage in commercial transactions (i.e., buying
or selling) which do not involve gainful employment in the US; negotiate contracts;
consult with business associates, including attending meetings of the Board of
Directors of a U.S. corporation; litigate; participate in scientific, educational,
professional, or business conventions, conferences, or seminars; or undertake
independent research;
(~)

An alien coming to engage in activities that would be classifiable under H-3
except that there is no U.S. employer involved, and is either studying at a foreign
medical school and is seeking to enter the U.S. temporarily to taken an "elective
clerkship" (practical experience and instruction in the various disciplines of the
practice of medicine under the supervision and direction of faculty physicians) at a
U.S. medical school's hospital without remuneration from that hospital or
undertaking training at the behest of a foreign employer by whom the alien is already
employed abroad and from whom the alien will continue to receive his or her salary
while in training in the United States;
(~)

An alien coming to install, service, or repair commercial or industrial equipment
or machinery purchased from a company outside the U.S. or to train U.S. workers to
(However, in such cases the contract of sale must
perform such services.
specifically require the seller to provide such services or training, and the alien must
possess specialized knowledge essential to the seller's contractual obligation to
perform the services or training and must receive no remuneration from a U.S.
source. These provisions do not apply to an alien seeking to perform building or
construction work, whether on-site or in-plant except for an alien who is applying as
a B-1 for the purpose of supervising or training other workers engaged in building or
construction work, but not actually performing any such building or construction
work);
(~J

A professional athlete, such as a golfer or tennis play~r, who receives no salary
or payment other than prize money for his or her participation in a tournament or
sporting event;
(~) An athlete or team member who seeks to enter the U.S. as a member of a
foreign-based team in order to compete with another sports team (provided: the
foreign athlete and the foreign sports team have their principal place of business or
activity in a foreign country; the income of the foreign based team and the salary of
its players are principally accrued in a foreign country; and the foreign based sports
team is a member of an international sports league or the sporting activities involved

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have an international dimension);
(§) An amateur team sports player who is asked to join a professional team during
the course of the regular professional season or playoffs for brief try-outs (The
teams may provide only for such expenses as round-trip fare, hotel room, meals,
and other try-out transportation costs);

(Z) A professional entertainer coming to: (l) participate only in a cultural program
sponsored by the sending country; who will be performing before a nonpaying
audience; and all of whose expenses, including per diem, will be paid by the
member's government; or @ participate in a competition for which there is no
remuneration other than a prize (monetary or otherwise) and expenses;

(§.) Crewman of a private yacht, regardless of the nationality of the private yacht,
provided the yacht will be sailing out of a foreign home port and cruising in U.S.
waters;
(~) An alien coming to perform his or her responsibilities as a "coasting officer" (A
coasting officer is used when an officer of a foreign vessel is granted home leave
while the vessel is in U.S. ports. The vessel does not remain in U.S. waters for more
than 29 days, and the original officer returns in time to depart with the vessel. The
coasting officer may then repeat the process with another vessel of the same foreign
line);

(1Q) An alien seeking investment in the U.S. which would qualify him or her for E-2
status (Such alien is precluded from performing productive labor or from actively
participating in the management of the business prior to being granted E-2 status);
(11) An alien performing services pursuant to the Outer Continental Shelf Lands Act
Amendments of 1978 (The consular officer will annotate "OCS" on the B-1 visa).
Alien construction workers who are entering to work from a derrick barge to
construct an oil platform on the outer continental shelf are considered to man and
crew the barge, not the platform. Foreign-owned barges are exempt from the
requirements of 43 U.S.C. 1356(a)(3) which requires that any vessel, rig, platform,
or structure used in regulated operations on the outer continental shelf be manned
or crewed by U.S. citizens or lawful permanent residents. The Immigration and
Nationality Act does not apply to aliens who are manning or crewing foreign-owned
derrick barges on the outer continental shelf. Such aliens passing through the U.S.
enroute to the outer continental shelf must have an appropriate visa, usually a B-1
visa. ( In 1997, the Supreme Court denied certification of a D.C. circuit court
decision on this issue);

(2) A personal or domestic servant who is accompanying or following to join a U.S.
citizen employer who has a permanent home or is stationed in a foreign country, and
who is visiting the U.S. temporarily, provided the employer-employee relationship
existed prior to the commencement of the employer's visit to the United States;

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(.12) A personal or domestic servant who is accompanying or following to join a U.S.
citizen employer temporarily assigned to the United States (The consular officer will
annotate "personal or domestic servant of U.S. citizen (employer's name)" on the
B-1 visa);
(11) A personal or domestic servant who is accompanying or following to join a
foreign employer who seeks admission into or is already in the U.S. in B, E, F, H, I,
J, L, M, 0, P, or R nonimmigrant status (The consular officer will annotate "personal
or domestic servant of nonimmigrant alien (employer's name)" on the B-1 visa);

(.1Q) An alien seeking to enter the U.S. for employment with a foreign airline
engaged in international transportation of passengers and freight in an executive,
supervisory, or highly technical capacity who meets the requirements for E visa
classification but is precluded from entitlement to E classification solely because
there is no treaty of friendship, commerce, and navigation in effect between the U.S.
and the country of the alien's nationality or because he or she is not a national of the
airline's country of nationality;
(1§) An alien coming to perform services on behalf of a foreign based employer as
a jockey, sulky driver, trainer, or· groom (Such alien is not allowed to work for any
other employer);

(11) An alien coming to open or be employed in a new branch, SUbsidiary, or
affiliate of the foreign employer, if the alien will become eligible for status as an L-1
upon securing proof of acquisition of physical premises;

(.1.§.) An employee of a foreign

~irline

coming to pick-up aircraft if he or she is not
transiting the U.S. and is not admissible as a crewman (The alien must present a
letter from the foreign airline verifying the employment and official capacity of the
applicant in the United States);

CUD

An alien coming exclusively to observe the conduct of business or other
professional or vocational activity, provided the alien pays for his or her own
expenses;
(20)
An alien coming to participate in any program of furnishing technical
information and assistance under section 635(f) of the Foreign Assistance Act of
1961 (75 Stat. 424);

(.f.1) An alien coming to participate in the training of Peace Corps volunteers or
coming under contract pursuant to sections 9 and 10(a)(4) of the Peace Corps Act
(75 Stat. 612), unless the alien qualifies for "A" classification;
(22) An alien coming to participate in the United Nations Institute for Training and
Research (UNITAR) internship program, who is not an employee of a foreign

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government;
(23) An alien coming to plan, construct, dismantle, maintain, or be employed in
connection with exhibits at international fairs or expositions if he or she is an
employee of a foreign exhibitor and is not a foreign government representative and
does not qualify for "A" classification; and
(24) An alien corning to participate in a voluntary service program benefiting U.S.
local communities, who establishes that he or she is a member of and has a
commitment to a particular recognized religious or nonprofit charitable organization
and that no salary or remuneration will be paid from a U.S. source, other than an
allowance or other reimbursement for expenses incidental to the volunteer's stay in
the United States. (The alien must present to the officer a written statement
indicating his or her name, date and place of birth, the foreign permanent residence
address, the name and address of initial U.S. destination, and anticipated duration of
assignment).
(25) An alien employee of an international bridge commission coming to plan,
construct, maintain or operate bridge facilities at a port of entry within the immediate
confines of the bridge area. (Added 9/15/97; IN97-02)

(26) An alien employee of the International Boundary Commission coming
during the field season to maintain a demarcated boundary line between the
United States and Canada by clearing brush, cutting trees, etc., including
both supervisors for field crews and temporary employees comprising the
crew. Employees of the IBC are eligible to cross the border without formal
inspection. If encountered at ports of entry, alien employees are classifiable
as B-1 business visitors, if otherwise admissible.
(C) Representative from the Vatican. It was formerly the case that the representative to
the United States from the Holy See was known as an Apostolic Delegate, since the
United States and the Holy See did ,not have formal diplomatic relations. Members of
the Apostolic Delegation were issued B-1 visas, and admitted B-1 D/S. Since the United
States and the Holy See now do have formal diplomatic relations, the Mission of the
Holy See is now a Nunciature, which is the equivalent to an Embassy. Aliens who are
assigned to the Nunciature in positions that qualify for an A nonimmigrant status should
be admitted as provided in the discussion of A nonimmigrant admissions.
(2) Classification: B-2 Visitor for pleasure,
Documents required:
Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (B-2) unless
waived.
Qualifications:

Has a residence in a foreign country which the alien does not intend to

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abandon. Subject to all nonimmigrant grounds of inadmissibility. Intends to enter the U.S.
for a temporary visit. Will engage in legitimate activities relating to pleasure. Has made
financial arrangements to carry out the purpose of the visit to, and departure from, the
United States.
Terms of admission: Maximum admission is 1 year.
admitted for 6 months.

If admissible, a B-2 is generally

Notations on 1-94: B-2, (date to which admitted).
Special notes:
(A) Minimum admission period.
Unless specifically authorized by a supervisory
inspector, the admission period shall be no less than 6 months.
(B) Determining eligibility. If otherwise admissible, admit the following as B-2:
(1) An alien coming for purposes of tourism or to make social visits to relatives or
friends;
(6) An alien coming for health purposes;

Q) An alien coming to participate in conventions, conferences, or convocations of
fraternal, social or service organizations;

(1,) An alien coming primarily for tourism who also incidentally will engage in a short
course of study;
(~)

An amateur coming to engage in an amateur entertainment or athletic activity,
even if the incidental expenses associated with the visit are reimbursed;
(§) A dependent of an alien member of any branch of the U.S. Armed Forces
temporarily assigned to duty in the United States;

(Z) A dependent of a category "0" visa crewman who is coming to the U.S. solely
for the purpose of accompanying the principal alien;
(§) An alien spouse or child, including an adopted alien child, of a U.S. citizen or
resident alien, if the purpose of the visit is to accompany or follow to join the spouse
or parent for a temporary visit;
(~)

A dependent of a nonimmigrant who is not entitled to derivative status,
such as in the case of an elderly parent of an E-1 alien, or a domestic partner
(Revised by CBP 3-04);
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(1Q) An alien coming to marry a U.S. citizen or lawful permanent resident with the
intent to return to a residence abroad soon after the marriage;
(11) An alien coming to meet the alien's fiance(e)'s family (to become engaged; to
make arrangements for a wedding; or to renew a relationship with the prospective
spouse);
(11) A spouse married by proxy to an alien in the U.S. in a nonimmigrant status who

will apply for a change of status after consummation of the marriage;
(.u.) An alien who is entitled to the benefits of section 329 of the Act (Naturalization)
and who seeks to take advantage of such benefits irrespective of the foreign
residence abroad requirement of section 101 (a)(15)(B);

(14) A dependent of an alien member of the U.S. Armed Forces who qualifies for
naturalization under section 328 of the Act and whose primary intent is to
accompany the spouse or parent on the service member's assignment to the United
States;
(.1Q) An alien destined to attend courses for recreational purposes; or
Cl.§) An alien seeking to enter the U.S. in emergent circumstances, when he or she
is otherwise entitled to lawful permanent resident status. For example: a permanent
resident alien employed by a U.S. corporation is temporarily assigned abroad but
has necessarily remained more than 1 year and may not use Form 1-551 in order to
travel to the U.S. for an emergency and then return abroad. The alien has never
relinquished permanent residence, has continued to pay U.S. income taxes, and
perhaps even maintains a home in the United States. The alien may be issued a
nonimmigrant visa for this purpose and Form 1-551 need not be surrendered.
(C) Prospective students. You may encounter an applicant for admission with a B-2
visa noted "prospective student." Such a visa is issued to an alien who is otherwise
eligible for F-1 status but who has not selected a school and obtained an SEVIS
Forml-20. If otherwise admissible, admit the alien for 6 months and note the 1-94
"prospective student." Advise the alien to apply for a change of status on Form 1-539 as
soon as the SEVIS Forml-20 is obtained.
Occasionally, you may encounter an applicant who, in good faith, presents a B-2 visa
but intends to attend school. Before denying admission, consider all circumstances
surrounding the case, such as the reasons for not getting a student visa abroad,
financial ability, and any possibly fraudulent activity on the part of the alien. If you are
satisfied the alien is otherwise bona fide, defer inspection to allow the applicant to obtain
a SEVIS Form 1-20 and any other required documentation and apply for a visa waiver.
(0) "VISAS 93" notation. See Chapter 16.2 for special admission procedures.

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(c) Transits.
(1) C-1 Aliens in transit through the United States.
Documents required: Passport valid for 6 months beyond the date to which admitted,
unless exempt. Nonimmigrant visa (C-1), unless exempt.
Qualifications:
Alien must be coming for transit through the United States.
All
nonimmigrant grounds of inadmissibility apply. Must have sufficient funds, ticket or other
means for travel, and permission to enter foreign country.
Terms of admission: Admit C-1 up to a maximum of 29 days.
Notations on 1-94: C-1, (date to which admitted).
Special notes:
(A) Limitations: Not eligible for extension of stay. Not eligible for change of status; and
(8) Crewmembers in Transit. If C-1 visa is issued to a crewmember joining a vessel,
review letter from shipping line to insure the validity of the request. Admit such
crewmembers for 29 days, since many vessels do not leave U.S. territory immediately.
(2) Classification: C-2 Alien in transit to the United Nations Headquarters District.
Documents required: Passport valid only until the date of admission. Nonimmigrant visa
(C-2).
Qualifications: Must be coming to the U.S. to proceed directly to the immediate vicinity of
the United Nations Headquarters District. Inadmissible only on 212(a)(3)(A), (8), and (C),
and 212(a)(7)(8).
Terms of admission: Admit C-2 for duration of status at the United Nations.
Notations on 1-94: C-2, DIS at U.N.
Special notes: Travel limited to a 25 mile radius of Columbus Circle, New York City, New
York. See 8 CFR 214.2(c)(2) for more information and Chapter 15.3(e)(4).
(3) Classification: C-3
Foreign government official, members of immediate family,
attendant, servant, or other personal employee of official in transit through the United
States.
Documents required: Passport valid for at least 30 days from date of admission.
Nonimmigrant visa (C-3).

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Inspector's Field Manual
Qualifications: Must meet the classification description above.
212(a)(3)(A),(B), and (C), and 212(a)(7)(B).

Inadmissible only on

Terms of admission: Admit C-3 up to a maximum of 29 days.

Notations on 1-94: C-3, (date to which admitted).
(d) Crewmembers See Chapters 22.2 and 23.
(e) Traders and Investors.
(1) Classification: E-1 Treaty trader, spouse, and children entering the U.S. under provisions
of a treaty of friendship, commerce and navigation (Le., involving trade, commerce and
service) to which the U.S. and the alien's country are signatory.
Documents required: Passport valid for 6 months beyond the date to which admitted, unless
exempt. Nonimmigrant visa (E-1) (including Canadians).
Qualifications: The company must be majority owned by nationals of the treaty country and
the alien must be a national of that country. For a list of treaty countries, see Appendix 32.1
of the Adjudicator's Field Manual. Alien must engage in duties of an executive or
supervisory character, or if employed in a lesser capacity have special qualifications that
make the alien's service essential to the efficient operation of the enterprise. All
nonimmigrant grounds of inadmissibility apply. See qualifications in 8 CFR 214.2(e) and 22
CFR 41.51.
Terms of admission: Admit E-1 for up to 2 years; unless E-1, TECRO, then admit DIS (see
special notes section).
Notations on 1-94: Front: E-1, (date to which admitted); unless the alien is a TECRO then
use "E-1, DIS TRA 4(a)". Reverse: Annotate the remarks section of the dependent's 1-94
with the dependent's specific relationship to the principal and the principal's name (e.g.,
"Spouse of John Jones" or "Child of John Jones").

Special notes:
(A) Dependents. Admit spouse and children as E-1. Their period of admission is up to 2
years or to coincide with the stay of the principal alien. The spouse and children may
accompany or follow to join but may not precede the principal alien. Spouse and
children may attend school without changing status. The spouse of an E-1 may apply for
and be issued an employment authorization document, but the child(ren) of an E-1
(other than "TECRO" cases) may not engage in employment.

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(B) TECRO. The Taipei Economic and Cultural Representative Office (TECRO)
represents Taiwan in the United States in the absence of diplomatic relations. Persons
possessing a Taiwan passport who are assigned for more than 90 days to the TECRO
offices in the United States and their dependents are issued E-1 visas annotated
"Employee [or Dependent] of TECRO accorded courtesies and Duration of Status (D/S)
per TRA4(a)". (The term "TRA 4(a)" indicates section 4(a) of the Taiwan Relations Act.)

Unmarried dependent sons and daughters of TECRO employees over the age of 21
may be issued E visas so long as they continue to meet the definition of "immediate
family"; unmarried sons and daughters, whether by blood or adoption, who are not
members of other households, and who will reside regularly in the household of the
principle alien.
Other immediate family members (e.g., parents, parent-in-law, etc.,) who are members
of the same household may be issued B-2 visas. Personal employees of TECRO
personnel may be issued B-1 visas.
(2) Classification: E-2 Treaty investor, spouse, and children entering the U.S. under
provisions of a treaty between the U.S. and the alien's country of nationality to develop
and direct an enterprise in which the alien has invested or is actively in the process of
investing a substantial amount of money.
Documents required: Passport valid for 6 months beyond the date to which admitted,
unless exempt. Nonimmigrant visa (E-2), (including Canadians).
Qualifications: Must be national of the treaty country, within the general description above.
May be investor or qualifying employee of investor. All nonimmigrant grounds of
inadmissibility apply. See list of treaty countries in Appendix 31-2 of the Adjudicator's Field
Manual. Specific requirements for E-2 investors are contained in 8 CFR 214.2(e) and 22
CFR 41.51.
Terms of admission: Admit E-2 for up to 2 years.
Notations on 1-94: Front: E-2, (date to which admitted). Reverse: Annotate the remarks
section of the dependent's 1-94 with the dependent's specific relationship to the principal
and the principal's name (e.g., "Spouse of John Jones" or "Child of John Jones").
Special notes:
(A) Dependents. Admit spouse and children as E-2. Their period of admission is up to
2 years or to coincide with the stay of the principal alien. The spouse and children may
accompany or follow to join but may not precede the principal alien. Spouse and
children may attend school without changing status. The spouse of an E-2 may apply for
and be issued an employment authorization document, but the child(ren) of an E-2 may
not engage in employment. Nationality of the spouse and children is not material.

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(B) Employee E-2s. If the alien is an employee of an E-2, he or she must be of the
same nationality as the investor and must engage in duties of an executive or
supervisory character, or if employed in a lesser capacity have special qualifications that
make the alien's service essential to the efficient operation of the enterprise.
(Paragraph (e) revised IN 02-12)
(f) Students. (Amended by CBP 4-04)
(1) Classification: F-1 Students are those who seek to enter the United States to pursue a
full course of study at one of the following types of academic institutions which is approved
by the Department of Homeland Security for attendance by foreign students:
• Established college or university;
• Seminary or conservatory;
• Academic high school or elementary school;
• Other academic institution; or,
• Language training program. [See restrictions in section 214(m) of the Act, added by
IIRIRA].
Documents required:
(F-1), unless exempt.
1-20 indicates that the
DHS to partici ate

Passport valid for 6 months, unless exempt. Nonimmigrant visa
SEVIS Form 1-20AB. Presentation or submission of a SEVIS Form
alien has been accepted to a scho I that has been author' d
the
in the SEVIS
ro ram.

The form may be a
single page document printed front/back or two-page document printed on one side only.
. Documentary evidence of financial support.
Students making an initial entry into the United States may be admitted for a period up to
30-days before the indicated report date or program start date listed on the SEVIS Form
1-20AB. Discretion can be used in those instances where in coming flights are limited
and the student is arriving a few days early. There are no restrictions on how early a
returning student may enter the United States. This includes continuing students that
are transferring to a new school and are re-entering the United States in order to start
the program at the transfer-in school.
Initial entry foreign students exempt visa requirements issued a SEVIS Form
generated on or after September 1,2004 should present either Form 1-797, Receipt
Notice or Internet Receipt Notice confirming payment of the SEVIS fee. Refer to
Special Notes G for details.
Qualifications: Alien must be coming to pursue a full course of study at an approved school
as identified in Special Note B, unless qualified for a reduced course load as a commuter
student as identified in Special Note D or to resume authorized employment for practical
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training after a temporary absence as identified in Special Note F. All nonimmigrant
grounds of inadmissibility apply. See requirements in 8 CFR 214.2(f) and 22 CFR 41.61.
Terms of admission: Admit F-1 for duration of status, except for part-time border commuter
students refer to Special Note D. A student making an initial entry may be admitted for a
period up to 30 days before the indicated report date or program start date listed on the
SEVIS Form 1-20AB. There is no restriction on a returning student.
Form 1-94: Front: F-1, D/S. Reverse: Record the SEVIS Identification number as it appears
on the SEVIS Form 1-20. Note in box 22 "N" and the 1O-digit SEVIS number. DO NOT
WRITE SEVIS. Record the same number on the "Record of Changes" lines provided on
the reverse portion of the Form 1-94, Departure Record.

Processing initial entry students. Upon initial admission, an F-1 should present a SEVIS
Form 1-20AB. Review the form for completeness and accuracy. Ensure that both the
Designated School Official (DSO) and student have signed and dated the form. If the
student is admissible:
Endorse the SEVIS Form 1-20AB in the following manner:
•
•
•

Stamp the "For Immigration Official Use" block with the admission stamp.
Record the appropriate class of admission and period of authorized stay "F-1 D/S".
Neatly and legibly record the admission number from the Form 1-94 in the space
provided.

On the Non-immigrant visa (NIV):
•
•

Endorse with the admission stamp in a manner that will include a portion of the
stamp overlapping the NIV.
Record the SEVIS 10 Number on the visa page, if not already annotated.

Upon completion, affix the Form 1-94, Departure Record to the student's passport, if
not exempt. The SEVIS Form 1-20AB and the passport containing the Form 1-94 are
to be given to the student.
Readmission. Upon subsequent entries, a student with a SEVIS Form 1-20AB may have a
separate page issued by the DSO authorizing travel or for providing certification or
recommendation for practical training. The DSO is required to endorse the SEVIS Form
1-20AB confirming that the student is enrolled and attending the school. The SEVIS
computer record will be updated by the DSO each term or session to reflect that the student
is still registered at the institution and maintaining status. Therefore, if a student travels
outside the United States during an ongoing semester, the POE can refer to SEVIS to
confirm a student's enrollment status. .Alternatively, the POE should refer to the travel

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authorization mentioned above to verify the status of the student. To process the returning
student, review the SEVIS Form 1-20AB for completeness and for the signatures of both the
DSO and the student:
•
•
•
•

The CBP officer is not required to place an additional admission stamp on the SEVIS
Form 1-20AB.
Endorse the NIV with the admission stamp near the NIV and record the SEVIS 10
Number on the visa page, if not already annotated.
Complete the Form 1-94 as noted above.
The SEVIS Form 1-20AB is to be returned to the student.

A student re-entering to begin another program level at the same institution or
transferring to another school is not held to the 3D-day prior to admission restriction.
The SEVIS Form 1-2DAB should indicate "initial" and the NIV should indicate
previous entry. SEVIS should have two records: the first record from the previous
program, the second for the new program.
Recording Admission. The admission of the F-1 student making an initial entry to
the United States with a SEVIS issued form that has been not been endorsed with
an admission stamp is to be entered into SEVIS. Refer to Chapter 15.16 Student
and Exchange Visitor Processing.
•

Air/sea POEs: The SEVIS record will be updated by entering specific information
in the COA screens for all admission.

•

Land POEs: The secondary officer will record the student's initial entry directly into
SEVIS. Properly documented returning students may be released on primary, if
otherwise admissible.

Special notes: [For general information for F-1 students see 8 CFR 214.2(f).]
(A) Certain Students with Expired Visas. F-1 students and dependents with expired
visas who have been outside the U.S. for less than 30 days solely to contiguous territory
or adjacent islands may be readmitted if they have their original Form 1-94, Departure
Record or a valid SEVIS Form 1-20AB. [See 8 CFR 214.1(b)(1) and 22 CFR 41.112].
This provision does not apply to:

(B). Full Course of Study. A full course of study is generally defined as 12 credit hours or
18-22 weekly clock hours per term or session. Definition varies by program type.
Additional information is available in 8CFR214.2(f)(6). Successful completion of a study
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Inspector's Field Manual
must lead to the attainment of a specific educational or professional objective. A full
course of study may be any of the following:
•
•
•
•

Postgraduate study or postdoctoral study at a college or university;
Undergraduate or postgraduate study at a conservatory or religious seminary;
Full-time undergraduate study at a college or university (Le., at least 12 semester or
quarter hours of instruction per academic term or equivalent);
Study at a postsecondary language, liberal arts, fine arts, or other non-vocational
program at a school that confers associate or other degrees or whose credits are
accepted by accredited institutions of higher learning.

(C) Limitation on Public School Attendance. Section 214(m) of the Act prohibits
attendance by F-1 nonimmigrant students at public elementary schools and public adult
education programs. Attendance at public secondary education programs is limited to
12 months and requires the student to pay the full-unsubsidized cost of such education.
(D) Reduced Course Load-Commuter Students from Canada & Mexico. Canadian or
Mexican nationals who are enrolled, or will enroll, in a course of study are eligible for
admission to pursue part-time study provided the alien meets all other F-1 requirements,
with the following accommodations. The alien must maintain actual residence and place
of abode in the country of nationality, must apply for admission at a land POE, and must
be enrolled in a United States school within 75 miles of the international border. After
paying the prescribed fee, the alien will be issued a multiple-entry Form 1-94 with an
admission period that reflects the current semester or term of study, as noted in the
alien's SEVIS Form 1-20. The DSO will issue all reduced course load students a new
SEVIS Form 1-20 for each new semester or term that the student is enrolled at the
school. A new multiple-entry Form 1-94 is required for each new semester or term, with
fee.
(E) Lacking SEVIS Form 1-20AB. Whenever possible, POEs should attempt to obtain
the proper SEVIS documentation (faxed copy is acceptable) in order to admit the
student rather than issue a Form 1-515A, Notice to Student or Exchange Visitor or defer
the inspection. However, a Form 1-515A may be issued to a student not in possession
of a valid SEVIS form, if the individual presents a valid visa (if required) and the status
can be verified in SEVIS. Refer to Chapter 15.16 for Form 1-515A processing
guidelines.
(F) Employment
(i) On Campus Employment: On-campus employment is employment performed on
the school's premises (including on- location commercial firms which provide student
services on campus, such as a school cafeteria), or an off-campus location which is
educationally affiliated with the school (like some school bookstores).
• Any F-1 student in good standing can work on campus incident to status, full
time when school is not in session and during annual breaks, and part time while
school is in session.

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•

•
•

Because this employment is authorized incident to the F-1 student status, the
student does not need specific authorization from either DHS or a DSO to
engage in such employment.
DHS does not require the DSO to collect this information from students.
However, on-campus employment information is not a reportable field in SEVIS.
Some schools may choose to have the F students notify the DSO prior to
engaging in on-campus employment, but this is not a DHS requirement.

See 8 CFR 214.2(f)(9)(i)
(ii) Off-Campus Employment: A student in good standing can apply to USCIS for
authorization to work off-campus with a firm that is unassociated with the school if:
•
•
•
•

The student has been continuously enrolled as an F-1 student for at least one
full academic year (approximately 9 months).
There is no on-campus employment available.
The student faces severe economic hardship without such authorization to work.
To obtain off-campus employment:
1. The DSO makes the recommendation for employment in the SEVIS system,
specifying any known information about the employment in a free-text field.
2. The student then files a Form-I-796 with the SEVIS Form I-20AB to the
USCIS Service Center.
3. If approved, the USCIS Service Center will issue the student an Employment
Authorization Document (EAD) that specifies the dates for which the
employment is approved (usually 1-year intervals). This EAD will not specify
the name/place of the employer.
4. SEVIS is updated by the Service Center's system to show that the
employment was approved.

(iii) Curricular Practical Training (CPT): CPT is employment that is a required part of
a student's specified curriculum. In most cases, CPT involves internships and similar
work experience specifically required by the student's program. See 214.2(f)(1 O)(i).
•

•
•

F-1 students (other than those enrolled in an English language program) that
have been enrolled full time in an approved school for at least 9 consecutive
months can be authorized for CPT.
The DSO can authorized CPT; DHS authorization is not required.
The DSO must authorize CPT before the student begins work. The DSO
authorizes CPT in SEVIS as an update to the student's record. Authorized CPT
information, which can be seen on both the student information screen in SEVIS,
and on page three of the printed SEVIS Form 1-20, identifies the employer,
employment dates, and whether the employment is full or part time.

(iv) Optional Practical Training (OPT): OPT is employment that is related to a
student's specified curriculum, but not required by it.

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•
•
•

•

•

•

OPT must be recommended by the DSO and authorized by USCIS before the
student begins work. See 8 CFR 214.2(f)(10)(ii)
Students in English language programs are not eligible for OPT.
Eligible F-1 students get up to 12 months of full-time OPT at each program level.
Part-time OPT can be approved while a student is in school. Full-time OPT can
be approved in the period following completion of the student's program.
However, such "post-completion" OPT must be completed within 14 months of
the program end date.
The DSO recommends OPT In SEVIS as an update to the student's record. The
OPT recommendation, which will appear on the student information screen and
on page 3 of the student's printed SEVIS Form 1-20, includes the employment
dates and whether the employment is full- or part-time. (It may also identify an
employer, if known.)
The student may remain in the U.S. (and re-enter the U.S.) while the OPT is
pending adjudication, and once it has been approved. This is true both for
pre-completion and post-completion OPT.
Once approved, the USCIS Service Center will issue the student an EAD that
specifies the dates of employment (but not the type or place of employment) and
SEVIS is updated to show that the employment has been approved.

(G) SEVIS FEE Initial entry foreign students exempt visa requirements issued
a SEVIS Form generated on or after September 1, 2004 should present
either Form 1-797, Receipt Notice or an Internet Receipt Notice confirming
payment of the SEVIS fee. If unavailable, the POE should refer to the
student's SEVIS record to verify fee payment. The receipt information in
SEVIS is located on the Student information page. There is a block
entitled "1-901 Fee Payment Information". There is a lapse between the
time the student pays the fee and when the confirmation appears in
SEVIS, which allows ICE to process the payment
(approximately
10-days). The receipt is not required if payment can be verified in SEVIS.
If payment status indicates, "cancelled", the POE should still accept this
as proof of payment. (Added by CBP 4-04)
(2) Classification: F-2 Spouse and children of F-1 student.
Documents required: Passport valid for 6 months, unless exempt. Nonimmigrant visa
(F-2), unless exempt. SEVIS Form 1-20AB. SEVIS will generate a separate Form 1-20 for
each F-2, which can be identified by • • • • • • • • • • • • • • • • • •
and will include the dependent's and the principal's biographical information. When
processing F-2 dependents, endorse theSEVIS Form 1-20AB and return it to the alien.

The eligible spouse and minor children of a student or exchange visitor with a valid
SEVIS Form must individually present an original SEVIS Form issued in the name of
each dependent issued by a SEVIS authorized school.
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Qualifications: Must be an individual listed in general description. All nonimmigrant grounds
of inadmissibility apply. Must be accompanying or following to join the F-1.
Terms of admission: Admit F-2 for duration of status. Except for dependent of part-time
border students as referenced in Special Note D.
Notations on Form 1-94: F-2, D/S. Same as F-1 principal. However in box 18 (occupation)
identify dependent as spouse or child, as appropriate.
Special notes: See notes on F-1 above.
Dependent employment: Dependents may not engage in employment.
Study: The F-2 spouse of an F-1 student may not engage in full time study, and the F-2
child many only engage in full time study if the study is an elementary or secondary school
(kindergarten through twelfth grade). The F-2 spouse and child may engage in study that is
avocational or recreational in nature.

(g) Representatives to, and employees of, international organizations.
(1) Classification: G-1
Designated principal resident representative of a foreign
government to an international organization, staff, and members of the immediate family.
Documents required: Passport valid only to date of application for admission. Nonimmigrant
visa (G-1).
Qualifications: Must be an international organization recognized by the President or State
Department. Inadmissible only under 212(a)(3)(A), (8), or (C). See §1 02 of the Act.
Terms of admission: Admit G-1 for Duration of Status.
Notations on 1-94: G-1, D/S. If visa is marked "TDY" include that notation in block 26 on the
reverse of the 1-94.
Special notes:
(A) Presumption of eligibility. Presentation of an G-1 visa is prima facie evidence that
the alien is entitled to that status.
(8) Dependents. For G-1 nonimmigrants, dependents are entitled to the same
classification as the principal. "Dependents" include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21.

(C) Restricted admission periods. Occasionally, a "G" nonimmigrant visa will be noted
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by a consular official: "authorized stay limited to 45 (or some other specified number)
days". Do not admit such nonimmigrants for D/S; limit the admission as specified on the
visa.
(2) Classification: G-2
Temporary representatives of recognized foreign member
governments to an international organization and members of the immediate family.
Documents required: Passport valid· only to date
Nonimmigrant visa (G-2).

of application

for admission.

Qualifications: Must be an international organization recognized by the President or State
Department and foreign government must be a member of the international organization.
Inadmissible only under 212(a)(3)(A), (B), or (C). See section 102 of the Act.
Terms of admission: Admit G-2 for Duration of Status.
Notations on 1-94: G-2, D/S. If visa is marked "TOY" include that notation in block 26 on the
reverse of the 1-94.
Special notes:
(A) Presumption of eligibility. Presentation of an G-2 visa is prima facie evidence that
the alien is entitled to that status.
(B) Dependents. For G-2 nonimmigrants, dependents are entitled to the same
classification as the principal. "Dependents" include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21.
(C) Restricted admission periods. Occasionally, a "G" nonimmigrant visa will be noted
by a consular official: "authorized stay limited to 45 (or some other specified number)
days". Do not admit such nonimmigrants for D/S; limit the admission as specified on the
visa.
(3) Classification: G-3 Representatives of non-recognized or nonmember governments to
an international organization and members of the immediate family.
Documents required: Passport valid only to date of application for admission.
Nonimmigrant visa (G-3).
Qualifications: Must be an international organization recognized by the President or State
Department and foreign government is a non-member of the international organization or
non-recognized by the United States. Inadmissible only under 212(a)(3)(A), (B), or (C) [See
section 102 of the Act.].
Terms of admission: Admit G-3 for Duration of Status.

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Notations on 1-94: G-3, D/S. If visa is marked "TOY" include that notation in block 26 on the
reverse of the 1-94.
Special notes:
(A) Presumption of eligibility. Presentation of an G-3 visa is prima facie evidence that
the alien is entitled to that status.
(8) Dependents. For G-3 nonimmigrants, dependents are entitled to the same
classification as the principal. "Dependents include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21.
(C) Restricted admission periods. Occasionally, a "G" nonimmigrant visa will be noted
by a consular official: "authorized stay limited to 45 (or some other specified number)
days". Do not admit such nonimmigrants for D/S; limit the admission as specified on the
visa.
(4) Classification: G-4 Officers or employees of a recognized international organization
and members of the immediate family.
Documents required:
Passport valid only to date of application for admission.
Nonimmigrant visa (G-4).
Qualifications: Must be an employee of an international organization (not a member state)
recognized by the President or State Department. Alien is employee of the organization,
not an employee of a member state. Inadmissible only under 212(a)(3)(A), (8), or (C). See
section 102 of the Act.
Terms of admission: Admit G-4 for Duration of Status.
Notations on 1-94: G-4, D/S.
the reverse of the 1-94.

If visa is marked "TOY" include that notation in block 26 on

Special notes:
(A) Presumption of eligibility. Presentation of a G-4 visa is prima facie evidence that the
alien is entitled to that status.
(8) Dependents. For G-4 nonimmigrants, dependents are entitled to the same
classification as the principal. "Dependents" include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21.

(C) United Nations travel documents. A G-4 visa may be placed in a United Nations
Laissez-Passer if the alien is traveling on official U.N. business.
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(D) Restricted admission periods. Occasionally, a "G" nonimmigrant visa will be noted
by a consular official: "authorized stay limited to 45 (or some other specified number)
days". Do not admit such nonimmigrants for D/S; limit the admission as specified on the
visa.
(5) Classification: G-5 Attendants, servants, or personal employees of G-1 through G-4
and members of their immediate family.
Documents required: Passport valid for 6 months beyond the date to which admitted.
Nonimmigrant visa (G-5).
Qualifications:
Must be attendant, servant, or employee of G-1 through G-4.
nonimmigrant grounds of inadmissibility apply.

All

Terms of admission: Admit G-5, up to 3 years.
Notations on 1-94: G-5, (date to which admitted). Include the employer's name in block 26
on the reverse of the 1-94.
Special notes:
(A) Presumption of eligibility. Presentation of a G-5 visa is prima facie evidence that the
alien is entitled to that status.
(8) Dependents. For G-5 nonimmigrants, dependents are entitled to the same
classification as the principal. "Dependents include more than just the spouse and
children. See definition of "Immediate family" in 22 CFR 41.21.
(C) Attendants and personal servants defined.
employees" are defined in 22 CFR 41.21.

The terms "attendants" and "personal

(h) Temporary workers.

(1) Classification: H-1B. Specialty occupations (professional), Department of
Defense project employees, and fashion models.
Documents required: Passport valid for 6 months beyond admission date, unless
exempt. Nonimmigrant visa (H-1 B), unless exempt. Approved 1-129 petition. May
present Form 1-797, Notice of Action, or the visa may be annotated with approval
information by the consular officer. An amended H-1 B petition shall not be required
where the petitioning employer is involved in a corporate restructuring, including but
not limited to, a merger, acquisition, or consolidation, where a new corporate
structure entity succeeds to the immigration-related interests and obligations of the
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original H-1 B petitioning employer and where the terms and conditions of the
beneficiary's employment remain the same but for the identity of the petitioner.

An H-1 B applicant for admission who no longer works for the original H-1 B
petitioner, and who now works for a new corporate entity claiming exemption from
the requirement to file an amended petition, may be admitted at the port-of-entry if
the alien:
(a) is otherwise admissible;
(b) is in possession of a passport valid for 6 months beyond the admission date,
unless exempt, and a valid nonimmigrant visa; and,
(c) presents a letter from the new corporate entity stating that:
(i) the new corporate entity has succeeded to the immigration-related interests
and obligations of the original H-'I B petitioning employer; and
(ii) the terms and conditions of the H-1 B nonimmigrant's employment have
remained the same.
Note: An amended 1-797 reflecting the new corporate entity's name is not
required. (Revised IN01-19)

Qualifications: Alien must be qualified for and coming to be employed in a specialty
occupation as defined in section 214(i)(1) of the Act, be a fashion model, or be
employed in a Department of Defense cooperative research and development
project. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit H-1B for validity of petition plus a maximum of 10 days
prior to the validity date of the petition and up to 10 days after the expiration date [8
CFR 214.2(h)(13)].
Notations on 1-94: Front: H-1 B, (date to which admitted). Reverse: petition number
and occupation from the list in Appendix 31-1 of the Adjudicator's Field Manual.
Special notes:
(A) Foreign residence requirement. H-1 B does not have to establish foreign
residency.
(B) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first POE of the
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beneficiary. Petition approval may also be sent via facsimile or cable. Information
on petition approval may be verified by checking the CLAIMS database. Petitions
may be valid initially for up to 3 years (DOD projects, 5 years), and may be
extended for up to 6 years (DOD projects, 10 years).

(C) Dependents. Dependents are admitted as H-4. Dependents may not work
but may attend school without changing status.
(D) Refusal for fraud. If the alien beneficiary of an H-1 B petition is refused
admission due to fraud, there are certain additional steps that must be taken at
the POE. Please refer to Chapter 17.3 of this manual for further instructions on
the procedures required to revoke an H-1 B visa obtained through fraud.
(Redesignated IN02-05)
(E) Certification of Health Care Workers. If the alien beneficiary is seeking
admission for the primary purpose of performing labor in a covered health care
occupation, the alien must present, at time of issuance of the visa and upon
each application for admission at a port of entry, a certificate or certified
statement from an approved credentialing organization listed in 8 CFR 212.15(e)
or (h). The covered health care occupations requiring valid certi'flcation include
nurses (licensed practical nurses, licensed vocational nurses, and registered
nurses), occupational therapists, physical therapists, speech language
pathologists and audiologists, medical technologists (clinical laboratory
scientists), medical technicians (clinical laboratory technicians), and physician
assistants. This requirement does not apply to aliens admitted to perform
seNices in a non-clinical health care occupation in which the alien is not required
to perform direct or indirect patient care (e.g., teachers, researchers, or
managers of health care facilities), aliens coming to receive training in health
care worker occupations (e.g., F-1s, H-3s, or J-1s), or to spouses and dependent
children. [See 8 CFR 212.15 and AFM Ch. 30.12] The Secretary of Homeland
Security will continue to exercise his discretion to waive the certificate
requirement up to and including July 25, 2005, for Canadian and Mexican health
care workers, who, before September 23, 2003, were employed as "trade
NAFTA" (TN) or "trade Canada" (TC) nonimmigrant health care workers and held
valid licenses from a United States jurisdiction. Until that date, DHS will admit
health care workers and approve applications for extension of stay and/or
change of status subject to the following conditions (Added by CBP 3-04):
(1) The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
ordinarily permit the alien's admission for a longer period;
(2) The alien must obtain the requisite health care worker certification within 1
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year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
(3) Any subsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(2) Classification: H-181.

Includes Free Trade Professionals from Chile and
Singapore. Free Trade Agreements with Chile and Singapore became effective on
January 1, 2004.
Documents required: Valid passport. Both Chile and Singapore are members of the
six-month club and may be admitted until the expiration date of the applicant's
passport (NTE 1 year). A nonimmigrant visa (H-1 B1) is required. There are no
petition requirements on behalf of Chileans or Singaporeans desiring H-1 B1 status.
Qualifications:
defined as:

For purposes of the two trade agreements, a "professional" is

"a national of (Chile or Singapore) who is engaged in a specialty occupation
requiring (a) theoretical and practical application of a body of specialized
knowledge; and (b) attainment of a post-secondary degree in the specialty
requiring four or more years of study (or the equivalent of such a degree) as a
minimum for entry into the occupation."
Terms of admission: Admit H-1 B1 initially for a maximum of one year.
Notations on 1-94: Front: H-1 B1, (date to which admitted). Reverse: Occupation
and employer.
Special notes:
(A) Foreign residence requirement: H-1 B1 does not have to establish foreign
residency. H-1 B1 professionals may be admitted initially for a maximum of one
year, and may extend stay in one-year increments indefinitely, as long as they
continue to demonstrate that they do not intend to remain permanently. There is
no "dual intent" provision.
(B) Petitions: There is no petition requirement. An individual not in the United
States applies directly to an American Consulate for a nonimmigrant visa. The
Nebraska Service Center will adjudicate requests for change or extension of
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H-1 B1 status. CLAIMS 3 will track Chilean and Singaporean H-1 B1s as "HSC"
until CLAIMS 3 is modified to track the H-1 B1 nonimmigrant code. Approval
notices for requests for change and extension of status will show an "HSC" code,
until CLAIMS 3 is modified to reflect the H-1 B1 code.
(C) Dependents. Dependents are admitted as H-4. Dependents may not work
but may attend school without changing status.
(D) License Requirements: The H..:1 B1 category does not require possession of a
relevant professional license as a condition to admission. H-1 B1 professionals
will be expected to comply with all applicable state and federal licensure
requirements for engaging in their professions following their admission.
(E) Certification of Health Care Workers. Aliens performing labor in the United
States as a registered nurse must present, at time of issuance of the visa and
upon each application for admission at a port of entry, a certificate or certified
statement from a credentialing organization described in 8 CFR 212.5(e) or (h).
[See 8 CFR 212.15 and AFM Ch. 30.12.] The Secretary of Homeland Security
will continue to exercise his discretion to waive the certificate requirement up to
and including July 25, 2005, for Canadian and Mexican nurses, who, before
September 23, 2003, were employed as "trade NAFTA" (TN) or "trade Canada"
(TC) nonimmigrant health care workers and held valid licenses from a United
States jurisdiction. Until that date, DHS will admit registered nurses and approve
applications for extension of stay and/or change of status subject to the following
conditions (Added by CBP 3-04):
•

•

•

The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
ordinarily permit the alien's admission for a longer period;
The alien must obtain the requisite health care worker certification within 1
year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
Any subsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(3) Classification: H-1C. Includes registered nurses entering the U.S. to perform
nursing services at a facility which provides health care.
Documents required: Passport valid for 6 months beyond admission date, unless
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Inspector's Field Manual
exempt. Nonimmigrant visa (H-1C), unless exempt. Approved 1-129 petition. May
present Form 1-797 or the NIV may be annotated with approval information by the
consular officer.

Qualifications: Must be a registered nurse and meet licensure requirements in
section D below. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit H-1 C for validity of petition plus a maximum of 7 days
prior to the validity date of the petition and up to 10 days after the expiration date [8
CFR 214.2(h)(13)(ii)].
Notations on 1-94: Front: H-1 C, (date to which admitted). Reverse: petition number
and occupation "registered nurse." See general requirements in 8 CFR 214.2(h).
Special notes:
(A) Foreign residence requirement. H-1 C does not have to establish he or she
has a foreign residence.
(8) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first POE of the
bene'f1ciary. Petition approval may also be sent via facsimile or cable. Information
on petition approval may be verified by checking the CLAIMS database. Petitions
may be valid for up to 3 years. Once the H-1C has reached the 3-year maximum
period, he or she is no longer eligible for admission.

(C) Dependents. Dependents are admitted as H-4. Dependents may not work but
may attend school without changing status.
(D) License Requirements. Any alien granted H-1 C classification must be fully
qualified to work as a registered nurse in the state of intended employment. If the
alien does not already possess a full and unrestricted license to practice
professional nursing in the state of intended employment, the alien must, upon
admission to the United States, be able to obtain temporary license or other
temporary authorization to practice as a registered nurse in the state of intended
employment.
(Added IN 02-05)
(E) Certification of Health Care Workers. Aliens performing labor in the United
States as a registered nurse must present, at time of issuance of the visa and
upon each application for admissjon at a port of entry, a certificate or certified
statement from a credentialing organization described in 8 CFR 212.15(e) or (h).
[See 8 CFR 212.15 and AFM Ch. 30.12.] The Secretary of Homeland Security
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will continue to exercise his discretion to waive the certificate requirement up to
and including July 25, 2004. Until that date, DHS will admit registered nurses
and approve applications for extension of stay and/or change of status subject to
the following conditions:

•

•

•

The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
ordinarily permit the alien's admission for a longer period;
The alien must obtain the requisite health care worker certification within 1
year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
Any subsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(4) Classification: H-2A. Temporary agricultural workers.
Documents required: Passport valid for 6 months beyond admission date, unless
exempt. Nonimmigrant visa (H-2A), unless exempt. Approved 1-129 petition. May
present Form 1-797, Notice of Action, or the visa may be noted with approval
information by the consular officer.
Qualifications: Coming temporarily to perform temporary services for which
workers are not available in the United States. All nonimmigrant grounds of
inadmissibility apply.
Terms of admission: Admit H-2A for validity of petition plus 10 days prior to validity
date and up to 10 days after the expiration date [See 8 CFR 214.2(h)(13).].
Notations on 1-94: Front: H-2A, (date to which admitted). Reverse: Petition number
and occupation "agricultural."
Special notes:
(A) Dual temporary issue. Unlike H-1 non immigrants, who do not have to show a
foreign residence and who may be coming temporarily to fill positions which are
permanent by nature, the H-2 must have a foreign residence and must be coming
only to fill a position which is itself temporary or seasonal [See definitions in 8
CFR 214.2(h)(2).].

(8) Petitions. The approved petition is forwarded by the service center to the visa
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issuing post or, when no visa is required, to the proposed 'first port of entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information
on petition approval may be verified by checking the CLAIMS database. Petitions
may be valid for up to 3 years. Petition and visa validity generally coincide.

(C) Multiple beneficiaries. H-2A petitions may be issued for multiple unnamed
beneficiaries working in the same occupation. Because of the need to control the
number of entries on multiple beneficiary petitions, local ports-of-entry should
have specific procedures in place.
(D) Liquidated damages. Employers are frequently required to enter into a
liquidated damages agreement to insure maintenance of status and departure of
agricultural workers. Arrival and departure of agricultural workers must be closely
monitored for accuracy to insure compliance with and enforcement of these
agreements.
(E) Dependents. Dependents are admitted as H-4. Dependents may not work but
may attend school without changing status.
(5) Classification: H-2B. Non-agricultural workers coming temporarily to perform
services of a temporary nature.
Documents required: Passport valid for 6 months beyond admission date, unless
exempt. Nonimmigrant visa (H-2B), unless exempt. May present Form 1-797, Notice
of Action, or the visa may be notated with approval information by the consular
officer.
Qualifications: Must be coming temporarily to provide services of a temporary nature
for which qualified U.S. workers are not available. All nonimmigrant grounds of
inadmissibility apply.
Terms of admission: Admit H-2B for validity of petition plus a maximum of 7 days
prior to the validity date of the petition and up to 10 days after the expiration date
[8CFR 214.2(h)(5)(viii)(B)]. [Revised INOO-35]
Notations on 1-94: Front: H-2B, (date to which admitted). Reverse: Petition number
and occupation from the list in Appendix 31-1 of the Adjudicator's Field Manual.
Special notes:
(A) Dual temporary issue. Unlike H-1 nonimmigrants, who do not have to show a
foreign residence and who may be coming temporarily to fill positions which are
permanent by nature, the H-2B must have a foreign residence and must be
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coming only to 'fill a position which is itself temporary or seasonal. See definitions
in 8 CFR 214.2(h)(2).

(B) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port of entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information
on petition approval may be verified by checking the CLAIMS database. Petitions
may be valid for up to 3 years. Petition and visa validity generally coincide.
(C) Multiple beneficiaries. H-2B petitions may be issued for multiple unnamed
beneficiaries working in the same occupation. Because of the need to control the
number of entries on multiple beneficiary petitions, local ports-of-entry should
have specific procedures in place.
(D) Dependents. Dependents are admitted as H-4. Dependents may not work but
may attend school without changing status.
(E) Canadian loggers. See Chapter 21.8 for special control procedures.
(6) Classification: H-3. Aliens entering for the purpose of receiving instruction in any
field of endeavor, other than graduate medical education or training.
Documents required: Passport valid for 6 months beyond admission date, unless
exempt. Nonimmigrant visa (H-3), unless exempt. Approved 1-129 petition. May
present Form 1-797, Notice of Approval, or the visa may be noted with approval
information by the consular officer.
Qualifications: Must be coming temporarily for training unavailable in home country.
Must have foreign residence. Productive employment may be only incidental to the
training. Other specific limitations discussed in 8 CFR 214.2(h)(7). All nonimmigrant
grounds of inadmissibility apply.
Terms of admission: Admit H-3 for validity of petition plus 10 days prior to validity
date and Lip to 10 days after the expiration date [See 8 CFR 214.2(h)(13).].
Notations on 1-94: Front: H-3, (date to which admitted). Reverse: petition number
and occupation from the list in Appendix 31-1 of the Adjudicator's Field Manual.
Special notes:
(A) Special training in education of disabled children. Section 223 of Pub L.
101-649, the Immigration Act of 1990, provides for the admission of trainees for
the purpose of receiving training in the education of children with physical,
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mental, or emotional disabilities. These trainees are limited to an 18-month
admission, but do not have many of the same restrictions as other H-3
nonimmigrants. See 8 CFR 214.2(h)(7) for specific distinctions.
(8) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port of entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information
on petition approval may be verified by checking the CLAIMS database. Petitions
may be valid for up to 18 months. Petition and visa validity generally coincide.

(C) Multiple beneficiaries. H-3 petitions may be issued for multiple unnamed
beneficiaries receiving the same training.
(D) Dependents. Dependents are admitted as H-4. Dependents may not work but
may attend school without changing status.
(7) Classification: H-4. Includes spouse and children of aliens classified H-1 through
H-3.
Documents required: Passport valid for 6 months beyond admission date, unless
exempt. Nonimmigrant visa (H-4), unless exempt.
Qualifications: Must be accompanying or following to join a principal alien and have
qualifying relationship (spouse or minor unmarried child). All nonimmigrant exclusion
grounds apply.
Terms of admission: Admit H-4 for same period as principal.
Notations on 1-94: H-4, (date to which admitted).
Special notes: See notes on "dependents" for H-1 through H-3, above.
(i) Representatives of information media.
Classification: 1 Representative of foreign information media, and immediate family].
Documents required: Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (I) unless exempt.
Qualifications: Representative of foreign press, radio, film, television, or other information
media. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit I for Duration of Status.

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Notations on 1-94: I, D/S. Enter the employer's name in block 26 on the reverse of the 1-94.
Special notes:
(A)
Defining the Term "Representatives of Foreign Press, Radio, Film, or Other
Information Media." For classification under section 101 (a)(15)(I) of the Act, the term
"representatives of foreign press, radio, film or other foreign information media" includes
aliens whose activities are essential to the foreign information media function (for example,
media reporters, media film crews, video tape editors, and persons in similar occupations).
Others associated with, but not directly involved in, such activities (a proofreader, for
example) may qualify for admission under another classification, such as under section
101 (a)(15)(H) of the Act.
(B) Dependent Spouse and Children. Admit the spouse and children of the principal alien
as "I" nonimmigrants. Dependents may attend school without changing status but may not
engage in employment.
(C) Prohibition on Commercial Film Crews. Camera crews producing films for commercial
entertainment or advertising must qualify under section 101 (a)(15)(O) or section
101 (a)(15)(P) [or in some cases, section 101 (a)(15)(H- 2B)] of the Act even though they will
receive no remuneration from a U.S. source and the film is produced solely for foreign
distribution.
(D) Informational or Educational FilmNideo Distinguished From Entertainment Material. A
nonimmigrant alien may be classified under section 101 (a)(15)(I) of the Act only when
engaged in the production or distribution of film/video of informational or educational films or
video tapes. An alien intending to work on entertainment-oriented materials must be
classified under sections 101 (a)(15)(H)(2), 101 (a)(15)(O) or 101 (a)(15)(P) of the Act.
(E) Employee of Independent Production Company ("Independents"). "I" classification may
be accorded to an employee of an independent production company if such employee holds
a credential issued by a professional journalistic association, the film will be used to
disseminate news or information, and the film will not be used primarily for commercial
entertainment or advertising purposes.
(F) Employee of Foreign Government Tourist Bureau. A duly accredited representative of
a tourist bureau controlled, operated, or subsidized in whole or in part by a foreign
government, who engages primarily in disseminating factual tourist information about that
country, is entitled to classification under section 101 (a)(15)(I) of the Act.
(G) Member of Foreign Government Trade Promotion Mission. Since an employee or
accredited representative in the United States of a trade promotional mission of a foreign
government is engaged primarily in commercial/economic activities, "I" classification would
not be appropriate. Both groups described in this note might include some foreign
government officials. [See 22 CFR 41.22(b)]

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(H) Employee of Organization Which Disseminates Technical Industrial Information. "I"
classification may be given to an employee in the United States offices of an organization
which distributes technical industrial information.
(I) Free Lance Media Worker. Aliens holding a credential issued by a professional
journalistic organization, if working under contract on a product to be used abroad by an
information or cultural medium to disseminate information or news not primarily intended for
commercial entertainment or advertising, are classifiable under section 101 (a)(15)(1) of the
Act. However, an alien holding an "I" visa should possess a valid contract of employment.

(Revised IN01-08)
U) Exchange visitor. (Amended by CBP 4-04)
(1) Classification: J-1 Foreign nationals who have been selected by a Department of State
(DOS) authorized program sponsor to participate in an exchange visitor program in the
United States. The program is designed to promote mutual understanding between the
U.S. and another countries through the interchange of persons, knowledge, and skills in the
fields of education, art and science.
Participants include students (secondary and
post-secondary), trainees, teachers, professors, and research scholars. The Exchange
Visitor Program includes international visitor, alien physician, government visitor, short-term
scholar, specialists, camp counselors, au pairs, and summer work/travel.
Documents required: Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (J-1) unless exempt. Student Exchange Visitor Information System
(SEVIS)-generated Form DS-2019. The SEVIS-generated Form DS-2019 contains a
two-dimensional bar code on the top right side of the form and the word "J-1" or "J-2"
printed above the bar code. The SEVIS-generated Form DS-2019 is a single page
document, rather than the previous multi-color carbonless Form DS-2019. The form may
be a single-page document printed front/back or a two-page document printed on one side
only.
The program sponsor must endorse the SEVIS-generated Form DS-2019 .
E 7 .signature is to easily identify an original form from a fax or photocopy.

The

Exchange participants making an initial entry into the United States may be admitted for a
period up to 30-days before the report date or start of the approved program listed on the
SEVIS-generated Form DS-2019. Discretion can be used in those instances where
incoming f1jghts are limited and the exchange visitor is arriving a few days early. There are
no restrictions on how early a returning exchange participant may enter the United States.
CBP officers may consult SEVIS to verify the correct program start date.

Initial entry exchange visitors visa exempt issued a SEVIS DS-2019 generated after
September 1, 2004 should present Form 1-797, Receipt Notice or an Internet
Receipt Notice confirming payment of the SEVIS fee. See Special Note G for
details.
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Qualifications: The exchange participant must have a program sponsor authorized by the
DOS as indicated on the SEVIS-generated Form DS-2019 and be entering for the purpose
specified on the SEVIS-generated Form DS-2019.
All nonimmigrant grounds of
inadmissibility apply.
Terms of admission: Admit J-1 for Duration of Status (DIS).
Notations on Form 1-94: Front: J-1, DIS. Reverse: In box 18 (occupation), record the
exchange visitor category as shown in block 4 on the SEVIS-generated DS-2019. Record
the SEVIS Identification number as it appears on the SEVIS-generated Form DS-2019. In
box 22, note "N" and the 1O-digit SEVIS number. DO NOT WRITE SEVIS. Record the
same number on the "Record of Changes" line provided on the reverse portion of the Form
1-94, Departure Record. In box 23, record the Program Number listed in block 2 on the
SEVIS-generated Form DS-2019.
Under no circumstances should an admission number be crossed out and replaced with a
previously issued admission number.
Processing SEVIS-generated Forms DS-2019 Upon Initial Entry. Upon initial admission, a
J-1 should present a SEVIS-generated Form DS-2019. Review the form for completeness
and the signatures of both the program sponsor and the exchange visitor.
(i) If the exchange participant is admissible endorse the SEVIS-generated Form
DS-2019 in the following manner:
•

•
•

Place an admission stamp in Box 6 entitled "U.S. Department of State/lNS Use or
Certification by Responsible Officer That A Notification Copy Of This Form Has
Been Provided To The U.S. Department of State (Include Date)".
Record the class of admission and period of authorized stay "J-1 DIS".
If not already completed by the consular official at the time of visa issuance, execute
the "Preliminary Endorsement" block in the lower right corner above consulate
adjudication.

(ii) On the Non-immigrant visa (NIV):

•
•

Endorse the NIV with the admission stamp in a manner that will include a portion of
the stamp overlapping the NIV.
Record the SEVIS 10 Number on the visa page, if not already annotated.

(iii) Upon completion, affix the Form 1-94, Departure Record to the exchange visitor's
passport, if not exempt. The SEVIS-generated Form DS-2019 and the passport
containing the Form 1-94 are to be given to the exchange visitor.
Processing returning exchange visitors: Review the SEVIS-generated Form DS-2019 for
completeness and for the signatures of both the program sponsor and the exchange visitor.
The program sponsor is required to endorse the SEVIS-generated DS-2019 in BLUE ink.

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•
•
•

The CBP officer is not required to place an additional admission stamp on the form.
Endorse the NIV with the admission stamp near the NIV and record the SEVIS 10
Number on the visa page, if not already annotated.
Complete the Form 1-94 as noted above.

Recording Admission. The admission of the J-1 exchange visitor making an initial entry to
the United States with a SEVIS issued form that has not been endorsed with an admission
stamp is to be entered into SEVIS. Refer to Chapter 15.16 Student and Exchange Visitor
Processing.
• Air/sea POEs: The SEVIS record will be updated by entering specific information in the
COA screens for all admission.
• Land POEs: The secondary officer will record the exchange visitor's initial entry directly
into SEVIS. Properly documented returning exchange visitors may be released on
primary, if otherwise admissible.
Special notes:
(A) Certain exchange visitors with expired visas. J-1 exchange visitors and dependents
with expired visas who have been outside the U.S. for less than 30 days solely to
contiguous territory or adjacent islands may be readmitted if they have a valid
SEVIS-generated Form OS-2019 or Form 1-94 showing the unexpired period of the
alien's stay. [See 8 CFR 214.1(b)(1) and 22 CFR 41.112.]. This provision does not
apply to:

(B) Employment authorization. J nonimmigrants may work in several circumstances. J-1
employment under the terms of the exchange program, at the sponsor's work site, does
not require issuance of an employment authorization document (EAO). See 8 CFR
274a.12(a). J-1 aliens entitled to academic training and those whose programs provide
for "open market" employment, and dependent J-2 aliens seeking employment under 8
CFR 214.2G)(1)(v) may be issued an EAO. [See 8 CFR 274a.12(c)]. Note: only J-2s are
required to apply for an EAO; SEVIS-generated Form OS-2019 is all the work
authorization normally required for J-1.
(C) Two-Year Foreign Residence Requirement. Form OS-2019 includes a block, which
is endorsed by the consular official issuing the visa or by the inspecting officer,
containing a determination whether the exchange visitor is subject to the 2-year foreign
residence requirement of section 212(e) of the INA. An alien may be subject to the
foreign residence requirement for any of four reasons:
•

if the exchange program is financed by the U.S. government;

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Inspector's Field Manual
if the exchange program is financed by the foreign government;
if the alien's occupation is on the "Skills List" for his or her country of nationality or
last residence; or,
if the purpose of the trip is to receive graduate medical education or training.

In most instances the consular official who issued the visa will have made the
determination whether the individual is subject. If there is no endorsement on the
SEVIS-generated Form DS-2019 regarding this matter, then the POE must make the
determination at the time of inspection. The list of governmentally financed programs
and the "Skills List" needed in order to make this determination are contained in
Appendix 15-1. This procedure is most critical when inspecting J aliens who are visa
exempt. Such persons will not have had the foreign residence requirement explained by
a consular official and, therefore, may be entirely unaware of the potential
consequences of entry as an exchange visitor.
(D) Lacking SEVIS-generated Form DS-2019. Whenever possible, POEs should
attempt to obtain the proper SEVIS documentation in order to admit the exchange
participant rather than issue a Form 1-515A, Notice to Student or Exchange Visitor or
defer the inspection. However, a Form 1-515A may be issued to an exchange
participant not in possession of a valid SEVIS-generated Form, if the individual presents
a valid visa (if required) and the status can be verified in SEVIS. Refer to Chapter 15.16
for Form 1-515A guidelines.
(E) Summer WorkfTravel programs do not always require that a student have a job prior
to entering the United States.
(F) Special Exchange Notations. Exchange visitors from the People's Republic of China
and former Soviet bloc countries may have their J-1 visas noted "CHINEX" or "SILEX".
This notation must be placed on the Form 1-94, in block 26 on the reverse. Program
participants with these notations are specially controlled by the DoS.
(G) SEVIS FEE Initial entry exchange visitors visa exempt issued a SEVIS
OS-2019 generated after September 1, 2004 should present Form 1-797, Receipt
Notice or an Internet Receipt Notice confirming payment of the SEVIS fee. If
unavailable, the POE should refer to the exchange visitors SEVIS record to verify
fee payment. The receipt information in SEVIS is located on the Exchange
Visitor information page.
There is a block entitled "1-901 Fee Payment
Information". There is a lapse between the time the exchange visitor pays the
fee and when the confirmation appears in SEVIS which allows ICE to process
the payment (approximately 10-days). The paper receipt is not required if
payment can be verified in SEVIS. If payment status indicates, "cancelled", the
POE should still accept this as proof of payment. (Added by CBP 4-04)
(H) Certification of Health Care Workers. If the alien beneficiary is seeking
admission for the primary purpose of performing labor in a covered health care
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occupation, the alien must present, at time of issuance of the visa and upon
each application for admission at a port of entry, a certificate or certified
statement from an approved credentialing organization listed in 8 CFR 212.15(e)
or (h). The covered health care occupations requiring valid certification include
licensed practical nurses, licensed vocational nurses, registered nurses,
occupational therapists, physical therapists, speech language pathologists and
audiologists, medical technologists (clinical laboratory scientists), medical
technicians (clinical laboratory technicians), and physician assistants. This
requirement does not apply to aliens admitted to perform services in a
non-clinical health care occupation in which the alien is not required to perform
direct or indirect patient care (e.g., teachers, researchers, or managers of health
care facilities), aliens coming to receive training in health care worker
occupations (e.g., F-1s, H-3s, or J-1s), or to spouses and dependent children.
[See 8 CFR 212.15 and AFM Ch. 30.12.] The Secretary of Homeland Security
will continue to exercise his discretion to waive the certificate requirement up to
and including July 25, 2005, for Canadian and Mexican health care workers,
who, before September 23,2003, were employed as "trade NAFTA" (TN) or
"trade Canada" (TC) nonimmigrant health care workers and held valid licenses
from a United States jurisdiction. Until that date, DHS will admit health care
workers and approve applications for extension of stay and/or change of status
subject to the following conditions (Added by CBP 3-04):
•

•

•

The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
ordinarily permit the alien's admission for a longer period;
The alien must obtain the requisite health care worker certification within 1
year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
Any subsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(2) Classification: J-2 Spouse and children of aliens classified J-1. (Revised 5/16/05;
CBP 9-05)
Qualifications: Must have the necessary relationship to the principal exchange participants
(J-1) provided by 22CFR 62.2. All nonimmigrant grounds of inadmissibility apply.
• Terms of admission: Admit J-2 for duration of status (O/S),unless the principal alien's
stay as been limited. The dependent's status is derived from the principal alien.
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Documents required: Passport valid for 6 months beyond the date of admission, unless
exempt; non-immigrant visa (J-2), unless exempt.
The eligible spouse and minor children of an exchange visitor must individually present an
original SEVIS-generated Form DS-2019 issued by a SEVIS authorized program sponsor in
the name of each dependent. The form will contain the biographical information of both the
principal and the dependent.
Upon initial admission, review the form for completeness and the signatures of both the
program sponsor (blue ink) and the dependent of the exchange visitor.
(i) If the dependent of the exchange participant is admissible, endorse the
SEVIS-generated Form DS-2019 in the following manner:
•

•

Place an admission stamp in Box 6 entitled "U.S. Department of StatellNS Use or
Certification by Responsible Officer That A Notification Copy Of This Form Has
Been Provided To The U.S. Department of State (Include Date)".
Record the class of admission and period of authorized stay "J-2 DIS", unless the
principal alien's stay as been limited to a specific date. The dependent's status is
derived from the principal alien.

(ii) On the non-immigrant visa (NIV):
•
•

Endorse the NIV with the admission stamp in a manner that will include a portion of
the stamp overlapping the NIV.
Record the SEVIS 10 Number on the visa page, if not already annotated.

(iii) Notations on Form 1-94: J-2, DIS, unless stay is limited to a specific date. Same as
J-1 principal. However in box 18 (occupation) identify dependent as spouse or child, as
appropriate.
(iv) Upon completion, affix the Form 1-94, Departure Record to the exchange visitor's
passport, if not exempt. The SEVIS-generated Form DS-2019 and the passport
containing the Form 1-94 are to be given to J-2 nonimmigrant.
Special notes:
(A) May accompany or follow to join J-1. If the J-1 has not been admitted to the United
States, the dependent is not eligible for J-2 status. SEVIS may be searched to
determine the principal's J-1 status.
(B) Dependent J-2 aliens seeking employment under 8 CFR 214.2U)(1)(v) may apply
for an Employment Authorization Document (EAD) with U.S. Citizenship and
Immigration Services (USCIS). [See 8 CFR 274a.12(c)].
(k) Fiance(s) of U.S. Citizens and Nonimmigrant Spouses of U.S. Citizens.
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(1) Classification: K-1 Fiancees and fiances of U.S. citizens.
Documents required: Valid passport. Nonimmigrant visa (K-1) (including Canadians and
others who would otherwise be exempt a visa). Valid petition (Form 1-129F).
Qualifications: Alien must be coming to conclude a valid marriage to the citizen petitioner
within 90 days. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit K-1 for 90 days.
Notations on 1-94: Front: K-1, date 90 days from day of admission. Reverse: "A" number
and FCC code.
Special notes:
(A) Employment Authorization. All K aliens, including dependents, may be issued an
EAD under 8 CFR 274a.12(a) for a period of 90 days.
(8) Handling the K-1 petition. Verify the complete address of the intended place of
residence as shown on the face of the 1-129F. Stamp the back of the petition to reflect
the admission of the beneficiary and any accompanying children.
If there are
accompanying K-2 children, circle their names in item #11 of the petition and note
beneath the admission stamp the following: "includes children whose names are
circled." Forward the petition and supporting documents to the files control office having
jurisdiction over the K-1's intended place of residence.
(C) Visa cables. When the American consul has issued a K visa on the basis of receipt
of a cable prior to the receipt of the approved visa petition, the American consul will
place a copy of the wire into the sealed envelope in lieu of the petition. The admitting
officer must verify the address, place the admission stamp on the cable with the above
mentioned endorsements and forward the entire packet to the appropriate files control
office.
(2) Classification: K-2 Children of alien fiancees and fiances of U.S. citizens.
Documents required: Valid passport.
Valid petition (Form 1-129F).

Nonimmigrant visa (K-2) (including Canadians).

Qualifications: Must be accompanying or following to join the K-1 parent. All nonimmigrant
grounds of inadmissibility apply.
Terms of admission: Admit K-2 for 90 days.
Notations on 1-94: K-2, date 90 days from day of admission.

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Special notes:
(A) General. See notes above for admission and employment authorization
(B) Petition handlina orocedures. In the case of a following-to-join K-2 child, lift the
sealed envelope furnished the child by the American consul, affix the medical report
contained therein with the admission stamp showing the K-2 classification and the date
until admitted. Ascertain the name and address of the K-1 alien parent to whom the
child is destined, and the date on which such K-1 parent was admitted to the U.S. to the
best of the child's knowledge. Prepare a memorandum which includes this information
and forward it, together with the lifted report of the K-2 child's medical examination (and
any other papers contained in the sealed envelope) to the files control office having
jurisdiction over the child's destination.
(C) Delayed arrivals. With the concurrence of the Service, the Department of State has
authorized consular officers to issue K-2 visas to the following-to-join children of a K-1
alien up to 1 year after the issuance of the K-1 visa to the principal alien. Issuance of
the K-2 visa within that period (and admission as a K-2 nonimmigrant during the validity
of that visa, if otherwise admissible) is authorized, even though the K-1 principal may
have already married the U.S. citizen petitioner and acquired lawful permanent
residence under section 214(d) of the Act.

(3) Classification: K-3: Spouse of a U.S. citizen who is the principal beneficiary of a Form
1-130, Petition for Alien Relative.
Documents required: Valid, unexpired K visa issued by a consular officer and the K-3/K-4
visa packet. The normal passport validity requirements of section 212(a)(7)(B) of the INA
apply. The State Department will issue 10-year, multiple entry K-3/K-4 visas, and will give
the applicant a K-3/K-4 visa packet, similar to the K-1/K-2 visa packet except that the Form
1-129F will be a scanned copy. Inspectors should forward the scanned copy of the Form
1-129F, along with the supporting documentation, to the FCO identified in CIS. The original
Form 1-129F will be stored at the Nonimmigrant Visa Center in Portsmouth, New
Hampshire.
Qualifications: To be eligible for the K-3 nonimmigrant classification, three requirements
must be satisfied:
(1) the alien must be the spouse of a U.S. citizen;
(2) the alien must be the beneficiary of a Form 1-130; and,
(3) the alien must be seeking to enter the United States to await the approval of such
petition and the availability of an immigrant visa.
Terms of Admission: Admit K-3 for 2 years.
Special Notes:

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(A) Multiple NIVs in Passport. Although an alien may only be admitted to the United
States in one nonimmigrant status at anyone time, nothing precludes an alien from
possessing more than one nonimmigrant visa. Therefore, when admitting an alien in the
K-3 classification, there is no requirement to lift or cancel a "laser" visa or any other
nonimmigrant visa held by a K nonimmigrant. Such visas may only be cancelled in
accordance with 22 CFR 41.122(h).
(B) Change of Status. There is no provision in the law to allow a nonimmigrant to
change status to that of a K-3.
(C) Unlawful Presence: Aliens who have been unlawfully present in the United States for
more than 180 days and depart trigger section 212(a)(9)(B) of the INA, the ground of
inadmissibility relating to unlawful presence. K-3 aliens are not exempt from section
212(a)(9)(B) of the INA.
(D) Terms and conditions of "K" nonimmigrant status: Aliens in the United States in K
nonimmigrant status must comply with the terms and conditions of that status as set
forth in section 214 of the INA. Aliens admitted to the United States as K-3
nonimmigrants may reside in the United States during their period of admission.
Nonimmigrant K-3 aliens are authorized to remain in the United States until their
authorized period of admission expires, or until 30 days after the date one of the
following is denied or revoked, whichever comes first:
(i) the Form 1-130 filed on the principal alien's behalf;
(ii) the alien's application for adjustment of status; or
(iii) the alien's application for an immigrant visa.
If the principal alien's status is terminated for any of these reasons, the status of any
derivative child shall also be simultaneously terminated.
(E) Terminated or Revoked 1-130. An alien will also no longer be eligible for K-3 status if
the qualifying marriage that is the basis for the Form 1-130 is terminated. In addition, if
the Form 1-130 is revoked under section 205 of the INA, the alien is then no longer
eligible for classification as a K-3 nonimmigrant.
(F) Employment Authorization. An alien admitted to the United States in K-3
nonimmigrant status may obtain employment authorization in 2-year increments on the
basis of that status under 8 CFR 274a.12(a)(9). The Form 1-94 shall not be annotated
"employment authorized." An Employment Authorization Document (EAD) issued under
the (a)(9) code is required and is valid for the entire period of K-3 admission unless the
Form 1-130 is denied or revoked, or the application for adjustment of status or an
immigrant visa is denied. An EAD may only be requested subsequent to K-3 admission
by filing an INS Form 1-765, Application for Employment Authorization, with the currently
prescribed application fee.
(G) Travel Requirements: An alien in K-3 nonimmigrant status may travel abroad and be

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readmitted to the United States for the duration of the original 2-year admission period if
he or she possesses a valid and unexpired K-3 nonimmigrant visa or otherwise qualifies
for automatic revalidation pursuant to 22 CFR 41.112. Once a K-3 nonimmigrant has
properly filed an application for adjustment of status (based on the approval of the
qualifying Form 1-130), he or she is not required to obtain advance parole in order to
preserve the adjustment application upon departure and to permit the alien to return to
the United States. Inspectors should refer to the initial admission stamp and admit the
alien only to the date of the initial authorized stay, which should be 2 years from the date
of initial admission. The alien should not be given an additional 2-year period of
admission upon reentry into the United States. If the date of the initial authorized stay
has passed, the inspection of the K-3 should be deferred to the INS office having
jurisdiction over his or her current place of residence for a final determination in the
case.
(4) Classification: K-4: Child accompanying or following to join the principal alien.
Documents required: Valid, unexpired K visa issued by a consular officer and the K-4 visa
packet. The normal passport validity requirements of section 212(a)(7)(B) of the INA apply.
The State Department will issue 10-year, multiple entry K-4 visas, and will give the applicant
a K-4 visa packet, similar to the K-2 visa packet except that the Form 1-129F will be a
scanned copy. Inspectors should forward the scanned copy of the Form 1-129F, along with
the supporting documentation, to the FCO identified in CIS. The original Form 1-129F will be
stored at the Nonimmigrant Visa Center in Portsmouth, New Hampshire.
Qualifications: To be eligible for the K-4 nonimmigrant classification, an alien must be the
unmarried child of a K-3 alien who is accompanying or following to join him or her. A K-4
nonimmigrant visa may only be issued to a derivative dependent of a K-3 nonimmigrant.
Section 101 (a)(15)(K) of the Immigration and Nationality Act (INA) does not require a
pending Form 1-130 for K-4 nonimmigrants to follow to join a K-3 nonimmigrant. However, in
order to adjust status to LPR, a K-4 must have an approved Form 1-130 filed on his or her
behalf.
Terms of Admission: Admit K-4 for 2 years, unless "aging out."
Terms of Admission of Aging Out K-4: If alien is 19 years of age or older and applies for
admission to the United States as a K-4 nonimmigrant, he or she shall be given an
admission period ending on the day before the alien's twenty-first birthday.
Special Notes:
(A) Other Nonimmigrant Visa(s) in Passport. Although an alien may only be admitted to
the United States in one nonimmigrant status at anyone time, nothing precludes an
alien from possessing more than one nonimmigrant visa. Therefore, when admitting an
alien in the K-4 classification, there is no requirement to lift or cancel a "laser" visa or
any other nonimmigrant visa held by a K nonimmigrant. Such visas may only be
cancelled in accordance with 22 CFR 41.122(h).

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(8) Change of Status: There is no provision in the law to allow a nonimmigrant to
change status to that of a K-4.
(C) Unlawful Presence: Aliens who have been unlawfully present in the United States for
more than 180 days and depart trigger section 212(a)(9)(8) of the INA, the ground of
inadmissibility relating to unlawful presence. K-4 aliens are not exempt from section
212(a)(9)(8) of the INA.
(D) Terms and conditions of "K" nonimmigrant status: Aliens in the United States in K
nonimmigrant status must comply with the terms and conditions of that status as set
forth in section 214 of the INA. Aliens admitted to the United States as K-4
nonimmigrants may reside in the United States during their period of admission.
Nonimmigrant K-4 aliens are authorized to remain in the United States until their
authorized period of admission expires, or until 30 days after the date one of the
following is denied or revoked, whichever comes first:
(i) the Form 1-130 filed on the principal alien's behalf;
(ii) the alien's application for adjustment of status; or
(iii) the alien's application for an immigrant visa.
If the principal alien's status is terminated for any of these reasons, the status of any
derivative child shall also be simultaneously terminated.
(E) Pending 1-130 Not Required for Dependent. While section 101 (a)(15)(K) of the INA
does not require a pending Form 1-130 for K-4 nonimmigrants to follow to join a K-3
alien, a Form 1-130 must be filed on behalf of the K-4 nonimmigrant for adjustment
purposes. It should be noted, however, that an alien will also no longer be eligible for
K-4 status if the qualifying marriage that is the basis for the Form 1-130 is terminated or
the child who accompanied or followed to join a principal beneficiary either reaches the
age of 21 or marries. In addition, if the Form 1-130 is revoked under section 205 of the
INA, the alien is then no longer eligible for classification as a K-4 nonimmigrant.
(F) Employment Authorization. An alien admitted to the United States in K-4
nonimmigrant status may obtain employment authorization in 2-year increments on the
basis of that status under 8 CFR 274a.12(a)(9). The Form 1-94 shall not be annotated
"employment authorized." An Employment Authorization Document (EAD) issued under
the (a)(9) code is required and is valid for the entire period of K-4 admission unless the
Form 1-130 is denied or revoked, or the application for adjustment of status or an
immigrant visa is denied. An EAD may only be requested subsequent to K-4 admission
by filing an INS Form 1-765, Application for Employment Authorization, with the currently
prescribed application fee.
(G) Travel Requirements: An alien in K-4 nonimmigrant status may travel abroad and be
readmitted to the United States for the duration of the original 2-year admission period if
he or she possesses a valid and unexpired K-4 nonimmigrant visa or otherwise qualifies

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for automatic revalidation pursuant to 22 CFR 41.112. Once a K-4 nonimmigrant has
properly filed an application for adjustment of status (based on the approval of the
qualifying Form 1-130), he or she is not required to obtain advance parole in order to
preserve the adjustment application upon departure and to permit the alien to return to
the United States. Inspectors should refer to the initial admission stamp and admit the
alien only to the date of the initial authorized stay, which should be 2 years from the date
of initial admission. The alien should not be given an additional 2-year period of
admission upon reentry into the United States. If the date of the initial authorized stay
has passed, the inspection of the K-4 should be deferred to the INS office having
jurisdiction over his or her current place of residence for a final determination in the
case.
(I) Intracompany Transferees.

(1) Classification: L-1 Includes aliens entering to render services to a branch, parent,
subsidiary, or affiliate of the company of previous employment outside the United States.
(Revised IN01-06)
Documents required: Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (L-I) unless exempt. Must have evidence of approved 1-129 petition in
the form of a notation on the nonimmigrant visa indicating the petition number and
employer's name, or a Notice of Action, Form 1-797, indicating approval, unless the
applicant is a Canadian citizen. In that case, the alien may file the 1-129 at a Canadian
pre-flight station or Canadian land border port-of-entry at the time he or she applies for
admission. If arriving at an airport without having been inspected preflight, a Canadian
applicant must have evidence of petition approval, Form 1-797.
Qualifications: Must be in a managerial, executive, or specialized knowledge capacity but
may be transferred from anyone of the capacities to another (e.g. from managerial to
executive). All nonimmigrant grounds of inadmissibility apply. Must have worked for the
company (branch, parent, subsidiary, or affiliate) outside the U.S. for at least 1 continuous
year within the preceding 3 years [See 8 CFR 214.2(1) and 22 CFR 41.54.].
(A) Blanket Petition. Aliens may qualify for L visas after having worked for the company
(branch, parent, subsidiary, or affiliate), outside the United States, for 6 months within
the preceding 3 years if the company has filed a blanket L petition and has met the
blanket petitions' requirements.
(Revised IN 02-12)
Terms of admission: If the alien is otherwise admissible as an individual L-1, admit for
validity of petition (up to 3 years initially). If the alien is otherwise admissible as a Blanket
L-1, initially admit for 3 years, regardless of the expiration date of the petition, provided the
petition is valid at the time of the initial admission. If the alien is seeking readmission as a
Blanket L-1, the Blanket Petition is still valid, and the alien is otherwise admissible, admit for
an additional three years regardless of the balance of the time left on the original
admission.(IN01-06)
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Notations on 1-94: Front: L-1, (date to which admitted). Reverse: Petition number and
occupation from list in Adjudicator's Field Manual Appendix 31-1.
Special notes:
(A) Dependents. Admit the spouse and children as L-2.
(B) Petition limitations. Petition may be approved for up to 3 years, except start-up
companies which are limited initially to 1 year. Expiration date of visa will usually be the
same as the validity of the petition. The maximum stay in the U.S. for an L-1 specialized
knowledge employee is 5 years. The maximum stay in the U.S. for an L-1, executive or
manager is 7 years.
(C) Blanket petitions. Some L aliens may be admitted on blanket petitions, which are
petitions approved for large companies where corporate requirements are not
readjudicated with each individual L alien. A blanket L-1 alien may apply for admission
or readmission to the United States as long as the blanket petition is valid at the time of
admission. A blanket L-1 should be admitted for 3 years, unless that period of time will
exceed the statutory limitations on the L-1 alien's stay in the United States. An L-1 alien
who has spent either seven years in the United States in a managerial or executive
capacity or five years in a specialized knowledge capacity may not be readmitted to the
United States as an L-1 unless the alien has resided and been physically present
outside the United States for the immediate previous year. Blanket petition applicants
will have Form 1-129S, Certificate of Eligibility for Intracompany Transferee Under a
Blanket Petition, in their possession.
Aliens may qualify for L visas after having worked for the company (branch, parent,
subsidiary, or affiliate), outside the United States, for 6 months within the preceding 3
years if the company has filed a blanket L petition and has met the blanket petitions'
requirements. (Prior to Pub. L. 107-125 of January 16, 2002, the law required that a
beneficiary of a Blanket L petition, within three years preceding the time of his
application for admission into the United States, had to have been employed abroad
continuously for one-year by the petitioning company.)
(Revised IN 02-12)
(D) NAFTA L aliens. Under the North American Free Trade Agreement (NAFTA), a
Canadian citizen may file an 1-129 for an L-1 classification in conjunction with his/her
application for admission at certain land border ports-of-entry and preflight inspection
stations. Because of this, officers must be completely familiar with the adjudication
process of an 1-129 petition for L-1 benefits. The following procedure may serve as a
guideline:
Determine applicant to be a Canadian citizen and otherwise eligible for
admission;
(1)

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Be sure the 1-129 is completed in duplicate and signed;

(ID Determine qualifying relationship between the U.S. and Canadian entities. Very
often a great volume of material is not necessary;
(~

Verify that the applicant was employed abroad by the Canadian entity in a
qualifying capacity for a period of 1 year during the prior 3 years immediately
preceding the date of application for admission;
(§) The job offer by the U.S. entity must place the applicant in a qualifying
managerial, executive or specialized knowleqge capacity. Examine supporting
documentation. Form M-332, Instructions for Filing 1-129 Petition for Intracompany
Transferee, is a good source of information concerning acceptable supporting
documentation;

(§) Collect fee, place fee stamp, approval stamp, and officer signature in proper
places on the 1-129;

(?J

Prepare 1-94 multiple entry for 1 year if the alien is coming to a new office, (i.e. in
business for less than 1 year) 3 years if other than new office;

(ID Make sure alien receives the 1-94, a receipt for the fee paid, Form 1-9 and
M-279 for initial admission. Advise the alien that he or she will receive an 1-797,
Notice of Action, from the service center; and
(ill Attach arrival copy of 1-94 to "record of proceedings, " (original 1-129 with
supporting documents) and forward to the Service Center that has jurisdiction over
your port-of-entry.

(2) Classification: L-2 Includes spouse and children of L-1.
Documents required: Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (L-2) unless exempt.
Qualifications: Must have the required family relationship with the principal alien. Must be
accompanying or following to join the principal L-1. All nonimmigrant grounds of
inadmissibility apply.
Terms of admission: Admit L-2, same period as principal.
Notations on 1-94: Front: L-2, (date to which admitted). Reverse: Annotate the remarks
section of the dependent's 1-94 with the dependent's specific relationship to the principal
and the principal's name (e.g., "Spouse of John Jones" or "Child of John Jones").
Special notes:
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(A) Employment authorization: Spouse and children may attend school without
changing status. The spouse may apply for and be issued an employment authorization
document, but the child(ren) may not work as L-2.
(B) NAFTA L dependents. Under the North American Free Trade Agreement, only
the principal applicant need be a Canadian/Mexican citizen.
(Paragraph (1)(2) revised 1N 02-12)
(m) Vocational students. (Amended by CBP 4-04)
(1) Classification: M-1 students who seek to enter the United States to pursue a full course
of study at one of the following types of nonacademic institutions (other than language
training programs) which is approved by the Department of Homeland Security (DHS) for
attendance by foreign students:

•
•
•
•
•

A community college or junior college which provides vocational or technical
training and which awards recognized associate degrees;
A vocational or other nonacademic high school;
A post-secondary vocational or business school;
A school which provides vocational or nonacademic training other than language
training; or,
A school that offers both vocational and academic courses provided the
student's primary intent is to study vocational courses.

Language training qualifies only when taken at the same school for the purpose of
enabling the student to understand the vocational or technical course of study.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (M-1), unless
exempt. SEVIS-Form 1-20MN. Presentation or submission of a SEVIS Form 1-20MN
issued from SEVIS indicates that the individual has been accepted to a school that has
been authorized by the DHS to participate in the SEVIS program. Any Form 1-20 issued by
SEVIS will contain a two-dimensional bar code on the right side of the form and the word
"SEVIS" printed above the bar code. The SEVIS Form 1-20 is a single page student
document rather than the previous carbon Form 1-20MN with a separate student and school
page. The form may be a single page document printed fronUback or two-page document
printed on one side only. Evidence of financial support.
Students making an initial entry into the United States may be admitted for a period up to
30-days before the report date or start date of the course of study listed on the SEVIS
Form 1-20MN. Discretion can be used in those instances where in coming flights are
limited and the exchange visitor is arriving a few days early.
There are no restrictions on how early a returning student may enter the United States.

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Returning students who have transferred to anther school or are pursuing a higher level
degree are not required to obtain a new NIV.
Initial entry foreign students exempt visa requirements issued a SEVIS Form
generated on or after September 1, 2004 should present either Form 1-797, Receipt
Notice or Internet Receipt Notice confirming payment of the SEVIS fee. See Special
Notes G for details.
Qualifications: Must be coming to pursue full course of study at an approved "M" school,
unless qualified for a reduced course load as a commuter student as identified in Special
Note B below. Must have sufficient financial resources.
All nonimmigrant grounds of
inadmissibility apply.
Terms of Admission: Admit as M-1 to the end date of the course, as specified on the SEVIS
Form 1-20MN plus 30-days, not to exceed one year; or to the validity date of the passport,
less six months, if not exempt. A student making an initial entry may be admitted for a
period up to 30 days before the indicated report date or program start date listed on the
SEVIS Form 1-20MN. There is no restriction on a returning student.
Notations on Form 1-94: Front:: M-1, ending date of course plus 30 days not to exceed 1
year, except for part-time border commuters see Special Note B. Reverse: Record the
SEVIS Identification number as it appears on the SEVIS Form 1-20MN. Note in box 22 "N"
and the 1O-digit SEVIS number. DO NOT WRITE SEVIS. Record the same number on the
"Record of Changes" lines provided on the reverse portion of the Form 1-94, Departure
Record.

Processing initial entry students. Upon initial admission, an M-1 should present a SEVIS
Form 1-20MN. Review the form for completeness and accuracy. Ensure that both the
Designated School Official (DSO) and student have signed and dated the form. If the
student is admissible:
Endorse the SEVIS Form 1-20MN in the following manner:
•
•
•

Stamp the "For Immigration Official Use" block with the admission stamp.
Record the appropriate class of admission and period of authorized stay "M-1 Date
Certain".
Neatly and legibly record the admission number from the Form 1-94 in the space
provided.

On the Non-immigrant visa (NIV):
•
•

Endorse with the admission stamp in a manner that will include a portion of the stamp
overlapping the NIV.
Record the SEVIS 10 Number on the visa page, if not already annotated.
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Upon completion, affix the Form 1-94, Departure Record to the student's passport, if
not exempt. The SEVIS Form 1-20MN and the passport containing the Form 1-94 are
to be given to the student.
Readmission. Upon subsequent entries, a student with a SEVIS Form 1-20MN may
have a separate page issued by the OSO authorizing travel or for providing certification
or recommendation for practical training. The OSO is required to endorse the SEVIS
Form 1-20MN confirming that the student is enrolled and attending the school.
Endorsements are valid for 6 months. Therefore, the OSO must endorse the SEVIS
Form 1-20MN twice a year to confirm that the student is maintaining status. In addition,
the SEVIS computer record will be updated by the OSO each term or session to reflect
that the student is still registered at the institution and maintaining status. Therefore, if a
student travels outside the United States during an ongoing semester, the POE can refer
to the SEVIS to confirm a student's enrollment status. To process the returning student,
review the SEVIS Form 1-20MN for completeness and for the signatures of both the OSO
and the student:
•
•
•
•

The CBP officer is not required to place an additional admission stamp on the form.
Endorse the NIV with the admission stamp near the NIV and record the SEVIS 10
Number on the visa page, if not already annotated.
Complete the Form 1-94 as noted above.
The SEVIS Form 1-20MN is to be returned to the student.

Recording Admission. The admission of the M-1 student making an initial entry to the
United States with a SEVIS issued form that has been not been endorsed with an admission
stamp is to be entered into SEVIS. Refer to Chapter 15.16 Student and Exchange Visitor
Processing.
•
Air/sea POEs: The SEVIS record will be updated by entering specific information in the
COA screens for all admission.
Land POEs: The secondary officer will record the student's initial entry directly into
•
SEVIS. Properly documented returning students may be released on primary, if
otherwise admissible.
Special notes:
(A) Certain students with expired visas. M-1 students and dependents with
expired visas who have been outside the U.S. for less than 30 days solely to
contiguous territory may be readmitted if they have their original Form 1-94 and a
valid
Form 1-20MN [See 8 CFR 214.1(b)(1) and 22 CFR 41.112]. The
"adjacent island" exemption, available to F and J nonimmigrants, does not apply
to M students.
This provision does not apply to:
o citizens of countries identified by the U.S. Department of State as
sponsors of terrorism, refer to Appendix 15.11 ;or,
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individuals that have applied for a new visa while abroad as annotated
"Application Received at specific post on date" on the last page of the
passport by the Consulate or Embassy abroad.

(8) Reduced Course Load-Commuter Students from Canada & Mexico.
Canadian or Mexican nationals who are enrolled, or will enroll, in a course of
study are eligible for admission to pursue part-time study provided the alien
meets all other M-1 requirements, with the following accommodations. The alien
must maintain actual residence and place of abode in the country of nationality,
must apply for admission at a land POE, and must be enrolled in a United States
school within 75 miles of the international border. After paying the prescribed
fee, the alien will be issued a multiple-entry Form 1-94 with an admission period
that reflects the current semester or term of study, as noted in the alien's SEVIS
Form 1-20MN. The OSO will issue all reduced course load students a new
SEVIS Form 1-20MN for each new semester or term that the student is enrolled
at the school. A new multiple-entry Form 1-94 is required for each new semester
or term, with fee.
(C) Full Course of Study: Full course of study is generally defined as 12 credit hours or
18-22 weekly clock hours per term or session.
(0) Lacking SEVIS Form 1-20MN. Whenever possible, POEs should attempt to
obtain the proper SEVIS documentation (faxed copy is acceptable) in order to
admit the student rather than issue a Form 1-515, Notice to Student or Exchange
Visitor or defer the inspection. However, a Form 1-515 may be issued to a
student not in possession of a valid SEVIS form, if the individual presents a valid
visa (if required) and the status can be verified in the SEVIS. Refer to Chapter
15.16 for Form 1-515 processing guidelines.
(E) Employment. Optional Practical Training (OPT) is the only form of authorized
employment available to an M-1 student, and is limited to a 6 month period following
the successful completion of the completion of the M-1 program.
•
•
•

•

OPT is employment that is related to a student's specified curriculum, but not
required by it.
OPT must be recommended by the OSO and authorized by USCIS before
the student begins work.
In SEVIS, the OSO recommends OPT as an update to the student's record.
The OPT recommendation appears on the student information screen and on
page three of the student's printed SEVIS Form 1-20MN. The
recommendation does not include a name and address of an employer, if
known.
Temporary absence of M -1 student granted practical training. An M - 1 student who
has been granted permission to accept employment for OPT and who temporarily
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departs from the United States, may be readmitted for the remainder of the
authorized period indicated on the student's SEVIS Form 1-20MN. The student must
be returning to the United States to perform the authorized practical training.
A student may not be readmitted to begin practical training, which was not
authorized prior to the student's departure from the United States.

(F) Completion of M-1 Program that has a duration of more than one-year:
•
•

Student may file for an extension; or,
Student may depart the United States and be readmitted with a new SEVIS Form
1-20MN, if otherwise admissible.

(G) SEVIS Fee Initial entry foreign students exempt visa requirements issued a
SEVIS Form generated on or after September 1, 2004 should present either
Form 1-797, Receipt Notice or an Internet Receipt Notice confirming payment of
the SEVIS fee. If unavailable, the POE should refer to the student's SEVIS
record to verify fee payment. The receipt information in SEVIS is located on the
Student information page. There is a block entitled "1-901 Fee Payment
Information". There is a lapse between the time the student pays the fee and
when the confirmation appears in SEVIS, which allows ICE to process the
payment (approximately 10-days). The receipt is not required if payment can be
verified in SEVIS. If payment status indicates, "cancelled", the POE should still
accept this as proof of payment. (Added by CBP 4-04)
(2) Classification: M-2 Spouse and children of M-1 vocational student.
Documents required: Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (M-1) unless exempt. SEVIS Form 1-20MN, student copy. The SEVIS
will generate a separate Form 1-20MN for each M-2 identified by "dependent copy" over the
bar code and SEVIS 10. The dependent's SEVIS Form 1-20MN will include both the
dependent's and the principal's biographical information.
When processing M-2
dependents, endorse the SEVIS Form 1-20MN and return it to the alien.
Qualifications: Must be an individual listed in the general description, accompanying or
following to join a principal M-1 student. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit M-2 to same date as M-1.
Notations on Form 1-94: Front: M-2, same date to which admitted as M-1. Reverse: In box
18 (occupation), identify dependent as spouse or child, as appropriate. Record the SEVIS
Identification number as it appears on the SEVIS Form 1-20MN. Note in box 22 "N" and
the 1O-digit SEVIS number. DO NOT WRITE SEVIS. Record the same number on the
"Record of Changes" lines provided on the reverse portion of the Form 1-94, Departure
Record.
Study: The M-2 spouse of an M-1 student may not engage in full-time study, and the M-2
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child many only engage in full-time study if the study is an elementary or secondary school
(kindergarten through twelfth grade). The M-2 spouse and child may engage in study that is
avocational or recreational in nature.
Recording the Admission:
Special notes: See notes on M-1 above.
(n) Certain special immigrant spouses and children.
(1) Classification: N-8 Includes parent of "child" accorded special immigrant status (SK-3).
Documents required:
Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (N-8) unless exempt.
Qualifications: Must be the parent of a child classified as an SK-3 nonimmigrant. See
section 101 (a)(27)(I) of the INA. The parent is eligible only while the SK-3 immigrant
remains a child. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit N-8 for up t03 years.
Notations on 1-94: N-8, admit for 3 years or to 21st birthday of child.
Special notes:
(A) Employment authorization. N-8 aliens are authorized employment pursuant to 8
CFR 274a.12(a) and may be issued an EAD.
(2) Classification: N-9 Includes the child of an N-8 or child of an alien accorded an SK-1,
SK-2, or SK-4 special immigrant visa.
Documents required:
Passport valid for 6 months at time of entry unless exempt.
Nonimmigrant visa (N-9), unless exempt.
Qualifications: Must be a child of either an N-8 described above or of an SK special
immigrant. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit N-9 for 3 years or to 21 st birthday.
Notations on 1-94: N-9, Same date as N-8 (if child of N-8) or the lesser of 3 years or 21 st
birthday (if child of SK).
Special notes:
(A) Qualifying relationships.

A N-9 nonimmigrant may be either the child of a former

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G-4 who acquired SK permanent resident status (when the child does not qualify for
corresponding resident status), or the child of an N-8 parent who is temporarily
remaining with an SK-3. See definitions for SK immigrants in §1 01 (a)(27)(I).
(B) Employment authorization. Employment is authorized, issue EAD.
(0) Aliens of extraordinary ability.
(1) Classification: 0-1 Alien with extraordinary ability in the sciences, arts, education,
business, or athletics; or who has attained extraordinary achievements in the motion picture
or television industry.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (0-1) unless
exempt. Must have evidence of approved 1-129 petition in the form of a notation on the
nonimmigrant visa indicating the petition number and employer's name, or a Notice of
Action, Form 1-797, indicating approval.
Qualifications: Individual (not group or team) must fall within general description of
classification above. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit 0-1 for the validity period of the petition, plus up to 10 days
before the beginning of the petition period or 10 days after its expiration. Do not exceed 3
years total [See 8 CFR 214.2(0)(6)(iii)(A), 8 CFR 214.2(0)(10).].
Notations on 1-94: Front: 0-1 and expiration date of authorized stay (expiration date of
petition validity plus 10 days). Reverse: Occupation and petition number.
Special notes:
(A) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port-of-entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 3 years and may be extended. The beneficiary may also have a
copy of the approval notice, Form 1-797, which is readily verifiable.
(B) Dependents. Dependents are admitted as 0-3. Dependents may not work but may
attend school without changing status.

(C) Certification of Health Care Workers. If the alien beneficiary is seeking
admission for the primary purpose of performing labor in a covered health care
occupation, the alien must present, at time of issuance of the visa and upon
each application for admission at a port of entry, a certificate or certified
statement from an approved credentialing organization listed in 8 CFR 212.15(e)
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or (h). The covered health care occupations requiring valid certification include
licensed practical nurses, licensed vocational nurses, registered nurses,
occupational therapists, physical therapists, speech language pathologists and
audiologists, medical technologists (clinical laboratory scientists), medical
technicians (clinical laboratory technicians), and physician assistants. This
requirement does not apply to aliens admitted to perform services in a
non-clinical health care occupation in which the alien is not required to perform
direct or indirect patient care (e.g., teachers, researchers, or managers of health
care facilities), aliens coming to receive training in health care worker
occupations (e.g., F-1s, H-3s, or J-1s), or to spouses and dependent children.
[See 8 CFR 212.15 and AFM Ch. 30.12.] The Secretary of Homeland Security
will continue to exercise his discretion to waive the certificate requirement up to
and including July 25, 2005, for Canadian and Mexican health care workers,
who, before September 23,2003, were employed as "trade NAFTA" (TN) or
"trade Canada" (TC) nonimmigrant health care workers and held valid licenses
from a United States jurisdiction. Until that date, DHS will admit health care
workers and approve applications for extension of stay and/or change of status
subject to the following conditions (Added by CBP 3-04):
•

•

•

The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
ordinarily permit the alien's admission for a longer period;
The alien must obtain the requisite health care worker certification within 1
year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
Any subsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(2) Classification: 0-2 Alien accompanying or assisting an 0-1 artist or athlete.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or exempt. Nonimmigrant visa (0-2) unless
exempt. Evidence of an approved 1-129 petition to work a specific event or performance,
either in the form of a consular notation on the visa or an approval notice on Form 1-797.
Qualifications: Must possess critical skills and at least 1 year of experience with the
principal 0-1. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit (0-2) for the validity period of the petition (which cannot exceed
3 years), plus a period of up to 10 days before the validity period begins and 10 days after

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the validity period ends [See 8 CFR 214.2(0)(6)(iii)(B), 8 CFR 214.2(0)(10).].
Notations on 1-94: Front: 0-2 and expiration date of authorized stay (expiration date of
petition validity plus 10 days).
Reverse: occupation, petition number, and employer's name and address.
Special notes:
(A) Arrival prior to 0-1. An 0-2 may precede the 0-1 to the U.S. to prepare for the
event.
(B) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port- of-entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 3 years and may be extended. The beneficiary may also have a
copy of the approval notice, Form 1-797, which is readily verifiable.
(C) Dependents. Dependents are admitted as 0-3. Dependents may not work but may
attend school without changing status.
(3) Classification: 0-3 Spouse or child of an 0-1 or 0-2.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (0-3) unless
exempt.
Qualifications:
Must be spouse or child of 0-1 or 0-2.
inadmissibility apply.

All nonimmigrant grounds of

Terms of admission: Admit 0-3 for the same time period as the principal 0-1 or 0-2.
Notations on 1-94: 0-3 and same expiration date of authorized stay as principal. Enter the
name of the principal alien on the reverse, in block 26.
Special notes: Dependent employment. Dependent 0 aliens may not work but may attend
school without changing status.
(p) Artists, athletes, and entertainers.
(1) Classification: P-1 Internationally recognized athlete or entertainment group or
essential support personnel.
Documents required:

Passport valid for a minimum of 6 months beyond the period of

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admission, unless otherwise provided for or waived. Nonimmigrant visa (P-1) unless
exempt. Evidence of an approved 1-129 petition, either a notation on the nonimmigrant visa
or a copy of the approval notice on Form 1-797.
Qualifications: Must be an individual or team member, qualified as above, entering to
engage in such activities. Essential support personnel (except for circus employment) must
have one year of experience with the principal P-1 individual or group. All nonimmigrant
grounds of inadmissibility apply.
Terms of admission: Admit P-1 for validity of petition, plus 10 days prior to validity date and
up to 10 days after the expiration date, not to exceed 1 year for group members or 5 years
for individual athletes [See 8 CFR 214.2(p)(8)(iii)(A), 8 CFR 214.2(p)(12).].
Notations on 1-94: Front: P-1 and expiration date of authorized stay.
Occupation and petition number.

Reverse:

Special notes:
(A) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port of entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 5 years for individual athletes and may be extended, not to exceed
10 years. Other P-1 petitions are valid for up to 1 year and may be extended in
increments of 1 year. The beneficiary may have a copy of the approval notice, Form
1-797, which is readily verifiable.
(8) Dependents. Dependents are admitted as P-4. Dependents may not work but may
attend school without changing status.
Essential support personnel. P-1 individuals and groups may include essential
support personnel. Generally, group members and support personnel must have 1 year
of experience with the group. There is a 25% exception to the 1-year requirement for
group membership. This 1-year experience requirement does not apply to circus
personnel.
(C)

(2) Classification: P-2 Artist or entertainer or essential support personnel in a reciprocal
exchange program between an organization in the U.S. and an organization in one or more
foreign countries.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmjgrant visa (P-2) unless
exempt. Evidence of an approved 1-129 petition, either a consular notation on the
nonimmigrant visa or a copy of the petition approval notice, Form 1-797.
Qualifications: Individual or group meeting qualifications of the category as stated above.
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All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit P-2 for validity of petition plus 10 days prior to validity date and
up to 10 days after the expiration date.
Notations on 1-94: Front: P-2 and expiration date of authorized stay (expiration date of
petition validity plus 10 days.) Reverse: Occupation and petition number.
Special notes:
(A) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port- of-entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 1 year and may not be extended beyond a total admission period
of 1 year. Beneficiary may have a copy of the petition approval notice, Form 1-797,
which is readily verifiable.
(B) Limitation on readmission. A P-2 who has completed a year in that status ordinarily
may not reenter the U.S. on a new P-2 petition for 3 months. A waiver is available as
part of the petition process.
(C) Dependents. Dependents are admitted as P-4. Dependents may not work but may
attend school without changing status.
(3) Classification: P-3 Artist or entertainer coming to perform, teach, or coach under a
commercial or noncommercial program that is culturally unique.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (P-3) unless
exempt. Evidence of an approved 1-129 petition, either a consular notation in the
nonimmigrant visa or an approval notice on Form 1-797.
Qualifications: Must be an individual or group member coming to perform in a program
which meets the definition above. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit P-3 for validity of petition plus 10 days prior to validity date and
up to 10 days after the expiration date.
Notation on 1-94: Front: P-3 and expiration date of authorized stay (expiration date of
petition validity plus 10 days.) Reverse: Occupation and petition number.
Special notes:
(A)

Petitions.

The approved petition is forwarded by the service center to the visa

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issuing post or, when no visa is required, to the proposed first port- of-entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 1 year and may not be extended beyond a total admission period
of 1 year. Beneficiary may have a copy of the approval notice, Form 1-797, which is
readily verifiable.
(B) Dependents. Dependents are admitted as P-4. Dependents may not work but may
attend school without changing status.
(4) Classification: P-4 Spouse or child of a P-1, P-2, or P-3.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (P-4), unless
exempt. May have a copy of approval notice of petition for principal alien.
Qualifications: Must be accompanying or following to join a principal P-1, P-2, or P-3. All
nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit (P-4), same as principal.
Notation on 1-94: P-4 and same expiration date of authorized stay as principal.
Note the reverse, in block 26 with the name of the principal alien.
Special notes: See notes on dependents above.
(q) Cultural Visitors.
(1) Classification: Q-1 includes aliens coming to take part in an international cultural
exchange program approved by the Attorney General for the purpose of providing practical
training, employment, and the sharing of the history, culture, and traditions of the alien's
country.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (Q-1), unless
exempt. Evidence of an approved 1-129 petition, either a consular notation on the visa or a
copy of the approval notice, Form 1-797.
Qualifications: Must be at least 18 years of age, coming to perform services described
above. All nonimmigrant grounds of inadmissibility apply.
Terms of admission: Admit as Q to the petition validity but not to exceed 15 months.
Notation on 1-94:
occupation.

Front: Q-1, (date to which admitted). Reverse: Petition number and

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Special notes:
(A) Petitions. The approved petition is forwarded by the service center to the visa
issuing post or, when no visa is required, to the proposed first port- of-entry of the
beneficiary. Petition approval may also be sent via facsimile or cable. Information on
petition approval may be verified by checking the CLAIMS database. Petitions may be
valid initially for up to 15 months and may not be extended.
(B) Limitation on readmission. An alien who has completed a 15 month Q-1 program
must remain outside the U.S. for 1 year before being readmitted as a Q-1 nonimmigrant.
(C) Dependents. There is no dependent provision for spouse or child of a Q-1 but they
may be otherwise admissible as a visitor.
(2) Classification: Q-2 includes principal participants in the Irish Peace Process Cultural
and Training Program (IPPCTP) coming temporarily to the United States for employment
and/or training. (Revised 12/12/05; CBP 16-06)
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless exempt. Nonimmigrant Q-2 visa and original Certification Letter from the
Department of State's (DOS) Program Administrator documenting that individual is a
participant in the IPPCTP and specifies the employer/trainer to whom participant is
destined.
Qualifications: The program participant must: 1) be between the ages of 18 and 35 at the
time of initial departure for the United States, and coming to participate in the IPPCTP; 2)
be a citizen of the United Kingdom or the Republic of Ireland and have been a resident of
Northern Ireland or the counties of Louth, Monaghan, Cavan, Leitrim, Sligo, and Donegal in
the Republic of Ireland for at least 18 months prior to departure for the United States
(Periods spent away from a permanent address, but still within the UK or Ireland while
pursuing training or educational opportunities, should be disregarded.); 3) not be in
possession of, or currently studying for, a degree from a university or an institute of higher
education; and 4) have been unemployed for at least 12 out of the last 15 months at the
time of scheduled departure to the United States.
Terms of admission on initial entry: Admit as Q-2 for 2 years, unless Certification Letter
specifies shorter program period.
Notation on 1-94: Front: "Q-2 (date to which admitted)" not to exceed 2 years from the initial
date of entry. Reverse: Certification Letter number at block 22. At block 26, enter
"IPPCTP", and name of employer/or trainer.
Special notes:
(A) Port of initial entry: Q-2s and eligible dependents (Q-3) must be inspected at CBP

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Pre-Flight Dublin or Shannon, where they will be issued a Form 1-94.
(B) Readmission after temporary absence: Total period of stay cannot exceed a total of 3
years from the initial date of admission of a principal alien admitted prior to December 10,
2004, and 2 years from the date of initial admission of a principal alien admitted on or after
December 10, 2004. Form 1-94 should be annotated at block 22 with the Certification Letter
number and at block 26 with "IPPCTP", then name of employer/or trainer. (0-2/0-3s should
retain their Form 1-94s when they visit contiguous territory or adjacent islands, if such a visit
will not exceed 30 days. See 8 CFR 214.1 (b)(4)).
Principal participants or accompanying or following-to-join spouses or children of the
principal who are in possession of valid passports, 0-2 or 0-3 visas, and original
certification letters from the DOS' Program Administrator may be readmitted for the
remainder of time authorized on their certification letters provided they have not been
outside the United States in excess of 3 consecutive months. Such periods of time will not
be added to the end of stay. Principal participants and dependents who remain outside the
United States in excess of 3 consecutive months will not be readmitted on their initial 0-2 or
0-3 visa. Instead, any principal participant and eligible dependents wishing to rejoin the
program will be required to reapply to the program and be in receipt of a new 0-2 or 0-3
visa and original certification letter issued by the DOS' Program Administrator, prior to any
subsequent admission to the United States.
(D) Certification Letter: Principal must possess original at initial entry and any subsequent
reentries. Please note that the machine-readable visa will list the Certification Letter
Number in the annotation area.
(E) Employment: The principal participant is permitted to work only for the DOS-approved
employer listed on the certification letter issued by DOS' Program Administrator. 0-3
dependents may not work.
(F) Unemployment: Short periods of work totaling no more than 13 weeks in the past 15
months may be waived.
(G) Foreign Residence Requirement: No participant in the IPPCTP shall be eligible to apply
for nonimmigrant status, an immigrant visa, or permanent residence until that person has
resided and been physically present in the person's country of nationality or last residence
for an aggregate of at least 2 years following departure from the United States. This
requirement is limited to aliens who are issued 0-2 visas after December 10, 2004.
A former 0-2 alien may apply for a waiver of the foreign residency requirement (on Form
1-928). If the waiver is granted, the alien will receive an approval notice on a Form 1-797. If
a former 0-2 alien arrives in the United States without the 1-797 and states that the foreign
residency requirement has been waived, the CBP field officer should try to verify that the
alien is eligible for admission into the United States. If the foreign residency requirement
has been waived for a former 0-2, a nonimmigrant visa issued to that alien will include a
notation that s/he is not SUbject to the foreign residency requirement.

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(3) Classification: Q-3 includes dependents of Q-2 aliens. (Revised 12112105; CBP 16-06)
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless exempt. Nonimmigrant 0-3 visa and original Certification Letter
indicating the principal's program information.
Terms of Admission: Admit as Q-3 for duration period of principal's program.
Notation on 1-94: On back of 1-94: Principal's Certification Letter number at block 22, then
at block 26 "Employment not authorized". Some spouses may also be principals and be
classified as Q-2 and therefore authorized employment. Dependants may attend school
without changing status.

(r) Religious workers.
(1) Classification: R-1 Member of a religious denomination having a bona fide nonprofit
religious organization in the U.S., coming to carry on the vocation of minister or religious
professional, or to work in a religious vocation or occupation.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa (R-1) unless
exempt. Letter of invitation describing duties of position in the United States.
Qualifications: Membership in a religious denomination for at least 2 years immediately
preceding entry. If working in a professional capacity, the applicant must have a minimum
of a bachelor's degree in a related field, or its equivalent. All nonimmigrant grounds of
inadmissibility apply. If working in a non-professional capacity, the applicant must be
working for a tax exempt organization.
Terms of admission: Admit R-1 for a maximum of 3 years. Extensions are permitted for up
to a total of 5 years.
R-1 and expiration date of authorized stay.
Notations on 1-94: Front:
Occupation and employer's name and address.

Reverse:

Special notes: Limitation on readmission. Do not readmit an R who has spent 5 years in
the U.S. as an R unless he or she has resided and been physically present outside the U.S.
for the immediate prior year, except for brief visits for business or pleasure.
(2) Classification: R-2 Spouse or child of R-1.
Documents required: Passport valid for a minimum of 6 months beyond the period of
admission, unless otherwise provided for or waived. Nonimmigrant visa unless exempt.
Qualifications: Must be accompanying or following to join an R-1 alien. All nonimmigrant

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grounds of inadmissibility apply.
Terms of admission: Admit (R-2), same as principal.
Notation on 1-94: R-2 and same expiration date of authorized stay as principal. Name of
principal alien in block 26, on reverse of 1-94.

Special notes: Dependents:

May not work, but may attend school without changing

status.

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(t) Reserved

(u) Reserved
(v) Spouse and Dependent Children of a Lawful Permanent Resident (LPR) Authorized to
Reside and Work in the United States While Waiting to Obtain Immigrant Status.

(1) Classification: V-1: Spouse of a LPR who is the principal beneficiary of a Form 1-130,
Petition for Alien Relative.
Documents required: Every alien seeking admission under section 101 (a)(15)(V) of the Act
is required to present a valid, unexpired V visa issued by a consular officer abroad, and a
passport valid for a minimum of 6 months beyond the period of admission, unless otherwise
provided for or waived. The alien will not be issued any type of visa packet. If an applicant
for admission presents a visa packet to the inspector, the inspector may review the
information contained in the packet, but should return the packet to the alien.
Qualifications: To be eligible for the V-1 nonimmigrant classification, three requirements
must be satisfied:
•
•
on
•

The alien must be the spouse of a LPR;
He or she must also be the principal beneficiary of a Form 1-130, that was filed
or before December 21,2000, under the F2A preference category; and,
That petition must have been:
pending with the Immigration and Naturalization Service (INS) for at least
3 years; or,
approved and 3 years have passed since the filing date and a 2 nd
preference visa number is not yet available or the alien's application for an
immigrant visa or adjustment of status is pending.

Terms of Admission: Admit V-1 for a maximum period of 2 years or up to the validity of the
passport if less than 2 years. This time period is the maximum admission period and shall
be used in most instances. However, under individual circumstances, a shorter period of
admission may be authorized for good cause and upon the specific approval of the district

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director. (See also Special Note (E) regarding readmission.)
Notations on 1-94: V-1, date 2 years from date of admission.
Special notes:
(A) Evidence of pending Form 1-485. Except as discussed below, if the Form 1-130 has
been approved and the alien's priority date is current, a V-1 nonimmigrant alien must
have filed a Form 1-485, Application to Register Permanent Residence or Adjust Status
with the Immigration and Naturalization Service or an application for an immigrant visa
with Department of State (DOS) in order to remain eligible for admission as a V-1
nonimmigrant. Acceptable evidence that a Form 1-485 has been properly filed with the
INS prior to departure from the United States includes, but is not limited to, the INS
Form 1-797, Notice of Action or other documents issued by the INS (or the cancelled
check endorsed by the INS). An example of acceptable evidence of an alien having
applied abroad for an immigrant visa is an Official Form 233 (OF 233), Consular Cash
Receipt and Record of Fees, or similar forms also issued by the DOS. Note: The DOS
considers an application for immigrant visas to be "pending" only in rare instances.
(8) Ineligibility. The alien is no longer entitled to the V-1 classification:
• If the alien no longer qualifies for the F2A immigrant visa category;
• If the marriage has terminated in the case of a V-1;
• When the Form 1-130 has been revoked or denied; or
• When the Form 1-485 or the immigrant visa application has been denied.
Like any nonimmigrant, a V-1 nonimmigrant must be otherwise admissible to the United
States, except that section 212(a)(9)(8) of the Act, relating to unlawful presence, does
not apply to aliens seeking admission as a V nonimmigrant. A V-1 nonimmigrant
determined to be inadmissible may be subject to removal proceedings under section
235(b)(1) or section 240 of the Act, or may be permitted to withdraw his or her
application for admission, depending on the reasons and circumstances regarding the
inadmissibility. Unless there is fraud or other serious violations involved in the alien's
application for a visa, application for admission, or application for adjustment of status,
an alien who is no longer eligible for V-1 status should generally be permitted to
withdraw his or her application for admission in lieu of formal removal proceedings.
Where an alien appears inadmissible for health-related grounds under section 212(a)(1)
of the Act, and where a section 212(g) waiver has either not been obtained or is not
applicable, the alien shall be processed for a definitive medical determination of
admissibility or inadmissibility. In all such cases, the procedures contained in section
232 of the Act and 8 CFR 232.3 shall be followed. Additional guidance concerning
medical referrals is available in Chapter 17.9 of this field manual. See also Chapter 41.3
of the Adjudicator's Field Manual regarding medical waivers.
(C) Terms and conditions of V-1 nonimmigrant status. An alien in the United States in

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Inspector's Field Manual
V-1 nonimmigrant status must comply with the terms and conditions of that status as set
forth in section 214 of the Act. An alien admitted to the United States as a V-1
nonimmigrant may reside in the United States while waiting for his or her:
• Form 1-130 (immigrant visa petition) to be adjudicated;
• Priority date to be reached in order to apply for adjustment of status (in the
United States) or for an immigrant visa (abroad); or
• Application for adjustment of status to be adjudicated.
A nonimmigrant V-1 alien is authorized to remain in the United States until:
• His or her authorized period of admission expires; or,
• 30 days after the date one of the following is denied or revoked, whichever
comes first:
The Form 1-130 filed on the alien's behalf;
The alien's application for adjustment of status; or,
The alien's application for an immigrant visa.
If the principal alien's status is terminated for any of these reasons, the status of any
derivative child shall also simultaneously be terminated.
(0) Employment Authorization. An alien admitted to the United States in V-1
nonimmigrant status, or who has his or her status changed to V-1 while in the United
States, may obtain employment authorization on the basis of that status. Employment
authorization may only be requested subsequent to V-1 admission or change of status
by filing a Form 1-765, Application for Employment Authorization, with the currently
prescribed application fee to:
USINS
P.O. Box 7216
Chicago, IL 60680-7216
(E) Readmission. An alien in V-1 nonimmigrant status may travel abroad and be
readmitted to the United States if he or she possesses a valid and unexpired V-1
nonimmigrant visa or otherwise qualifies for automatic revalidation pursuant to 22 CFR
41.112. The passport must be valid for a minimum of 6 months beyond the period of
admission.
Unlike other pending adjustment of status cases, a V-1 nonimmigrant, once he or she
has properly filed an application for adjustment of status (based on the approval of the
qualifying Form 1-130), does not need to obtain advance parole in order to preserve the
adjustment application upon departure and to permit the alien to return to the United
States.
An alien who has both an approved Form 1-130 and a current priority date shall not be

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denied admission simply because he or she had not filed either a Form 1-485 or an
immigrant visa application. If otherwise admissible, the alien shall be admitted for a
period of 6 months in order to file for adjustment. This is a 1-time only admission for a
6-month period to file the appropriate application.
If the applicant does file the appropriate application, he or she may apply for an
extension of status from within the United States. If the applicant files the appropriate
application (immigrant visa overseas or Form 1-485) within the 6 months and applies for
admission at a port-of-entry (POE), with evidence of filing Form 1-797 the applicant will
be treated as a regular V-1 nonimmigrant applicant for admission and will be eligible for
the maximum period of admission (2 years). Advance parole is not required (dual
intent).
(F) Unlawful Presence. An alien who has been unlawfully present in the United States
for more than 180 days and departs triggers section 212(a)(9)(8) of the Act, the ground
of inadmissibility relating to unlawful presence. Although this section will bar an alien
applying for admission to the U.S. as an immigrant for 3 or 10 years, section 214(0)(2)
of the Act exempts an alien applying for admission as a V-1 nonimmigrant from this
ground of inadmissibility.
(2) Classification: V-2 An eligible child of an LPR who is the principal beneficiary of a Form
1-130.
Documents required: Every alien seeking admission under section 101 (a)(15)(V) of the Act
is required to present a valid, unexpired V visa issued by a consular officer abroad, and a
passport valid for a minimum of 6 months beyond the period of admission, unless otherwise
provided for or waived. The alien will not be issued any type of visa packet. If an applicant
for admission presents a visa packet to the inspector, the inspector may review the
information contained in the packet, but should return the packet to the alien.
Qualifications: To be eligible for the V-2 nonimmigrant classification, three requirements
must be satisfied:
•
The alien must be the unmarried child of a LPR;
•
He or she must also be the principal beneficiary of a Form 1-130, that was filed
on or before December 21,2000, under the F2A preference category; and,
•
That petition must have been:
- pending with the INS for at least 3 years; or,
- approved and 3 years have passed since the filing date and a 2 nd preference
visa number is not yet available or the alien's application for an immigrant visa or
adjustment of status is pending.
Terms of Admission: Admit for 2 years if less than 19 years of age or until the date 45 days
after the alien's 21 st birthday, whichever is sooner. This time period is the maximum
admission period and shall be used in most instances unless the validity of the passport if

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less than 2 years. However, under individual circumstances, a shorter period of admission
may be authorized for good cause and upon the specific approval of the district director.
(See also Special Note (E) regarding admission of an aging out V-2 and Special Note (F)
regarding readmission.)
Notations on Form 1-94: V-2, date 2 years from date of admission or 45 days after alien's
21 st birthday, whichever is earlier.
Special Notes:
(A) Evidence of pending Form 1-485. Except as discussed below, if the Form 1-130 has
been approved and the alien's priority date is current, a V-2 nonimmigrant alien must
have filed a Form 1-485 or an application for an immigrant visa (with DOS) in order to
remain eligible for admission as a V-2 nonimmigrant. Acceptable evidence that a Form
1-485 has been properly filed with the INS prior to departure includes, but is not limited
to, the INS Form 1-797 or other documents issued by the INS (or the cancelled check
endorsed by the INS). An example of acceptable evidence of an alien having applied
abroad for an immigrant visa is an OF 233, Consular Cash Receipt and Record of Fees,
or similar forms also issued by the DOS. Note: The DOS considers an application for
immigrant visas to be "pending" only in rare instances.
(B) Ineligibility. The alien is no longer entitled to the classification:
• If the alien no longer qualifies for the F2A immigrant visa category;
• If the alien has married or has reached 21 years and 45 days of age;
• In the case of a step-relationship, the alien's parent's marriage has terminated
and the petitioner and alien have no legal relationship;
• When the Form 1-130 has been revoked or denied; or
• When the Form 1-485 or the immigrant visa application has been denied.
Like any nonimmigrant, a V-2 nonimmigrant must be otherwise admissible to the United
States, except that section 212(a)(9)(B) of the Act, relating to unlawful presence, does
not apply to aliens applying for admission as a V nonimmigrant. A V-2 nonimmigrant
determined to be inadmissible may be subject to removal proceedings under section
235(b)( 1) or section 240 of the Act, or may be permitted to withdraw his or her
application for admission, depending on the reasons and circumstances regarding the
inadmissibility. Unless there is fraud or there are other serious violations involved in the
alien's application for a visa, application for admission, or application for adjustment of
status, an alien who is no longer eligible for V-2 status should generally be permitted to
withdraw his or her application for admission in lieu of formal removal proceedings.
Where an alien appears inadmissible·for health-related grounds under section 212(a)(1)
of the Act, and where a section 212(g) waiver has either not been obtained or is not
applicable, the alien shall be processed for a definitive medical determination of
admissibility or inadmissibility. In all such cases, the procedures contained in section
232 of the Act and 8 CFR 232.3 shall be followed. Additional guidance concerning
medical referrals is available in Chapter 17.9 of this field manual. See also Chapter 41.3

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of the Adjudicator's Field Manual regarding medical waivers.
(C) Terms and conditions of V-2 nonimmigrant status. An alien in the United States in
V-2 nonimmigrant status must comply with the terms and conditions of that status as set
forth in section 214 of the Act. An alien admitted to the United States as a V-2
nonimmigrant may reside in the United States while waiting for his or her:
• Form 1-130 (immigrant visa petition) to be adjudicated;
• Priority date to be reached in order to apply for adjustment of status (in the
United States) or for an immigrant visa (abroad); or
•

Application for adjustment of status to be adjudicated.

A nonimmigrant V-2 alien is authorized to remain in the United States until:
• His or her authorized period of admission expires; or,
• 30 days after the date one of the following is denied or revoked, whichever
comes first:
The Form 1-130 filed on the alien's behalf;
The alien's application for adjustment of status; or,
The alien's application for an immigrant visa.
If the principal alien's status is terminated for any of these reasons, the status of any
derivative child shall (V-3) also be simultaneously terminated.
(D) Employment Authorization. An alien admitted to the United States in V-2
nonimmigrant status, or who has his or her status changed to V-2 while in the United
States, may obtain employment authorization on the basis of that status. Employment
authorization may only be requested subsequent to V-2 admission or change of status
by filing a Form 1-765 with the currently prescribed application fee with the Chicago
"Lock-box" address for the Missouri Service Center referenced above.
(E) Admission for Aging Out V-2s. If an alien is 19 years of age or older and applies for
admission to the United States as a V-2 nonimmigrant, he or she shall be given an
admission period ending 45 days after the alien's 2·1 st birthday. As the beneficiaries of
visa petitions filed prior to September 11, 2001, all V-2 nonimmigrant aliens, if otherwise
eligible, qualify for 45 days of "age-out protection" under section 424 paragraph (2) of
the Uniting and Strengthening America by Providing Appropriate Tools to Intercept and
Obstruct Terrorism (USA PATRIOT) Act of 2001.
Special attention shall be paid to any child (as defined in section 101 (b)(1) of the Act)
arriving at a POE within months or days of reaching his or her 21 st birthday with little or
no possibility of the alien's priority date becoming current before age 21. If otherwise
admissible, such an alien shall be admitted up to 45 days after his or her 21 st birthday.
(F) Readmission: An alien in V-2 nonimmigrant status may travel abroad and be
readmitted to the United States if he or she possesses a valid and unexpired V-2

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nonimmigrant visa or otherwise qualifies for automatic revalidation pursuant to 22 CFR
41.112. The passport must be valid for a minimum of 6 months beyond the period of
admission.
Unlike other pending adjustment of status cases, a V-2 nonimmigrant, once he or she
has properly filed an application for adjustment of status (based on the approval of the
qualifying Form 1-130), does not need to obtain advance parole in order to preserve the
adjustment application upon departure and to permit the alien to return to the United
States.
An alien who has both an approved Form 1-130 and a current priority date shall not be
denied admission simply because he or she had not filed either a Form 1-485 or an
immigrant visa application. If otherwise admissible, the alien shall be admitted for a
period of 6 months in order to file for adjustment. This is a 1-time only admission for a
6-month period to file the appropriate application.
If the applicant does file the appropriate application, he or she may apply for an
extension of status from within the United States. If the applicant files the appropriate
application (immigrant visa overseas or Form 1-485) within the 6 months and applies for
admission at a POE, with evidence of filing Form 1-797 the applicant will be treated as a
regular V-2 nonimmigrant applicant for admission and will be eligible for the maximum
period of admission (2 years or 45 days after his or her 21 st birthday, whichever is
earlier). Advance parole is not required (dual intent).
(G) Unlawful Presence. A alien who has been unlawfully present in the United States for
more than 180 days and departs triggers section 212(a)(9)(B) of the Act, the ground of
inadmissibility relating to unlawful presence. Although this section will bar an alien
applying for admission to the U.S. as an immigrant for 3 or 10 years, section 214(0)(2)
of the Act exempts an alien applying for admission as a V-2 nonimmigrant from this
ground of inadmissibility.
(3) Classification: V-3: The accompanying or following to join child of a V-1 or V-2.
Documents required: Every alien seeking admission under section 101 (a)(15)(V) of the Act
is required to present a valid, unexpired V visa issued by a consular officer abroad, and a
passport valid for a minimum of 6 months beyond the period of admission, unless otherwise
provided for or waived. The alien will not be issued any type of visa packet. If an applicant
for admission presents a visa packet to the inspector, the inspector may review the
information contained in the packet, but should return the packet to the alien.
Qualifications: To be eligible for the V-3 nonimmigrant classification, he or she must be:
•
The unmarried child of a qualifying V-1 or V-2 nonimmigrant; and,
•
Accompanying or following to join such nonimmigrant (i.e., not the principal
beneficiary of an F2A petition).

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Terms of Admission: Admit for 2 years if less than 19 years of age. This time period is the
maximum admission period and shall be used in most instances unless the passport is valid
for less than 2 years. However, under individual circumstances, a shorter period of
admission may be authorized for good cause and upon the specific approval of the district
director. (See Special Note (E) regarding readmission and Special Note (F) regarding
age-outs.)
Notations on 1-94: V-3, date 2 years from date of admission or 45 days after alien's 21 st
birthday, whichever is earlier.
Special Notes:
(A) Evidence of pending Form 1-485. Except as discussed below, if the Form 1-130 has
been approved and the alien's priority date is current, a V-3 nonimmigrant alien must
have filed a Form 1-485 or an application for an immigrant visa (with DOS) in order to
remain eligible for admission as a V-3 nonimmigrant. Acceptable evidence that a Form
1-485 has been properly filed with the INS prior to departure includes, but is not limited
to, the INS Form 1-797 or other documents issued by the INS (or the cancelled check
endorsed by the INS). An example of acceptable evidence of an alien having applied
abroad for an immigrant visa is an OF 233, Consular Cash Receipt and Record of Fees,
or similar forms also issued by the DOS. Note: The DOS considers an application for
immigrant visas to be "pending" only in rare instances.
(B) Ineligibility. The alien is no longer entitled to the V-3 classification:
• If he or she no longer qualifies for the F2A category;
• If the marriage of his or her V..; 1 parent has terminated;
• If he or she has married or has reached 21 years and 45 days of age;
• When the Form 1-130 filed for his or her V-1 or V-2 parent has been revoked or
denied; or
• When his or her Form 1-485 or immigrant visa application has been denied.
Like any nonimmigrant, a V-3 nonimmigrant must be otherwise admissible to the United
States, except that section 212(a)(9)(B) of the Act, relating to unlawful presence, does
not apply to aliens applying for admission as a V nonimmigrant. A V-3 nonimmigrant
determined to be inadmissible may be subject to removal proceedings under section
235(b)(1) or section 240 of the Act, or may be permitted to withdraw his or her
application for admission, depending on the reasons and circumstances regarding the
inadmissibility. Unless there is fraud or there are other serious violations involved in the
alien's application for a visa, application for admission, or application for adjustment of
status, an alien who is no longer eligible for V-3 status should generally be permitted to
withdraw his or her application for admission in lieu of formal removal proceedings.
Where an alien appears inadmissible for health-related grounds under section 212(a)(1)
of the Act, and where a section 212(g) waiver has either not been obtained or is not
applicable, the alien shall be processed for a definitive medical determination of

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admissibility or inadmissibility. In all such cases, the procedures contained in section
232 of the Act and 8 CFR 232.3 shall be followed. Additional guidance concerning
medical referrals is available in Chapter 17.9 of this field manual. See also Chapter 41.3
of the Adjudicator's Field Manual regarding medical waivers.
(C) Terms and conditions of V-3 nonimmigrant status. An alien in the United States in
V-3 nonimmigrant status must comply with the terms and conditions of that status as set
forth in section 214 of the Act. An alien admitted to the United States as a V-3
nonimmigrant may reside in the United States while waiting for his or her:
• V-1 or V-2 parent's Form 1-130 (immigrant visa petition) to be adjudicated;
• Priority date to be reached in order to apply for adjustment of status (in the
United States) or for an immigrant visa (abroad); or
• application for adjustment of status to be adjudicated.
A nonimmigrant V-3 alien is authorized to remain in the United States until:
• His or her authorized period of admission expires; or
• 30 days after the date one of the following is denied or revoked, whichever
comes first:
The Form 1-130 filed on the principal alien's behalf;
The alien's application for adjustment of status; or,
The alien's application for an immigrant visa.
If the status of the V-3 alien's V-1 or V-2 parent is terminated for any of these reasons,
the status of the V-3 alien shall also be simultaneously terminated.
(D) Employment Authorization. An alien admitted to the United States in V-3
nonimmigrant status, or who has his or her status changed to V-3 while in the United
States, may obtain employment authorization on the basis of that status. Employment
authorization may only be requested subsequent to V-3 admission or change of status
by filing a Form 1-765, with the currently prescribed application fee with the Chicago
"Lock-box" address for the Missouri Service Center referenced above.
(E) Readmission. An alien in V-3 nonimmigrant status may travel abroad and be
readmitted to the United States if he or she possesses a valid and unexpired V-3
nonimmigrant visa or otherwise qualifies for automatic revalidation pursuant to 22 CFR
41.112. The passport must be valid for a minimum of 6 months beyond the period of
admission.
Unlike other pending adjustment of status cases, a V-3 nonimmigrant, once he or she
has properly filed an application for adjustment of status (based on the approval of the
qualifying Form 1-130), does not need to obtain advance parole in order to preserve the
adjustment application upon departure and to permit the alien to return to the United
States.
An alien who has both an approved Form 1-130 and a current priority date shall not be

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denied admission simply because he or she had not filed either a Form 1-485 or an
immigrant visa application. If otherwise admissible, the alien shall be admitted for a
period of 6 months in order to file for adjustment. This is a 1-time only admission for a
6-month period to file the appropriate application.
If the applicant does file the appropriate application, he or she may apply for an
extension of status from within the United States. If the applicant files the appropriate
application (immigrant visa overseas or Form 1-485) within the 6 months and applies for
admission at a POE, with evidence of filing Form 1-797 the applicant will be treated as a
regular V-3 nonimmigrant applicant for admission and will be eligible for the maximum
period of admission (2 years). Advance parole is not required (dual intent).
(F) Admission for Aging Out V-3. If an alien is 19 years of age or older and applies for
admission to the United States as a V-3 nonimmigrant, he or she shall be given an
admission period ending 45 days after the alien's 21 st birthday. As the beneficiaries of
visa petitions filed prior to September 11, 2001, all V-3 nonimmigrant aliens, if otherwise
eligible, qualify for 45 days of "age-out protection" under section 424 paragraph (2) of
the USA PATRIOT Act of 2001.
Special attention shall be paid to any child (as defined in section 101 (b)(1) of the Act)
arriving at a POE within months or days of reaching his or her 21 st birthday with little or
no possibility of the alien's priority date becoming current before age 21. If otherwise
admissible, such an alien shall be admitted up to 45 days after his or her 21 st birthday.
(G) Unlawful Presence. An alien who has been unlawfully present in the United States for more
than 180 days and departs triggers section 212(a)(9)(8) of the Act, the ground of
inadmissibility relating to unlawful presence. Although this section will bar an alien
applying for admission to the U.S. as an immigrant for 3 t010 years, the section 214(0)
of the Act exempts an alien applying for admission as a V-3 nonimmigrant from this
ground of inadmissibility.

(w) Reserved
(x) Reserved
(y) Reserved
(z) NATO employees.
(1) Classification: NATO-1 This classification is for the principal permanent representative
of a member state of NATO resident in the U.S. and resident members of his/her official
staff and members of their immediate families.
Documents required:
Passport valid only to date of application for admission.
Nonimmigrant visa (NATO-1).

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Qualifications: Must be an alien described above. Inadmissible under 212(a)(3)(B)(i)(I) and
(C) only.
Terms of admission: Admit NATO-1 for Duration of Status.
Notations on 1-94: NATO-1, DIS
Special notes:
(A) Nonmilitary NATO. Nonmilitary NATO nonimmigrants should not be confused with
members of NATO Forces entering under official orders with proper identification who
are exempt inspection and therefore, exempt normal passport and nonimmigrant visa
requirements.
(B) NATO countries. See list in Chapter 11.2.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).
(2) Classification: NATO-2 Includes other representatives of member states to NATO and
their immediate family members. Also includes NATO military members and their families.
Documents required: Passport valid
Nonimmigrant visa unless exempt.

only to

date

of application

for admission.

Qualifications: Must be a person described above. Inadmissible only under 212(a)(3)(A)(i),
(ii) and (iii) and 212(a)(3)(B)(i)(I) and (ii).
Terms of admission: Admit for Duration of Status. Military NATO-2 are exempt inspection.
Notations on 1-94: NATO-2, DIS
Special notes:
(A) Distinction between NATO officials and NATO members of Armed Forces.
Nonmilitary NATO nonimmigrants should not be confused with members of NATO
Forces entering under official orders with proper identification who are exempt
inspection and therefore, exempt normal passport and nonimmigrant visa requirements.
(B) NATO countries. See list in Chapter 11.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).

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(3) Classification: NATO-3 Includes the official clerical staff accompanying a representative
of member state to NATO and members of their immediate family.
Documents required: Passport valid
Nonimmigrant visa (NATO-3).

only to

date

of application

for admission.

Qualifications: Must be an alien described above. Inadmissible only under 212(a)(3)(A)(i),
(ii), (iii) and 212(a)(3)(B)(i)(l) and (ii) of the Act.
Terms of admission: Admit NATO-3 for Duration of Status.
Notations on 1-94: NATO-3, DIS
Special notes:
(A) Distinction between NATO officials and NATO members of Armed Forces.
Nonmilitary NATO nonimmigrants should not be confused with members of NATO
Forces entering under official orders with proper identification who are exempt
inspection and therefore, exempt normal passport and nonimmigrant visa requirements.
(B) NATO countries. See list in Chapter 11.2.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).

(4) Classification: NATO-4 Includes officials of NATO, other than those classified under
NATO-1, and members of their immediate family.
Documents required:
Passport valid only to date of application for admission.
Nonimmigrant visa (NATO-4).
Qualifications: Must be an alien described above. Excludable only under 212(a)(3)(A)(i),
(ii), (iii) and 212(a)(3)(B)(i)(I), and (ii) of the Act.
Terms of admission: Admit NATO-4 for Duration of Status.
Notations on 1-94: NATO-4, DIS
Special notes:
(A) Distinction between NATO officials and NATO members of Armed Forces.
Nonmilitary NATO nonimmigrants should not be confused with members of NATO
Forces entering under official orders with proper identification who are exempt
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inspection and therefore, exempt normal passport and nonimmigrant visa requirements.
(B) NATO countries. See list in Chapter 11.2.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).
(5) Classification: NATO-5 Includes experts employed on missions on behalf of NATO,
and their dependents.
Documents required: Passport must be valid for 6 months beyond the date to which
admitted. Nonimmigrant visa (NATO-5).
Qualifications: Must be alien described above.
inadmissibility apply.

All nonimmigrant grounds of

Terms of admission: Admit NATO-5 for Duration of Status.
Notations on 1-94: NATO-5, DIS
Special notes:
(A)
Distinction between NATO officials and NATO members of Armed Forces.
Nonmilitary NATO nonimmigrants should not be confused with members of NATO
Forces entering under official orders with proper identification who are exempt
inspection and therefore, exempt normal passport and nonimmigrant visa requirements.
(B) NATO countries. See list in Chapter 11.2.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).

(6) Classification: NATO-6 Includes civilian employees of NATO military and their
dependents.
Documents required: Passport valid
Nonimmigrant visa (NATO-6).

only to date

of application

for admission.

Qualifications: Must be an individual described above. Excludable under 212(a)(3)(A)(i),
(ii), (iii) and 212(a)(3)(B)(i)(I), and (ii) of the Act only. See §1 02 of the Act.
Terms of admission: Admit NATO-6 for duration of status.

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Notations on 1-94: NATO-6, DIS
Special notes:
(A)
Distinction between NATO officials and NATO members of Armed Forces.
Nonmilitary NATO nonimmigrants should not be confused with members of NATO
Forces entering under official orders with proper identification who are exempt
inspection and therefore, exempt normal passport and nonimmigrant visa requirements.
(8) NATO countries. See list in Chapter 11.2.
(C) Dependents: Admit dependents in same category as principal. Dependents may
attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).
(7) Classification: NATO-7 Includes attendants, servants, or personal employees of
NATO-1 through NATO-6, and members of their immediate family.
Documents required: Passport must be valid for 6 months beyond the date to which the
alien desires to be admitted. Nonimmigrant visa (NATO-7).
Qualifications: Must be alien described above. All nonimmigrant grounds of inadmissibility
apply.
Terms of admission: Admit NATO-7 for three (3) years. [Amended IN02-24]
Notations on 1-94: NATO-7, three years from date of admission.
employer in block 26, on reverse of 1-94. [Amended IN02-24]

Enter name of

Special notes:
(A) NATO countries. See list in Chapter 11.2
(8) Dependents: Admit dependents in same category as principal. Dependents may

attend school without changing status and may be granted employment authorization
under 8 CFR 274a.12(c).

15.5

NAFTA Admissions.

(a) General. The North American Free Trade Agreement (NAFTA) between the United
States, Canada, and Mexico entered into force on January 1, 1994. Chapter 16 of
NAFTA pertains to Canadian and Mexican citizens seeking classification as one of
four types of business persons:
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•
•

B-1 temporary visitors for business under section 101 (a)(15)(8) of the Act;
E-1 or E-2 treaty traders and treaty investors under section 101 (a)(15)(E) of the

•
•

Act;
L-1 intracompany transferees under section 101 (a)(15)(L) of the Act; and
TN professional level employees under section 214(e) of the Act.

The NAFTA is an historic accord governing the largest trilateral trade relationship in
the world and covers trade in goods, services, and investments. NAFTA facilitates
the movement of U.S., Canadian, and Mexican business persons across each
country's border through streamlined procedures. The NAFTA maintains the
provisions of existing laws that ensure border security and protect indigenous labor
and permanent employment. Further, NAFTA fully protects the ability of state
governments to require that Canadians and Mexicans practicing a profession in the
United States are fully licensed under state law to do so. Current U.S. law and
practice relating to exclusion and deportation of aliens applies unchanged to all
business persons seeking temporary entry under the provisions of Chapter 16 of the
NAFTA.
The immigration-related provisions of NAFTA are similar to those contained in the
United States-Canada Free-Trade Agreement (CFTA), which was suspended with
the entry into force of NAFTA. The NAFTA is an international agreement subject to
scrutiny by the public, the media, other governments and the Temporary Entry
Working Group. INS inspectors must maintain the highest standards of objectivity,
courtesy and professionalism when processing applicants for admission.
(Revised IN99-28)
(b) Definitions.
(1) A business person as defined in NAFTA means a citizen of Canada or Mexico who is
engaged in the trade of goods, the provision of services, or the conduct of investment
activities.
(2) Business activities at a professional level means those undertakings which require
that, for successful completion, the individual has at least a baccalaureate degree or
appropriate credentials demonstrating status as a professional.
(3) Temporary entry as used in NAFTA means entry without the intent to establish
permanent residence.
(4) To engage in business activities at a professional level means the performance of
prearranged business activities for a U.S. entity, including an individual. It does not allow
for entry in TN status of those business persons who are seeking entry to engage in

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self-employment.
(c) B-1 Classification: Business Visitor.
(1) Qualifications. A NAFTA B-1 must meet the same eligibility requirements, described in
Chapter 15.4, as any other B-1. All persons seeking admission into the United States under
this category, whether they engage in the activities listed in Appendix 1603.A.1 to Annex
1603 of the NAFTA or other legitimate business activities, must meet all the general
standards described above. These standards have been written to be flexible and to
accommodate normal legitimate business activities [See Appendix 15-3 of this manual.].
Appendix 1603.A.1 to Annex 1603 of the NAFTA is a list of business activities
representative of a complete business cycle in which a B-1 business visitor seeking entry
under the NAFTA may engage. Appendix 1603.A.1 is not an exhaustive list. Nothing
precludes a citizen of Mexico or Canada from seeking entry to engage in traditional B-1
activities which are not included within Appendix 1603.A.1, provided they meet all
requirements for entry in such states, inclUding restrictions on sources of remuneration.
The activities contained in Appendix 1603.A.1 include:
(A) Research and design. Technical, scientific and statistical researchers conducting
independent research or research for an enterprise located in the territory of another
Party.
(B) Growth, manufacture and production. Harvester-owner supervising a harvesting
crew admitted under applicable law. Purchasing and production management personnel
conducting commercial transactions for an enterprise located in the territory of another
party.
(C) Marketing. Market researchers and analysts conducting independent research or
analysis for an enterprise located in the territory of another Party. Trade fair and
promotional personnel attending a trade convention.
(D) Sales. Sales representatives and agents taking orders or negotiating contracts for
goods or services for an enterprise located in the territory of another Party but not
delivering goods or providing services.
(E) Distribution. Transportation operations transporting goods or passengers to the
territory of a Party from the territory of another Party or loading and transporting goods
or passengers from the territory of a Party, with no unloading in that territory, to the
territory of another Party. With respect to temporary entry into the territory of the United
States, Canadian customs brokers performing brokerage duties relating to the export of
goods from the territory of the United States to or through the territory of Canada. With
respect to temporary entry into the territory of Canada, United States customs brokers
performing brokerage duties relating to the export of goods from the territory of Canada
to or through the territory of the United States. (It should be noted that, during the

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course of negotiations relating to NAFTA immigration provisions, Mexico decided not to
be a Party to the language involving temporary entry of customs brokers into the
signatory countries. Therefore, Mexican citizen customs brokers are not referenced in
Appendix 1603.A.1. A citizen of Mexico is not precluded, however, from seeking entry
into the United States in B-1 status to perform the functions of a customs broker
provided he or she meets all existing requirements for B-1 classification.) Customs
brokers providing consulting services regarding the facilitation of the import or export of
goods.
(F) After-sales services. Installers, repair and maintenance personnel, and supervisors,
possessing specialized knowledge essential to a seller's contractual obligation,
performing services or training workers to perform services, pursuant to a warranty or
other service contract incidental to the sale of commercial or industrial equipment or
machinery, including computer software, purchased from an enterprise located outside
the territory of the Party into which temporary entry is sought, during the life of the
warranty or service agreement. The language concerning the life of a renewable
service contract must have been included in clear and definitive terms in the original
contract at the point of sale. Nothing under NAFTA precludes third party contracts for
after-sales service providing the third party agreement was contracted at the time of
sale.
(G) General service. Professionals engaging in a business activity at a professional
level in a profession set forth in Appendix 1603.0.1 to Annex 1603, but receiving no
salary or other remuneration from a U.S. source (other than an expense allowance or
other reimbursement for expenses incidental to the temporary stay). Management and
supervisory personnel engaging in a commercial transaction for an enterprise located in
the territory of another Party. Financial services personnel (insurers, bankers or
investment brokers) engaging in commercial transactions for an enterprise located in
the territory of another Party. Public relations and advertising personnel consulting with
business associates, or attending or participating in conventions. Tourism personnel
(tour and travel agents, tour guides or tour operators) attending or participating in
conventions or conducting a tour that has begun in the territory of another Party. The
tour may begin in the United States, but must terminate in foreign territory, and a
significant portion of the tour must be conducted in foreign territory. In such cases, an
operator may enter the United States with an empty conveyance and a tour guide may
enter on his or her own and join the conveyance. Tour bus operators entering the
territory of another Party with a group of passengers on a bus tour that has begun in,
will return to, the territory of another Party to meet a group of passengers on a bus tour
that will end, and the predominant portion of which will take place, in the territory of
another Party or with a group of passengers on a bus tour to be unloaded in the territory
of the Party into which temporary entry is sought, and returning with no passengers or
reloading with the group for transportation to the territory of another Party. Translators
or interpreters performing services as employees of an enterprise located in the territory
of another Party.
(2) Terms of Admission. A citizen of Canada need not apply for a B-1 nonimmigrant visa,
but is not precluded from doing so. A citizen of Mexico must apply for a B-1 visa at a U.S.

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embassy or consulate abroad. A citizen of Canada or Mexico will be admitted into the
United States at the discretion of the inspecting officer for the period necessary to engage
in the intended activities, not to exceed 1 year. The alien may apply to extend his or her
stay by filing an Application to Extend/Change Status on Form 1-539 with the appropriate
Service office. Extensions of stay are granted in increments of not more than 6 months.
There is a $6.00 fee at all land border ports-of-entry to process a Form 1-94 for an
applicant's admission into the United States.
(3) Spouses and Children. The spouse and children of a business person may accompany
or follow to join the B-1 business visitor in B-2 classification if they otherwise meet the
general requirements for temporary entry of visitors for pleasure. Such dependents may not
work in the U.S. without obtaining a change of status, but may attend school, if incident to
status.
(d) E Classification as a Treaty Trader or Treaty Investor.
(1) Qualifications. Section B of Annex 1603 of the NAFTA provides for the temporary entry
of Canadian and Mexican citizens as treaty traders and treaty investors. This section
required no changes to existing law and practice under section 101 (a)(15)(E) of the Act,
other than to authorize citizens of Canada and Mexico to apply for treaty trader (E-1) or
treaty investor (E-2) status pursuant to the NAFTA.
A treaty trader is a business person who is coming to the U.S. solely to carry on substantial
trade, principally between the U.S. and Canada, if the trader is a citizen of Canada, or
between the U.S. and Mexico, if the trader is a citizen of Mexico.
A treaty investor is a business person who is coming to the United States solely to develop
and direct the operations of an enterprise in which he or she has invested, or of an
enterprise in which he or she is actively in the process of investing, a substantial amount of
capital.
Immigration officers must familiarize themselves with the definition of the E classification in
§1 01 (a)(15)(E) of the Act and the regulations at 8 CFR 214.2(e) and 22 CFR 41.51.
(A) Treaty Traders. NAFTA business persons applying for the E-1 visa as a Treaty
Trader must meet the following requirements.
•

Citizenship. The trader, individual or entity, must possess citizenship of Canada or
Mexico. In the case of an entity, at least 50% of that business must be owned by
Canadian citizens or Mexican citizens.

•

Trade. There must be an international exchange of a good or service, including title
to that trade item, for consideration between the United States and either Canada or
Mexico.

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•

Substantial Trade. The volume of trade must constitute a continuous flow of trade
items involving numerous transactions between the United States and Canada or
Mexico.

•

Trade Linked to Citizenship. Trade is principally between the U.S. and Canada, if the
trader possesses Canadian citizenship, or between the U.S. and Mexico, if the
trader possesses Mexican citizenship. At least 50% of the international trade (as
contrasted to domestic trade) of the trading entity must be conducted between the
U.S. and Canada, if the trader possesses Canadian citizenship, or between the U.S.
and Mexico, if the trader possesses Mexican citizenship.

(B) Treaty Investors. NAFTA business persons applying for the E-2 visa as a Treaty
Investor must meet the following requirements.
•

Citizenship. The investor, individual or entity, must possess citizenship of Canada or
Mexico. In the case of an entity, at least 50% of that business must be owned either
by Canadian citizens or by Mexican citizens.

•

Investment Must Occur or Be in Process. The investor has invested or is actively in
the process of investing. The investor may invest in an established business or
create a business. Being in the process of investing requires the irrevocable
commitment of funds.

•

The Investment Must Be Real. The enterprise is a real and operating commercial
enterprise. A dormant or paper enterprise does not qualify.

•

The Investment Must Be Substantial. A substantial amount of capital constitutes
that amount that is substantial in the proportional sense pursuant to a proportionality
test, that is, an inverted sliding scale in which the lower the total cost of the
enterprise, the higher, proportionally, the investment must be. The overall cost of
the enterprise is compared with the amount of personal funds and assets invested
by the investor. Only loans guaranteed by personal assets qualify as actual
investment by the treaty investor.

The business shall not be marginal, solely for the purpose of earning a living. A
marginal enterprise is an enterprise that does not have the present or future capacity to
generate more than enough income to provide a living for the treaty investor and his or
her family.
•

The Investor Must Be Developing and Directing the Enterprise. An investor
develops and directs the business by owning at least 50% of the enterprise or by a
combination involving ownership and possession of management responsibility, by
controlling stock by proxy, etc.

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(C) Qualifying Employees for E-1 or E-1 Visa Classification. Employees of Treaty
Traders and Treaty Investors also may apply for an E-1 or E-2, if they meet the following
requirements.
•

Citizenship. The employee must possess the same citizenship as the trader or
investor employer.

•

Position. The employee is destined to an executive/supervisory position, possessing
the authority and responsibility to make decisions which will set the direction of the
enterprise; or the employee, if employed in a minor capacity, has special
qualifications that make the services to be rendered essential to the successful or
efficient operation of the enterprise. The essential employee must possess special
skills including skills which are unique to operations in the U.S. Such employees are
highly and specially skilled.

•

Temporary. All persons must indicate the intent to depart the U.S. upon termination
of status, ceasing business operations or sale of business, etc.

(2) Terms of Admission. An alien seeking admission as a treaty trader or treaty investor
under the NAFTA as an E-1 or E-2 mustbe in possession of a nonimmigrant visa issued by
an American consular officer classifying the alien under section 101 (a)(15)(E) of the Act.
Both Canadian and Mexican citizens must apply at a U.S. embassy or consulate for the
issuance of an "E" nonimmigrant visa and pay any visa fee. A supplemental Form OF-156E
must be submitted with pertinent documentation to the consular officer. Upon admission,
issue both Canadian and Mexican treaty traders and treaty investors and their dependents a
Form 1-94, endorsed in the same manner as other E-1 and E-2 nonimmigrants. The
classification code E-1 or E-2 will be marked clearly on the 1-94. The 1-94 with the E-1 or
E-2 notation is the employment authorization documentation for the treaty trader or treaty
investor. The Form 1-94 is presented to the Social Security Administration for purposes of
applying for a social security number. Periods of initial admission and extension are the
same as for other E-1 and E-2 nonimmigrants.
(3) Spouse and Dependent Children. The spouse and children of a treaty trader or treaty
investor may accompany or follow to join the E-1 or E-2 business person if they otherwise
meet the general requirements for temporary entry. There is no requirement that the
spouse and children be Canadian or Mexican citizens. Such dependents may not work in
the U.S. without obtaining a change of status, but may attend school, if incident to status.
As with other E-1 and E-2 nonimmigrant dependents, their 1-94 visa symbol is the same as
the principal's; endorsements are the same as for other E dependents.
(e) L Classification as an Intracompany Transferee.
(1) Qualifications. The designated nonimmigrant classification for the intracompany
transferee who enters the U.S. under the NAFTA is L-1. The L-1 classification has been
part of the Act since the 1970's through section 101 (a)(15)(L). The U.S. has committed to
allow citizens of Canada and Mexico who meet the qualifications of the current L-1

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classification to enter the U.S. as intracompany transferees while the NAFTA is in force.
Immigration officers must familiarize themselves with definition of the L classification at
section 101(a)(15)(L) of the Act and regulations at 8 CFR 214.2(1). See L-1 notes in
Chapter 15.4 and Adjudicator's Field Manual, Chapter 32.
The NAFTA intracompany transferee must qualify under the existing requirements for L
classification, including:
•

Citizenship. To qualify for the NAFTA intracompany transferee classification, the
applicant must establish Canadian or Mexican citizenship.

•

Qualifying Capacity. The applicant must qualify in a capacity that is managerial,
executive, or one involving specialized knowledge.

•

Qualifying Entity. The applicant must be seeking entry to work for an entity in the U.S.
which is the parent, branch, affiliate, or subsidiary of the entity in the foreign country.

•

Qualifying Past Employment. The applicant must have been employed continuously
for 1 year in the previous past 3 years with the qualifying entity abroad in a qualifying
capacity.

(2) Terms of Admission. A petition must be filed in the applicant's behalf to accord
the alien classification as an L-1. The petition must be submitted by the qualifying
entity to the Service on Form 1-129, Petition for Temporary Worker, in accordance
with the instructions for that form. The Service will provide the NAFTA intracompany
transferee and dependents with Forms 1-94 at the time of admission, endorsed in
the same manner as other class L admissions. The 1-94 is the employment
authorization document for the L-1 and may be presented to the Social Security
Administration for the purpose of applying for a social security number. Periods of
admission and extension for NAFTA L aliens are the same as for other L
nonimmigrants. (Revised IN99-28)
(A) Citizens of Canada. A citizen of Canada is not required to, but may, obtain a
nonimmigrant visa. The applicant must establish Canadian citizenship. The
1-129 petition may be filed (in duplicate) by the U.S. or foreign employer in
advance of entry or in conjunction with an application for admission. If the alien
wishes to file in advance, the petition must be submitted to the appropriate
Service Center and should be submitted at least 30 days in advance of the
expected date of entry. The applicant must present evidence of the approved
petition (Form 1-797, Notice of Approval) at the time of application for admission.
If the petition is filed in conjunction with an application for admission, such filing
must be made in person with an immigration officer at a Class A port-of-entry
located on the US-Canada land border or at an U.S. pre-clearance/ pre-flight
station in Canada. Petitions may not be submitted to a port-of-entry in advance.
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The petitioning employer need not appear, but the Form 1-129 must bear the
authorized signature of the petitioner and all documentation and the appropriate
filing fee must accompany the petition. The port of entry may accept
appointments but the use of appointments may not preclude an applicant who
did not make an appointment from being processed at the time of his/her
application for admission. The 1-129 petition is complex and requires sufficient
time for review by the processing officer. The burden of processing time rests
with the applicant not with the Service. Applicants for admission filing 1-129
petitions at pre-flight locations in Canada must allow sufficient time prior to the
departure of their flight for processing. (Revised IN99-28)
(8) Citizens of Mexico. A citizen of Mexico must apply for an L visa at an American
consulate. At the port-of-entry, the applicant must present a valid Mexican passport with
their L-1 visa.
(3) Spouses and Dependent Children. Spouses and dependent children of intracompany
transferees may accompany or follow to join the L-1 principal if they otherwise meet the
general immigration requirements for temporary entry. L-2 is the designated classification
for both spouse and dependent children of intracompany transferees.
There is no
requirement that the spouse and dependent children be citizens of Canada or Mexico. L-2
dependents who are citizens of Canada are not required to obtain an L-2 visa but may seek
visa issuance if desired. L-2 dependents who are citizens of Mexico or other countries
generally are required to seek visa issuance. L-2's may not work in the United States. L-2's
may attend school while in the United States incident to their temporary stay.
(f) TN Classification as a Professional.
(1) General.

(A) Background. The NAFTA professional is unique to the North American Free
Trade Agreement (the NAFTA). The classification is not found in general
immigration provisions in section 101 (a)(15) of the INA; rather, it is included in
section 214(e) of the INA. Under NAFTA, a Canadian or Mexican citizen who
seeks temporary entry into the U.S. as a professional may be admitted to the
U.S. under the provisions of the NAFTA as a TN (for Trade NAFTA). The TN is
limited to Canadian or Mexican professionals employed on a professional level.
A professional is defined as a business person seeking entry to engage in a
business activity at a professional level in a profession set forth in Appendix
1603.D.1 to Annex 1603, if the business person otherwise qualifies under
existing, general immigration requirements for temporary entry into the U.S. [See
Appendix 15-4 of this manual for Annex 1603, Appendix 1603. D.1.] [For
regulations relating to NAFTA TN classification, refer to 8 CFR 214.6.].
The NAFTA professional is modeled on the professional category in the
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predecessor trade pact, the United States-Canada Free-Trade Agreement
(CFTA), which was in effect from January 1, 1989 until the entry into force of the
NAFTA on January 1, 1994. The provisions differ only slightly for Canadian
citizen applicants and Mexican citizen applicants. Following implementation of
the NAFTA, there was an annual numericallirnitation of 5,500 on the number of
Mexican citizens entering the U.S. as TN professionals. In order to administer
the cap, a Form 1-129 petition and a labor condition application were required.
The numerical limitation and petition requirement were eliminated effective
January 1, 2004.
As with the CFTA, admission as a TN under section 214(e) of the INA does not
imply that the citizen of Canada or Mexico would otherwise qualify as a
professional under section 101 (a)(15)(H)(i)(b) or section 203(b)(3) of the INA.
Note too that Section D of Annex 1603 does not authorize a professional to
establish a business or practice in the U.S. in which the professional will be selfemployed. Section D of Annex 1603 is limited to the entry of a citizen of a Party
country seeking to render professional-level services for an entity in another
Party country.
Self-employment also clearly conflicts with the intent of the NAFTA
Implementation Act and its accompanying Statement of Administrative Action,
which states, at page 178, "Section D of Annex 1603 does not authorize a
professional to establish a business or practice in the U.S. in which the
professional will be self-employed." In this regard, Section B of Annex 1603,
which deals with "traders and investors," establishes the appropriate category of
temporary entry for a citizen of a Party country seeking to develop and direct
investment operations in another Party country. Canadian or Mexican citizens
seeking to engage in self-employment in trade or investment activities in the
U.S., therefore, must seek classification under section 101 (a)(15)(E) of the INA.
Although the issue of self-employment was never specifically addressed under
the regulations promulgated by the INS pursuant to the CFTA Implementation
Act, the bar on establishment of a business or practice in which the professional
will be self- employed is consistent with the intent of the U.S. and Canada in
entering into the CFTA. Since entry into NAFTA was not intended to
substantively change the treatment of professionals, this explicit bar merely
clarifies existing law.
Note that the bar on establishment of a business or practice in which the
Canadian or Mexican citizen will be self-employed is in no way intended to
preclude a Canadian or Mexican citizen who is self-employed abroad from
seeking entry to the U.S. pursuant to a pre-arranged agreement with an
enterprise owned by a person or entity other than him/herself located in the U.S.
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On the other hand, a Canadian or Mexican citizen is precluded from entering this
country in TN classification for the purpose of rendering pre-arranged services
for a U.S. corporation or entity of which he or she is the sole or controlling
shareholder or owner or over which he or she holds de facto control.
(B) Pre-arranged Professional Services. In order to obtain "TN" classification, a
business person, including one who is self-employed, must be seeking entry to render
pre-arranged professional services to an individual or an enterprise. If the business
activities are to be rendered to an individual or an enterprise, the enterprise must be
substantively separate from the business person seeking entry. Moreover, the business
activities must not include establishment of a business or practice or any other type of
activity in which the business person will be self-employed in the United States.
As used above, to constitute pre-arranged professional services, there must exist a
formal arrangement to render professional service to an individual or an enterprise in the
United States. The formal arrangement may be thrqugh an employee-employer
relationship or through a signed contract between the business person or the business
person's employer and an individual or an enterprise in the United States.
(C) Enterprise for Which the Professional Activities are to be Performed in the United
States. The enterprise in the United States for which the business activities are to be
performed can take any legal form (as defined in Article 201 of the NAFTA), that is, "any
entity entirely constituted or organized under applicable law, whether or not for profit,
and whether privately- owned or government-owned, including any corporation, trust
partnership, sole proprietorship, joint venture or other association."
(0) Substantively Separate from the Business Person Seeking Entrv as NAFTA
Professional. A business person is ineligible for classification as a NAFTA Professional
if the enterprise in the United States offering a contract or employment to the business
person seeking entry is a sole proprietorship operated by that business person.
Moreover, even if the receiving enterprise is legally distinct from the business person,
such as a corporation having a separate legal existence, entry as a NAFTA Professional
must be refused if the receiving enterprise is substantially controlled by that business
person.

(E) Substantial Control. Whether the business person "substantially controls" the U.S.
enterprise will depend on the specific facts of each case. The following factors, among
others, are relevant in determining what constitutes substantial control:
•
•

•

whether the applicant has established the receiving enterprise;
whether, as a matter of fact, the applicant has sole or primary control of the U.S.
enterprise (regardless of the applicant's actual percentage of share ownership);
whether the applicant is the sole or primary owner of the business; or

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•

whether the applicant is the sole or primary recipient of income of the business.

(F) Establishment of a Business in Which the Professional Will be Self-Employed in the
United States. The following factors, among others are relevant in determining whether
the business person will be self-employed in the United States:
•

incorporation of a company in which the business person will be self-employed;

•

initiation of communications (e.g., by direct mail or by advertising) for the purpose of
obtaining employment or entering into contracts for an enterprise in the United
States; or

•

responding to advertisements for the purpose of obtaining employment or entering
into contracts.

On the other hand, the following activities do not constitute the establishment of a
business in which the business person will be self-employed in the United States:
•

responding to unsolicited inquiries about service(s) which the professional may be
able to perform; or

•

establishing business premises from which to deliver pre-arranged service to clients.

(Paragraph (f)(1) revised IN98-06)
(2) Appendix 1603.0.1 to Annex 1603 of the NAFTA. Under NAFTA, an applicant seeking
classification as a TN must demonstrate business activity at a professional level in one of
the professions or occupations listed in Appendix 1603.0.1 to Annex 1603. Appendix
1603.0.1 (which replaces Schedule 2 to Annex 1502.1 of the CFTA) is set forth at 8 CFR
214.6(c). A Baccalaureate (bachelor's) or Licenciatura degree is the minimum requirement
for these professions unless an alternative credential is otherwise specified. In the case of
a Canadian or Mexican citizen whose occupation does not appear on Appendix 1603.0.1 or
who does not meet the transparent criteria specified, nothing precludes the filing of a
petition for classification under another existing nonimmigrant classification.
A footnote to Appendix 1603.0.1 allows for temporary entry to perform training functions
relating to any of the cited occupations or profession, including conducting seminars.
However, these training functions must be conducted in the manner of prearranged
activities performed for a U.S. entity and the subject matter to be proffered must be at a
professional level. The training function does not allow for the entry of a business person to
conduct seminars which do not constitute the performance of prearranged activities for a
U.S. entity.
The terms "state/provincial license" and "state/provincial/federal license" means any

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document issued by a state, provincial, or federal government, as the case may be, or
under its authority, but not by a local government, that permits a person to engage in a
regulated activity or profession.
A "Post Secondary Diploma" means a credential issued, on completion of two or more
years of post secondary education, by an accredited academic institution in Canada or the
United States. A "Post Secondary Certificate" means a certificate issued, on completion
of two or more years of post secondary education at an academic institution, by the federal
government of Mexico or a state government in Mexico, an academic institution recognized
by the federal government or a state government, or an academic institution created by
federal or state law.
The following notes relate to NAFTA TN admissions in specific occupations:

(A) A business person in the category of "Scientific TechnicianlTechnologist"
must possess: (a) theoretical knowledge of any of the following disciplines:
agricultural sciences, astronomy, biology, chemistry, engineering, forestry,
geology, geophysics, meteorology or physics, and (b) the ability to solve practical
problems in any of those disciplines, or the ability to apply principles of any of
those disciplines to basic or applied research. A scientific technician/technologist
does not generally have a baccalaureate degree. The following principles will be
used to evaluate the admissibility of scientific technician/technologist applicants.
(i) Individuals for whom scientific technicians/ technologists wish to provide
direct support must qualify as a professional in their own right in one of the
following fields: agricultural sciences, astronomy, biology, chemistry,
engineering, forestry, geology, geophysics, meteorology, or physics.
(ii) A general offer of employment by such a professional is not sufficient, by
itself, to qualify for admission as a Scienti'f1c Technician or Technologist
(STIT).
The offer must demonstrate that the work of the STIT will be
inter-related with that of the supervisory professional. That is, the work of the
STIT must be managed, coordinated and reviewed by the professional
supervisor, and must also provide input to the supervisory professional's own
work.
(iii) The STIT's theoretical knowledge should generally have been acquired
through the successful completion of at least two years of training in a
relevant educational program.
Such training may be documented by
presentation of a diploma, a certificate, or a transcript accompanied by
evidence of relevant work experience.
(iv) U.S. authorities will rely on the Department of Labor's Occupational
Outlook Handbook to establish whether proposed job functions are consistent
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with those of a scientific or engineering technician or technologist. STlTs
should not be admitted to perform job functions that are primarily associated
with other job titles.
(v) Not admissible as STlTs are persons intending to do work that is normally
done by the construction trades (welders, boiler makers, carpenters,
electricians, etc.), even where these trades are specialized to a particular
industry (e.g., aircraft, power distribution, etc.)
(8) A business person in the category of "Medical Laboratory Technologist (Canada)
/Medical Technologist (Mexico and the United States)" must be seeking temporary
entry to perform in a laboratory chemical, biological, hematological, immunologic,
microscopic or bacteriological tests and analyses for diagnosis, treatment, or prevention
of diseases.
Foreign medical school graduates seeking temporary entry in the category of
"Physician (teaching or research only)" may not engage in direct patient care.
Patient care that is incidental teaching and/or research is permissible. Patient care is
incidental when it is casually incurred in conjunction with the physician's teaching or
research. To determine if the patient care will incidental, factors such as the amount of
time spent in patient care relative to teaching and/or research, whether the physician
receives compensation for such services, whether the salary offer is so substantial in
teaching and/or research that direct patient care is unlikely, or whether the physician will
have a regular patient load, should be considered by the officer.
(C)

(D) Registered Nurses. Registered nurses must demonstrate eligibility by
providing a provincial or state license or Licenciatura degree. However, in order
to be admitted, the registered nurse must present a permanent state license, a
temporary state license, or other temporary authorization to work as a registered
nurse, issued by the state nursing board in the state of intended employment.
Admission of nurses should not be limited to the expiration date of either
document. In addition, registered nurses must present a certificate from the
Commission on Graduates of Foreign Nursing Schools (CGFNS) or an
equivalent credentialing organization. [See 8 CFR 212.15 and AFM Ch. 30.12.]
The Secretary of Homeland Security will continue to exercise his discretion to
waive the certificate requirement up to and including July 25, 2005, for Canadian
and Mexican health nurses, who, before September 23, 2003, were employed as
"trade NAFTA" (TN) or "trade Canada" (TC) nonimmigrant health care workers
and held valid licenses from a United States jurisdiction. Until that date, DHS will
admit registered nurses and approve applications for extension of stay and/or
change of status subject to the following conditions (Revised by CBP 3-04):
•

The admission, extension of stay, or change of status may not be for a period
longer than 1 year, even if the relevant provision of 8 CFR 214.2 would
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•

•

ordinarily permit the alien's admission for a longer period;
The alien must obtain the requisite health care worker certi'f1cation within 1
year of the date of admission, or the date of the decision to extend the alien's
stay or change status; and
Any sUbsequent petition or application to extend the period of authorized stay
or change the alien's status must include proof that the alien has obtained the
health care worker certification if the extension of stay or change of status is
sought for the primary purpose of the alien performing labor in an affected
health care occupation.

(E) Sylviculturists and foresters plan and supervise the growing, protection, and
harvesting of trees. Range managers manage, improve, and protect rangelands to
maximize their use without damaging the environment. A baccalaureate or Licenciatura
degree in forestry or a related field or a state/provincial license is the minimum entry
requirement for these occupations.
(F) Disaster relief insurance claims adjusters must submit documentation that there
is a declared disaster event by the President of the United States, or a state statute, or a
local ordinance, or an event at a site which has been assigned a catastrophe serial
number by the Property Claims Service of the American Insurance Services Group, or, if
property damage exceeds $5 million and represents a significant number of claims, by
an association of insurance companies representing at least 15 percent of the property
casualty market in the U.S.
(G) Management consultants provide services which are directed toward improving
the managerial, operating, and economic performance of public and private entities by
analyzing and resolving strategic and operating problems and thereby improving the
entity's goals, objectives, policies, strategies, administration, organization, and
operation. Management consultants are usually independent contractors or employees
of consulting firms under contracts to U.S. entities. They may be salaried employees of
the U.S. entities to which they are providing services only when they are not assuming
existing positions or filling newly created positions. As a salaried employee of such a
U.S. entity, they may only fill supernumerary temporary positions. On the other hand, if
the employer is a U.S. management consulting firm, the employee may be coming
temporarily to fill a permanent position. Canadian or Mexican citizens may qualify as
management consultants by holding a Baccalaureate or Licenciatura degree or by
having five years of experience in a specialty related to the consulting agreement.
(H) The computer systems analyst category does not include programmers. A
systems analyst is an information specialist who analyzes how data processing can be
applied to the specific needs of users and who designs and implements computer-based
processing systems. Systems analysts study the organization itself to identify its
information needs and design computer systems which meet those needs. Although the
systems analyst will do some programming, the TN category has not been expanded to
include programmers.

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(I) Hotel Managers must possess a Baccalaureate or Licenciatura degree in
hotel/restaurant management.
A post secondary diploma in hotel/restaurant
management plus 3 years of experience in the field will also qualify.
(J) Animal and Plant Breeders breed animals and plants to improve their economic

and aesthetic characteristics. Both occupations require a Baccalaureate or Licenciatura
degree.
(3) Qualifications. The NAFTA professional must meet the following general criteria:

•

Be a citizen of a NAFTA country (Canada or Mexico).

•

Be engaged in professional-level activities for an entity in the United States. Only those
professional-level activities listed in Appendix 1603. D.1 to Annex 1603 are covered
under the NAFTA. The applicant must establish that the professional-level services will
be rendered for an entity in the United States. The NAFTA professional category is not
appropriate for Canadian or Mexican citizens seeking to set up a business in the United
States in which he or she will be self-employed.

•

Be qualified as a professional. The applicant must establish qualifications to engage in
one of the activities listed in Appendix 1603. D.1. The Minimum Education Requirements
and Alternative Credentials are listed in the Appendix for each professional-level activity.
The regulation requires that degrees, diplomas, or certificates received by the TN
applicant from an educational institution outside of the United States, Canada, or Mexico
must be accompanied by an evaluation by a reliable credentials evaluation service that
specializes in such evaluations. Experiential evidence should be in the form of letters
from former employers. If the applicant was formerly self-employed, business records
should be submitted attesting to that self-employment.

•

Meet applicable license requirements. To practice a licensed profession, Canadian and
Mexican entrants must meet all applicable requirements of the state in which they intend
to practice.

Note: In certain circumstances, although a profession may generally require licensing,
there may be duties within the occupation that do not require licensing. For example, an
architect must be licensed to sign architectural plans, etc. but not all professional-level
duties of an architect require licensure (an architect can work on development of plans
but be precluded from signing the plans).
Similarly, a dentist requires a license in the U.S. to practice dentistry but if a Canadian
citizen is coming to the U.S. as a TN to give a seminar on dentistry, no U.S. license
would be necessary. The Canadian may establish qualifications as a dentist by
showing a provincial license or a DD.S., D.MD., Doctor en Odontologia en Cirugia
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Dental.
This is analogous to the lawyer who seeks admission as a TN to offer professional-level
legal advice about Canadian law but who is not going to practice before any state bar in
the U.S.-- this Canadian citizen would need only to establish qualification as a lawyer-a J.D. or provincial bar membership could suffice.
•

Be in the United States temporarily. The NAFTA professional must establish
that the intent of entry is not for permanent residence.

(Revised IN99-28)
(4) Application Process.
(A) Citizens of Canada. A citizen of Canada may apply for entry to the U.S. as a
NAFTA professional at U.S. Class A ports-of-entry, airports handling
international flights, or at pre-clearance/pre-f1ight stations in Canada. The
applicant must submit documentary proof that he or she is a citizen of Canada.
Such proof may consist of a Canadian passport, citizenship card, or birth
certificate together with photo identification. No visa is required for entry, but the
applicant may seek visa issuance if desired.
An application for entry as a TN professional is an application for admission. It
must be made, in person, to an immigration officer at the same time the
individual is applying for admission to the U.S. There is no written application for
entry as a TN professional. No prior petition, labor certification, or prior approval
may be required for Canadian citizens applying for admission to the U.S. in TN
status. Advance adjudication of a TN applicant prior to the actual application for
admission is not appropriate. Prior approval procedures are not permissible
under Annex 1603.D.2(a) of the NAFTA. The applicant must be interviewed
regarding his or her qualifications for the profession. Documentation from the
prospective employer in the U.S., or from the foreign employer, must include the
following:
•

A statement (in the form of a letter or contract) of the professional-level
activity listed in Appendix 1603.0.1, in which the applicant will be
engaging and a full description of the nature of the job duties the applicant
will be performing, the anticipated length of stay, and the arrangements
for remuneration; and

•

Evidence that the applicant meets the educational qualifications or
alternative credentials for the activity listed in Appendix 1603.0.1.

(B) Citizens of Mexico. A citizen of Mexico may apply for entry to the U.S. as a
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.NAFTA professional at U.S. Class A land border ports-of-entry, airports handling
international flights, or at a pre-clearance/pre-f1ight station in Canada. However,
a citizen of Mexico must be in possession of a TN nonimmigrant visa issued by
an U.S. consulate and present a valid Mexican passport.
Upon application for a visa at a U.S. consulate or embassy, a citizen of Mexico
must present the following:
•

Evidence of Mexican citizenship;

•

Evidence of an offer of employment to include a statement of the activity
listed in Appendix 1603.0.1 in which the applicant will be engaging, a full
description of the nature of the duties the applicant will be performing, the
anticipated length of stay, and the arrangements for remuneration; and

•

Evidence that the applicant meets the educational and/or alternative
credentials for the activity listed in Appendix 1603.0.1.

(5) Terms of Initial Admission.
(A) Canadians. A Canadian citizen who qualifies for admission under the NAFTA
in the TN classification must remit the fee prescribed in 8 CFR 103.7 (presently
$50.00 U.S.) upon admission. Issue the applicant a fee receipt (Form G-211,
Form G-711, or Form 1-797) and a multiple entry Form 1-94 showing admission in
the classification TN for the period requested not to exceed 1 year. Annotate the
occupation in block #18 on the back of the arrival portion of the 1-94.
(8) Mexicans. A Mexican citizen seeking admission in TN classification is
required to present a valid TN visa issued by a U.S. consulate. Admit a Mexican
TN for the period requested, not to exceed 1 year, and issue a multiple entry
Form 1-94 showing admission classification as TN. Annotate the occupation in
block #18 on the back of the arrival portion of the 1-94. (Note: Only citizens of
Canada pay the TN fee at the port-of-entry. This fee is not charged to Mexican
citizens when applying for TN classification at the port-of-entry because fees are
charged for issuance of the TN nonimmigrant visa.)

At the time of application for admission, the citizen of Canada or Mexico will be
subject to inspection to determine the applicability of section 214(b) of the Act
(presumption of immigrant intent) to the applicant.
(6) Procedures for Readmission. A citizen of Canada or Mexico who is eligible for
TN classification may be readmitted to the U.S. for the remainder of the period
authorized on his or her Form 1-94, without presentation of the letter or supporting
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documentation described above, provided that the original intended business
activities and employer(s) have not changed. If the applicant is no longer in
possession of a valid, unexpired Form 1-94, a citizen of Canada must present
substantiating evidence. Substantiating evidence may be in the form of a fee receipt
for admission as a TN, a previously issued TN admission stamp in a passport, and a
confirming letter from the U.S. employer(s). A Mexican citizen may be readmitted
upon presentation of a valid TN visa and evidence of prior admission, which may
include, but is not limited to, an INS fee receipt from a prior entry or an admission
stamp in the applicant's passport. Upon readmission, issue a new multiple entry
Form 1-94.
(7) Extension of Stay.
(A) Form 1-129 Application Process. A citizen of Canada or Mexico admitted
pursuant to NAFTA may seek an extension of stay as a TN through the filing of a
Form 1-129 by the U.S. employer or U.S. entity (in the case of a TN who has a
foreign employer) with the Nebraska Service Center. No Department of Labor
certification requirements apply to an alien in TN status who is seeking to extend
that status as the Form 1-129 is considered an application for extension of stay
rather than a petition in this case. The applicant must be in the U.S. at the time
of filing the extension request. Provision is made for port-of-entry or consular
notification should the applicant depart the U.S. during the pendency of the
application. An extension may be granted for up to 1 year.
(8) Departure and Return. A citizen of Canada or Mexico is not precluded from
departing the U.S. and applying for admission with documentation from a U.S.
employer (or foreign employer, in the case of an alien who is seeking to provide
prearranged services at a professional level to a U.S. entity) which specifies that
the applicant will be employed in the U.S. for an additional period of time. The
evidentiary requirements outlined above in paragraph (f)(4) must be met by the
applicant and, in the case of a Canadian citizen, the prescribed fee must be
remitted upon admission. In the case of a Mexican citizen, the passport and visa
requirements also apply.

(C) Limitations. At the present time, there is no specified upper limit on the
number of years a citizen of Canada or Mexico may remain in the U.S. in TN
classification, as there is with most of the other nonimmigrant classifications.
However, section 214(b) of the Act is applicable to citizens of Canada or Mexico
who seek an extension of stay in TN status and applications for extension or
readmission must be examined in light of this statutory provision.
Except as limited by section 248 of the Act, a citizen of Canada or Mexico who is
currently in the U.S. in another valid classification is not precluded from
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requesting a change of status to TN. If such applicant is in the U.S. as an H-1 or
L-1, he or she may be changed to TN status if otherwise eligible, without regard
to the maximum time limits for those classifications. A Canadian J nonimmigrant
who is subject to the 2-year foreign residence requirement may not change to TN
classification, but may leave the U.S. and seek readmission as a TN.
(8) Request for Change/Additions of U.S. Employers. A Canadian or Mexican citizen
may change or add employers while in the U.S. through the filing of Form 1-129 at
the Nebraska Service Center. All documentary requirements pertaining to a citizen
of Canada or a citizen of Mexico outlined above must be met. Employment with a
different or with an additional employer is not authorized prior to approval of the
application.
Alternatively, the Canadian citizen may depart the U.S. and apply for reentry for the
purpose of obtaining additional employment authorization with a new or additional
employer. Documentary requirements outlined above in paragraph (f)(4)(A) must be
met and the prescribed fee must be remitted upon readmission.
No action is required by a Canadian or Mexican citizen who is transferred to another
location by the U.S. employer to perform the same services. An example of such an
acceptable transfer would be'to a branch or office of the employer. If the transfer is
to a separately incorporated subsidiary or affiliate, Form 1-129 must be filed.
(9) Spouse and Unmarried Minor Children. The spolJse and unmarried minor
children, who are accompanying or follOWing to join a TN professional, if otherwise
admissible, are to be accorded TD (Trade Dependent) classification. These aliens
are required to present a valid, unexpired nonimmigrant visa unless otherwise visaexempt under 8 CFR 212.1. There is no requirement that the TD dependent be a
citizen of Canada or Mexico.
No fee is required for admission of dependents in TD status (except the fee for the
Form 1-94) and they are to be issued multiple entry Forms 1-94.
A TD spouse or child is not authorized to accept employment while in the U.S. in
such status. Dependents in TD status may attend school in the U.S. on a full-time
basis as such attendance is deemed incidental to status.
(10) Denial. In the event a Canadian citizen applying for admission pursuant to
NAFTA cannot demonstrate to the admitting officer that he or she satisfies the
requirements for admission pursuant to the NAFTA, Appendix 1603. D.1, he/she
should normally be offered the opportunity to withdraw his/her application for
admission. If the inspector believes that the alien is inadmissible under section
212(a)(7)(A) (intending immigrant) or section 212(a)(6)(C) of the Act (seeking
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admission by fraud or willful and material misrepresentation) and the alien does not
wish to withdraw his/her application for admission, the inspector should place the
alien into an expedited removal proceeding.
(Revised IN03-40)

15.6

Transit without Visa (TWOV) Admissions.

(a) General description. An alien in immediate and continuous transit through the U.S. without
a visa may be admitted under certain restrictions. Admission procedures are significantly
different than for other nonimmigrants. Only a carrier signatory to a TWOV agreement may
bring a TWOV applicant to the U.S., and only to specific ports-of-entry. TWOV agreements are
provided for by section 233 of the Act and discussed in Chapter 42. Ports-of-entry for TWOV
passengers are listed in 8 CFR 214.2(c). The list of carriers with TWOV agreements is
contained in Appendix 42.1. Aliens of certain nationalities are only eligible for limited TWOV
privileges as specified in 8 CFR 212.1 (f)(2). Citizens, or in some instances residents, of certain
countries are barred from TWOV privileges entirely, as specified in 8 CFR 212.1 (f)(3). TWOV
carriers are liable for "liquidated damages" whenever an arriving TWOV passenger fails to
depart as scheduled. Liquidated damages procedures are discussed in Chapter 43.
(b) Documents required. TWOV applicants are exempt passport and visa valid for entry into
the U.S., but must be in possession of a travel document or documents establishing his/her
identity and nationality and ability (including any required visa) to enter the country to which
destined, other than the U.S. [See 8 CFR 212.1 (f)(1 ).]. Each TWOV passenger must have a
confirmed transportation ticket to depart from the U.S. within 8 hours or on the first available
transportation. A maximum of two stopovers en route is permitted.
(c) Processing procedures. Each arriving TWOV passenger should present a blue 1-94T along
with other required documents stated above. Enter the appropriate carrier arrival and departure
information including the departure ticket number
'n the shaded blocks on the lower front
of the arrival portion of 1-94T. It is critical that all information on the 1-94T be complete, correct
and legible, since the form is the basis on which the Service can assess damages in the event
the passenger fails to depart. Staple the departure 1-94 to the outbound ticket coupon and
retain the arrival 1-94 at the port. Stamp the passport with the admission stamp and endorse it
"TWOV'. Once the admission process is complete, turn the passenger and documents over to
the arrival carrier, in accordance with local port procedures.
(d) Processing Ineligible and Mala Fide TWOV Applicants; TWOV Abscondees. If you
determine a TWOV applicant is technically ineligible for that classification or is not a bona-fide
transit passenger, first determine if the alien will be permitted to leave on his or her own
recognizance, or remain in custody until departure.
Contact the airline to arrange for a
departure flight. If the alien is to be released, prepare Form 1-160 and a regular 1-94, endorsed
with the parole stamp and departure information. Complete Form 1-259 and serve it on the
carrier. Institute fine proceedings, if the alien was statutorily ineligible for TWOV status.
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If the alien is found to be a mala-fide TWOV applicant or will not be released, prepare an 1-160
and 1-94 and endorse the admission block of the 1-94; "1-259 served on (airline) to remove alien
to (port) via (flight number) on (flight date)". Endorse the reverse of the 1-94: "Ineligible TWOV."
Prepare and serve an 1-259 on the carrier to effect removal.
If a TWOV abscondee is reported, follow the procedures described in Chapter 43.6. If a TWOV
applicant absconds after service of an 1-259, report a violation of section 241 (d) of the Act,
using Form 1-849 [See Chapters 43.3(a)(5)(E) and 43.6.].
(e) Special notes.
(1) Crew members. An alien crewmember coming to join a vessel admitted as TWOV must
have a D visa and a letter from the shipping company or agent responsible for the vessel.
(2) Delayed departure. If a TWOV passenger cannot depart as scheduled due to
circumstances beyond his or her control, such as aircraft mechanical problems or weather,
the inspector must locate the arrival 1-94T
stro both ortions nd ex cute a new 1-94T
with the revised de arture dat .

(3) Deportees. An alien being deported from another country, through the U.S., should not
be processed as a TWOV. Use parole procedures.
(4) TWOV to Canada. Since a large segment of TWOV passengers are destined to
Canada, the list of countries whose nationals must have a visa to enter Canada is included
in Appendix 15-5. Except for TWOV applicants who are joining a vessel in Canada as a
crewmember or who are leaving the U.S. as a crewmember on a vessel destined to
Canada, nationals of countries on this list must have a Canadian visa in order to be
admitted as TWOV passengers.
(5) Missed departure. If an TWOV applicant has already missed his or her scheduled
departure at the time of application for admission, or if the departure is scheduled via a
different mode of transportation, refer the applicant to secondary for confirmation of
departure arrangements.
(6) Entry of TWOV passengers at ports not designated for TWOV admissions. There is
one exception to the requirement that all TWOV passengers enter only at designated
TWOV ports. An alien in transit from one part of contiguous territory to another part of the
same contiguous territory may be admitted as TWOV if the applicant is otherwise
admissible and satisfies all other TWOV requirements [See 8 CFR 214.2(c)(1).].
(7) Unescorted TWOV passengers. Although carriers are required to ensure the passage
of TWOV passengers in accordance with the terms of TWOV admission, it is not Service
policy to impose a fine under section 243 of the Act simply because a TWOV passenger

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appears for inspection unescorted. If a carrier repeatedly fails to take adequate safeguards
with TWOV passengers, report the matter to Headquarters, Inspections.
(8) Hong Kong residents. TWOV restrictions applicable to PRC nationals pursuant to 8
CFR 212.1 (f)(2) do not apply to holders of HKSAR passports.

15.7

Visa Waiver Program (VWP). (Revised IN01-04)

(a) General Description. In 1986, the Immigration Reform and Control Act (IRCA)
incorporated the Visa Waiver Program into the Immigration and Nationality Act (Act).
The pilot program became effective on July 1, 1988. On October 30, 2000, the Visa
Waiver Permanent Program Act made the pilot program permanent. The Visa Waiver
Program (VWP) permits nationals from designated countries (listed in 8 CFR 217.2(a))
to apply for admission to the United States for ninety (90) days or less as nonimmigrant
visitors for business or pleasure without first obtaining a U.S. nonimmigrant visa
In exchange, VWP applicants waive rights to proceedings before an
(USNIV).
Immigration Judge (IJ), unless they make an asylum application. Only carriers who
have entered into an agreement with the Immigration and Naturalization Service (INS)
on the Visa Waiver Program Carrier Agreement, Form 1-775, may transport VWP
applicants making their initial admission at air or sea ports-of-entry (POEs). The
adjudication process for VWP carrier agreements is discussed in Chapter 42.3, and
new regulations will be developed to incorporate legislative revisions to the definition of
"carrier." A list of carriers signatory to the VWP is included on the National Fines Office
(NFO) Bulletin Board (contained in cc: mail). The NFO provides monthly updates to the
signatory carrier list on the NFO Bulletin Board. An updated signatory carrier list may
also be obtained from the NFO by calling (202) 305-7018.
(b) VWP Applicants for Admission
(1) Documentary Requirements. A VWP applicant must have a passport valid for 6
months beyond the period of intended stay, or essentially 9 months (90 days + 6
months). If the country is on the Department of State's (DOS) 6-month list
extending the validity of certain foreign passports, then the extra 6-month validity is
assumed, although not all VWP countries are on the list. Refer to Appendix 15-2 for
the list of countries from DOS's Foreign Affairs Manual, which is updated
periodically. Additionally, a round-trip ticket or the equivalent as defined in 8 CFR
217.2(a) and a completed Arrival/Departure Form 1-94W are required. An alien with
an expired passport is ineligible for VWP admission. In the event a waiver is
granted to overcome inadmissibility, the waiver should include both the passport and
appropriate nonimmigrant visa grounds in section 212(a)(7)(B)(I) and (II) of the Act.
(2) Nonimmigrant Visa vs. VWP. Applicants presenting themselves for admission
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under the VWP, but who have valid, unexpired 8-1/8-2 visas in their passports, are
not to be considered for admission as VWP applicants, regardless of whether they
present completed Form 1-94Ws or not. The VWP is intended for applicants without
USNIVs. The 8-1/8-2 visas take precedence over any application made under the
VWP.

(3) No Expedited Removal for VWP Applicants. See In Re Suseenthera
Kanagasundram, Interim Dec. 3407 (81A 1999); 8 CFR § 235.3(b)(1).
(c) Air and Sea POE Arrivals.
(1) General. Applicants for initial admission under the VWP must arrive on
commercial aircraft or vessels signatory to the VWP. Failure to do so will result in
ineligibility for the applicants under the VWP and the imposition of fines for the
carrier in accordance with section 273 of the Act and described further in Chapter
43.2, Administrative Fine Violations. These requirements do not apply in cases of
readmission, which is discussed further in Chapter 15.7(i), Readmission after
Departure to Contiguous Territory or Adjacent Islands.
(2) Processing Procedures.
•

No alien shall be admitted (or readmitted after departure to contiguous territory
or an adjacent island) under the VWP unless his or her identity (i.e., name, date
of birth, and passport number) has been checked using an automated electronic
database containing information about the inadmissibility of aliens, and no such
ground of inadmissibility has been found.

•

An applicant for admission shall not be admitted under the VWP unless the alien
convinces the examining immigration officer that he or she is clearly and beyond
doubt entitled to be admitted and is not inadmissible under section 212 of the
Act.

•

The conditions for admission are specified in section 217 of the Act and 8 CFR
217. All VWP admissions are for 90 days unless the applicant's passport is valid
for a lesser period, in which case the period of admission would be until the
expiration date of the passport for those countries on the 6-month list. In the
cases of those countries not on the 6-month list, the applicants would not meet
the documentary requirements in Chapter 15.7(b), Documentary Requirements,
and would be inadmissible under the VWP.

•

Verify that the carrier is signatory to the VWP. Inspection of the round- trip ticket
or equivalent by the primary officer is not ordinarily required, but could be
considered in part of the overall determination of admissibility.
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•

Each applicant under the VWP shall have been issued, by the carrier prior to
arrival, a Form 1-94W to be completed and which must be signed by the
applicant, or responsible adult if the applicant is a minor. Review the Form
1-94W presented by the applicant to ensure it is complete and legible, that all
questions have been answered and that the form has been signed.

•

Business visitors applying under this program are admitted "WB" and visitors for
pleasure are admitted "WT." Stamp the Form 1-94W with the admission stamp,
notate "WB" or "WT" as appropriate, and the date to which admitted (90 days
from the admission date). Stamp the passport with the admission stamp, and
enter the admission class. Staple the endorsed departure portion of the Form
1-94W in the passport.

(3) Adverse Actions. Refer to Chapter 15.7(g), Inadmissibility and Deportability.

(d) Land Border POE Arrivals.
(1) General. The VWP now permits arrivals at land border POEs, although it
permitted arrivals only at air and sea POEs at its inception.
(2) Processing Procedures.
•

No alien shall be admitted (or readmitted after departure to contiguous territory
or an adjacent island) under the VWP unless his or her identity (i.e., name, date
of birth, and passport number) has been checked using an automated electronic
database containing information about the inadmissibility of aliens, and no such
ground of inadmissibility has been found.

•

An applicant for admission shall not be admitted under the VWP unless the alien
convinces the examining immigration officer that he or she is clearly and beyond
doubt entitled to be admitted and is not inadmissible under section 212 of the
Act.

•

The conditions for admission are specified in section 217 of the Act and 8 CFR
217. All VWP admissions are for 90 days unless the applicant's passport is valid
for a lesser period, in which case the period of admission would be until the
expiration date of the passport for those countries on the 6-month list. In the
cases of those countries not on the 6-month list, the applicants would not meet
the documentary requirements in Chapter 15.7(b), Documentary Requirements,
and would be inadmissible under the VWP.

•

The requirements for round-trip tickets and signatory carriers are not relevant, as
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there are no carriers involved. However, VWP applicants must satisfy the
inspecting officer that they have the economic means to support themselves
during the duration of their stay and the means to depart the U.S.

•

The applicant must complete and sign the Form 1-94W issued at the land border
POE, usually in secondary inspection, and pay the land border fee as prescribed
in 8 CFR 103.7(b)(1). Form 1-94Ws issued at a land border POEs are normally
issued for multiple entries, unless otherwise noted.

•

Business visitors applying under this program are admitted "WB" and visitors for
pleasure are admitted "WT." Stamp the Form 1-94W with the admission stamp,
notate "WB" or "WT" as appropriate, and the date to which admitted (90 days
from the admission date). Stamp the passport with the admission stamp, and
enter the admission class. Staple the endorsed departure portion of the Form
1-94W in the passport.

(3) Adverse Actions. Refer to Chapter 15.7(g), Inadmissibility and Deportability.
(e) Alternative Inspections Systems.
(1) General.
Port Passenger Accelerated Service System (PORTPASS),
encompasses the following programs: Automated Permit Port (APP), Canadian
Border Boat Landing Permit (1-68), Outlying Area Reporting Station (OARS),
Remote Video Inspection Service (RVIS) and Videophone. Although not part of the
INS' PORTPASS, applicants entering under the U.S. Customs Service's General
Aviation Telephonic Entry (GATE) program would follow the same procedures for
INS purposes.
(2) Processing Procedures.
•

PORTPASS applicants must first apply for initial admission at a designated
24-hour staffed Class A POE, in order to comply with any enrollment processes
and be issued a Form 1-94W. (Alternative Inspections Systems are considered
Class B POEs, and as such, do not have the capability to issue the requisite
forms, among other requirements). Applicants attempting to make an initial entry
via an Alternative Inspection System (Class B POE) are not eligible under the
VWP. Only those applicants with the endorsed departure portion of the Form
1-94W in their possession, obtained from a Class A POE, are eligible for
readmission under the VWP at an Alternative Inspection System, Class B POE.

•

Signatory carrier requirements do not apply for readmission under the VWP, in
accordance with 8 CFR 217.3(b). It is imperative that VWP PORTPASS
applicants maintain their status and have all the required documents in their
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possession when applying for admission via an Alternative Inspection System.
Failure to do so will result in a refusal of admission under the VWP.

(3) Other Than VWP Applicants. Refer to Chapter 21.9 of the Inspectors Field
Manual (IFM) for further information on Alternative Inspection Systems and
-inspections procedures for other applfcants.
(f) Other Arrivals.

(1) Transit. An alien in transit through the U.S. is eligible to apply for admission as a
"WT" under the VWP in accordance with 8 CFR 217.2(d). Follow procedures set
forth in Chapter 15.7(c), Air and Sea POE Arrivals, and Chapter 15.7(d), Land
Border POE Arrivals.
(2) Crewmembers in Transit. Alien crewmembers traveling as "deadheading crew",
and crewmembers with letters indicating they are joining a vessel docked in the U.S.
are eligible for VWP admission as business visitors, "WB."
(3) Ferries. The INS, as well as other agencies in the maritime arena, considers
ferries to fall in two categories, due to the unique nature of ferry operations:
(A) The first category is those ferries whose primary purpose is the transportation
of passengers and/or vehicles providing a continuation of the highway from one
side of the water to the other and which is offered as a service normally
attributed to a bridge or tunnel. These ferry trips are typically quite short in
duration. The INS considers these ferry operations an extension of land border
inspections, and the signatory carrier requirements are not applicable.
Applicants under the VWP who arrive on these ferries are subject to the
issuance of Form 1-94Ws and the collection of land border fees. Inspecting
officers should follow the procedures described in Chapter 15.7(d), Land Border
POE Arrivals.
(B) The second category is those ferries whose operations go beyond a quick
trip normally attributed to a bridge or tunnel extending the highway from one side
of the water to the other and are more like vessel operations. These ferry
crossings are typically several hours in duration, some as long as 12-15 hours,
and the INS considers them seaport inspections. Accordingly, these ferry
companies must be signatory to the VWP, or be subject to the imposition of
fines. Although carriers arriving from contiguous territory are currently exempt
the impositions of fines, the passengers are not exempt from the requirement of
arriving on a signatory carrier for initial admission under the VWP. Failure to do
so renders the passengers inadmissible under the VWP, subject to refusal, or,
for unforeseen emergencies, the issuance of 212(d)(4) waivers on Form 1- 193
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and the collection of the appropriate fee. For additional information concerning

the 212(d)(4) unforeseen emergency waiver, see paragraph (1)(A)(ii) of this
Chapter.
(4) Other Vessels.
(A) Yachting Schools . These schools, or individual vessels as part of these
schools, are not eligible for initial admissions under the VWP, as they are not
considered commercial vessels in accordance with 8 CFR 217.2(a). Accordingly,
they cannot be signatory to the VWP. However, they frequently have VWP
nationals participating in their programs, which often include trips that go foreign.
Readmission under the VWP might be a possibility if all other criteria are met.
Refer to further discussion on readmission in Chapter 15.7(i).
(8) Cargo vessels. Refer to Chapter 23.3(e) of the IFM.

(5) Adverse Actions. Refer to Chapter 15.7(g), Inadmissibility and Deportability.
(g) Inadmissibility and Deportability, Aliens who attempt entry under the VWP, but are
found inadmissible by the inspecting officer, are refused entry into the U.S. without
further administrative hearing, unless they seek asylum. The port director, officer-incharge, or an officer acting in that capacity, has the authority to order the refusal of a
VWP applicant. Care must be exercised to ensure that refusals are handled fairly and
are thorol.1ghly documented, because, as a practical matter, the inspecting officer's
decision is final. VWP applicants have waived their rights to administrative hearings
and are not entitled to proceedings under section 240 of the Act. Aliens who have been
admitted to the U.S. under the VWP and who have subsequently been determined to
be removable, shall also be removed from the U.S. The following sections will clarify
the distinctions and ramifications of this often- confusing terminology:
8CFR 217.4 distinguishes determination of
(1) Refusals vs. Removals.
inadmissibility/refusal of an arriving VWP applicant for admission at a POE from the
determination of deportability/removal of an alien admitted under the VWP.
(A) Refusalsllnadmissibility.
(i) General. An alien refused admission under the VWP on or after October 30,
2000 must obtain a visa before again seeking admission into the United States.
Section 217(g) of the Act addresses VWP refusals at POEs on or after October 30,
2000. Section 217(g) requires "that an alien denied admission under the VWP
obtain a visa before again seeking admission into the United States." Visas:
Passports and Visas Not Required for Certain Nonimmigrants-Visa Waiver
Program, 67 Fed. Reg. 30546. Notwithstanding this requirement, a POE refusal of
admission does not constitute a formal order of removal under the Act.

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If the alien has previously violated the terms of admission under the VWP or
the predecessor Visa Waiver Pilot Program, even if the Service did not
previously apprehend or formally remove the alien, he or she may not apply
for admission under the VWP and will need a visa before returning to the
United States. Section 217(a)(6) of the Act states that if an alien was
previously admitted under the VWP or its predecessor pilot program, the
alien must have complied with the conditions of any previous admission
under the program.
(ii) Section 212(d)(4)(A) Waiver of Passport and/or Visa. A district director
has the discretion to grant a 212(d)(4)(A) waiver only if the alien clearly
demonstrates that an unforeseen emergency prevented him or her from
acquiring the appropriate passport or visa. See generally Matter of LeFloch,
13 I. & N. Dec. 251, 255-56 (BIA 1969) (212(d)(4)(A) waiver of student visa
denied after U.S. consulate incorrectly informed B visa holder that no student
visa was necessary; no unforeseen emergency); Matter of V, 8 I. & N. Dec.
485, 485-87 (BIA 1959) (no unforeseen emergency where alien had ample
opportunity in advance of travel to obtain a visa). For the purposes of this
Chapter, the term "unforeseen emergency" as used in 8 CFR 212.1 (g)
means:
•
•
•

an alien arriving for a medical emergency;
an alien accompanying or following to join a person arriving for a medical
emergency; or
an alien whose passport or visa was lost or stolen within 48 hours of
departing the last port of embarkation for the United States.

In a case where a 212(d)(4)(A) is under consideration (only in those cases
identified above), the alien should complete Form 1-193 and remit the
appropriate fee. Where a district director favorably adjudicates an application
for a 212(d)(4)(A) waiver, the admitting officer shall stamp the passport using
the regular admission stamp, note the class of admission (i.e., B-1, B-2, etc.),
and write, "212(d)(4)(A) unforeseen emergency waiver" in the alien's passport
under the admission stamp. The admitting officer shall also make the same
notation on the reverse side of both the arrival and departure portion of Form
1-94.
The 212(d)(4)(A) waiver provIsions defining unforeseen emergency shall
apply to all VWP country nationals who arrive in the United States without
either a signed 1-94W or a valid visa and who intend to apply for temporary
admission as a nonimmigrant under section 101 (a)(15) of the Act.
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An unforeseen emergency waiver would be inappropriate, for example, in the
following scenario. A representative of a renowned horse show exhibition
notifies a U.S. POE that 22 horse grooms who are nationals of VWP
countries will arrive in the United States two days later, aboard a
non-signatory VWP carrier, and without valid visas for the purpose of
engaging in lawful B-1 horse grooming activities. If the horse grooms arrive
later with valid passports, aboard a non-signatory VWP carrier, and lacking
either signed 1-94Ws or valid visas, each applicant for admission would be
ineligible for the 212(d)(4)(A) waiver unless one of the conditions in
paragraph (g)(ii) were met. If, instead, each alien presented a valid passport
and signed the 1-94W each applicant for admission would still be inadmissible
because he or she would have arrived aboard a non-signatory VWP carrier
without a valid visa.

(B) Removals/Deportability. 8 CFR 217.4(b) addresses VWP applicants admitted
and subsequently removed/deported (this does not include those refused at
POEs), and states that removal under this section is equivalent to removal under
section 240. 8 CFR 217.2(b)(2) states that persons previously removed must
apply for permission to reapply pursuant to section 212(a)(9)(A)(iii) of the Act and
must secure a USNIV to be admitted to the U.S. as a nonimmigrant. Therefore,
these applicants would need a USNIV, a possible waiver, and permission to
reapply if attempting to enter prior to the ten (10) year bar under section
212(a)(9)(A)(ii)(I).
(2) Asylum Claims. Aliens who apply for admission under the VWP shall not be
subject to expedited removal regardless of their true and correct nationality. See In
Re Suseenthera Kanagasundram, Interim Dec. 3407, (BIA 1999); 8 CFR §
235.3(b)(1). Until the Service revises Title 8 of the Code of Federal Regulations, a
VWP applicant who indicates an intention to apply for asylum shall be referred to an
immigration judge using Form 1-863. Refer to Chapter 15.7(g)(5), VWP Asylum
Requests and Procedures.
Ensure the Form 1-94W for a refused VWP applicant is completed and signed. If
the alien declines to sign the Form 1-94W, he/she is not considered a VWP
applicant. In that case, follow procedures outlined in Chapter 17.6 or 17.15 as
appropriate, for institution of removal proceedings.
In addition, prepare a
memorandum of facts for institution of fine proceedings against the carrier, as
described in Chapter 43.3.
(3) VWP Refusal Procedures.
•

If the alien has signed the Form 1-94W, open an "A" file and take a sworn
statement on Form 1-877 to establish inadmissibility.
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•

Complete Form 1-275, checking the box for VWP refusal and recording all
information about the alien and the reasons for refusal. If the refusal is based on
a violation of a previous admission under the VWP or the alien is otherwise
inadmissible, forward a copy of the 1-275 to the appropriate Consulate.

•

Endorse the inside of the back cover of the passport with "8 CFR 217.4(a)(1 )",
the "A" file number, date and POE code.

•

Endorse both portions of the Form 1-94W "refused in accordance with INA
section 217"; line stamp or enter the date, POE and the officer's stamp number.
Also note the departure flight information and the reason for refusal (ground(s) of
inadmissibility) in block 13 of the form.

•

Provide the alien a copy of the sworn statement and a copy of the Form 1-94W,
free of reference to any lookout intercept.

•

Prepare and serve Form 1-259, Notice to Detain, Remove or Present Aliens, on
the responsible carrier to remove the alien. Provide the carrier with the alien's
return-trip tickets (if applicable), travel documents and the endorsed departure
portion of the Form 1-94W.

•

Three sets of fingerprints should be collected on Form FD-258 (Blue), or on
Form FD-249 (Red) if the refusal is based on fraud or criminal grounds. If the
Automated Biometric Identification System (IDENT) is used, POEs will adjust this
guidance accordingly. (A discussion of the IDENT program is contained in
Appendix 45-1 of the Special Agent's Field Manual.)

(Revised IN01-21)
•

Prepare a lookout in the National Automated Immigration Lookout System
(NAILS) as described in Chapter 31.5, for the VWP refusal (lookout code VWR)
and include any other lookout codes that may apply to the case. If an INS
lookout already exists, do not create another lookout, and use the same "A" file
number for the alien. Refer to Chapter 31.6, Lookout Intercepts, and follow
procedures accordingly. The officer will essentially be attaching a message via
the NAILS Message Function to the original lookout, providing additional
information from the current intercept to the originator of the lookout.

•

Forward the arrival portion of the Form 1-94W for data entry.

•

Photocopy the cover, data page and any other relevant passport pages, as well
as any other relevant materials. Distribute copies of all these materials to the "A"
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file., consular post having jurisdiction over the alien's permanent residence and
the POE file. Ports are required to maintain records of VWP refusals for 1 year.

(4) VWP Asylum Requests and Procedures. A VWP applicant is not entitled to a
hearing before an immigration judge, but a VWP applicant who seeks asylum must
be referred to an immigration judge for a limited asylum hearing under 8 CFR
208.2(b).
•

Complete the procedures in Chapter 15.7(g)(3) as for any VWP refusal.

•

Complete Form 1-863, Notice of Referral to Immigration Judge, checking Box #3
and the appropriate category within that paragraph, to refer the alien to the judge
for the asylum hearing.

•

The alien may be placed in INS custody pending the asylum hearing, or, if
detention space is not available, the alien may be paroled.

•

Asylum claimants under the VWP are counted statistically as refusals in column
D of the G-22.1 report, and should also be counted on line 121.

(5) Parole and Deferral. A VWP applicant for admission must convince the
examining immigration officer that he or she is clearly and beyond a doubt entitled to
be admitted and is not inadmissible under section 212(a)' of the Act. The deferred
inspection provision contained in 8 CFR 235.2(a) shall not apply to an applicant for
admission under section 217 of the Act, except that the inspection or removal of a
VWP applicant for admission may only be deferred if the alien is paroled for criminal
prosecution or punishment.
There are otherwise no provisions for deferred
inspections. A VWP applicant for admission may only be paroled for "urgent
humanitarian reasons" or a "significant public benefit" on an individual, case-by-case
basis.
(A) Urgent humanitarian paroles should not be granted unless:
•

the alien is arriving for a medical emergency where the alien cannot obtain
the necessary treatment in the foreign state in which the alien is residing or
the medical emergency is life-threatening and there is insufficient time for the
alien to be admitted through the normal visa and admission process;

•

the alien is needed in the United States in order to donate an organ or other
tissue for transplant;

•

the alien is arriving to visit a close family member in the United States who is
critically ill;
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•

the alien is arriving in the United States to attend the funeral of a family
member;

•

the alien is too ill to depart the United States immediately;

•

the alien is placed in 240 removal proceedings pursuant to a challenge
issued under section 235(b)(3) of the Act (only if detention is inappropriate or
unavailable); or

•

the alien is accompanying or following to join a person who arrived in the
United States for any of the purposes listed in paragraphs (A) through (E) of
this paragraph.

(8) Significant public benefit paroles should not be granted unless:
•

the alien's presence is needed to assist the United States Government in a
matter, such as a criminal investigation, espionage investigation, or other
similar law enforcement activity;

•

the alien is paroled into the custody of a Federal, State, or local law
enforcement agency for criminal prosecution or punishment;

•

the alien is paroled to assist in a civil emergency affecting the public health,
safety, or welfare; or
the alien is paroled into the custody of a State or local law enforcement
agency to testify as a material witness in a criminal prosecution.

•

(6) VWP Removal Procedures. Aliens admitted under the VWP program who
remain longer than authorized or otherwise violate their status may be removed from
the U.S. without a hearing before an immigration judge. This applies regardless of
whether the alien admitted under the VWP was originally entitled to admission under
the program or not. For example, if an alien gained admission by falsely claiming to
be a national of a VWP country (including presentation of a counterfeit or impostor
passport from such country), and was later discovered to be here in violation of the
law, he/she would still not be entitled to a section 240 hearing before an IJ.
Inspectors will not normally be involved in these cases, since most are interior
apprehensions, but this may vary by district. When such alien is encountered, the
arresting officer should:
•

Prepare an 1-213;

•

Take a sworn statement (if appropriate);
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•

Issue a letter to the alien notifying him/her that the INS has determined that
he/she violated the conditions of admission under the VWP program and that
he/she is being removed from the U.S., without a hearing before an immigration
judge, in accordance with the provisions of the VWP.

•

Except in cases where the alien entered over the land border, issue Form 1- 288,
notifying the carrier that it is responsible for removing the alien and that it must
make appropriate transportation arrangements; and

•

Prepare Form 1-296 notifying the alien that he/she is precluded from reentering
the U.S. for a period of 10 years (unless the alien has been previously removed
or the alien is an aggravated felon, in which case the relevant greater bar would
apply). The Form 1-296 would be endorsed (including taking the fingerprint and
attaching a photograph) and issued at the time of the alien's actual removal from
the U.S.

•

An INS lookout is created automatically when the case is closed in the
Deportable Alien Control System (DACS), which interfaces nightly with NAILS,
thereby creating the lookout.

•

Although an alien admitted under the VWP program is not entitled to a hearing
before an immigration judge, one who seeks asylum must be referred to an
immigration judge for a limited asylum hearing under 8 CFR 208.2(b). Complete
the procedures above as for any VWP removal, and then use Form 1-863, Notice
of Referral to Immigration Judge, checking Box #3 and the appropriate category
within that paragraph, to refer the alien to the judge for the asylum hearing.

(h) Satisfactory Departure. In accordance with 8 CFR 217.3(a), a district director may,
in emergent circumstances, grant an alien admitted under the VWP program
satisfactory departure for a period of 30 days or less, provided that the request for
satisfactory departure is made during the period of admission and the alien is still in
status at the time of the request. This provision was developed for emergent cases
only, e.g., in situations where aliens become ill and cannot depart the U.S. within their
90-day period of admission. It is not to be used in lieu of processing the aliens under
VWP removal proceedings outlined in Chapter 15.7(g)(6).
(i) Readmission after Departure to Contiguous Territory or Adjacent Islands.
(1) General. Aliens admitted under the VWP may be readmitted to the U.S. after
a departure to foreign contiguous territory or adjacent islands for the balance of
their original admission period, provided they are otherwise admissible and meet
all the conditions of the VWP, with the exception of arrival on a signatory carrier,
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in accordance with 8 CFR 217.3(b). The inspecting officers also have the
discretion to grant the applicants entirely new periods of admission, providing
they are arriving on signatory carriers. The following sections discuss the
criteria, procedures, liability ramifications for the carriers, and define the term
"adjacent islands" for the purposes of the VWP.

(2) Conditions for Readmission. As discussed above, aliens admitted under the
VWP may be readmitted to the U.S. under the VWP after a departure to foreign
contiguous territory or adjacent islands provided that:
•

their authorized period of admission has not expired,

•

they plan to depart the U.S. prior to the expiration date of their period of
admission,

•

they present valid, unexpired passports which reflect admission to the U.S.
under the VWP, and

•

they continue to meet all criteria set forth in 8 CFR 217 and section 217 of the
Act, with the exception of arrival on a signatory carrier.

If the alien still has the original endorsed departure portion of the Form 1-94W,
admit the alien for the balance of his/her original admission period. If the original
endorsed departure portion of the Form 1-94W was lifted, or if the alien is not
o herwise in ossession of it, a new Form 1-94W is required.

If the applicant is no longer in possession of
the endorsed departure portion of the Form 1-94W at a land border POE, he/she
must pay the requisite fee for the new Form 1-94W.
If the alien needs to stay in the U.S. for longer than the original period of
admission, the officer can consider granting another 90-day period of admission,
provided the alien meets the requisite criteria. These cases are considered new
admissions and the officers should follow the applicable procedures provided in
Chapter 15.7(c), Air and Sea POE Arrivals, or Chapter 15.7(d), Land Border
POE Arrivals. Officers should be aware of the potential for fraud in certain cases
of repeated entries, although legitimate cases should be given due
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consideration.
If the original period of admission has already expired, the alien cannot be
considered for readmission and must meet all the requirements for a new
admission into the U.S.
(3) New Admission. Officers must treat those aliens applying for entry after
expiration of the original admission period as applicants for entirely new
admission. Follow the applicable procedures in Chapter 15.7(c), Air and Sea
POE Arrivals, or Chapter 15.7(d), Land Border POE Arrivals, discussed earlier in
this chapter.
(4) Carrier Considerations.

Reentry during the original admission period need
not be on a signatory carrier. Liability of the original carrier, if any, is unaffected
by such brief departures. It is important to note that the original carrier retains
liability ONLY if the applicant is readmitted for the balance of the original VWP
admission. If the applicant is given an entirely new admission period, the new
carrier, if there is one, assumes any liability and is also subject to the signatory
carrier requirements of the VWP.
(5) Definition of Adjacent Islands. The term "adjacent islands" is defined in
section 101(b)(15) of the Act, and for the purposes of the VWP includes:
Anguilla, Antigua, Aruba, Bahamas, Barbados, Barbuda, Bermuda, Bonaire,
British Virgin Islands, Cayman Islands, Cuba, Curacao, Dominica, the Dominican
Republic, Grenada, Guadeloupe, Haiti, Jamaica, Marie-Galante, Martinique,
Miquelon, Montserrat, Saba, Saint-Barthelemy, Saint Christopher, Saint
Eustatius, Saint Kitts- Nevis, Saint Lucia, Saint Maarten, Saint Martin, Saint
Pierre, Saint Vincent and Grenadines, Trinidad and Tobago, Turks and Caicos
Islands, and other British, French and Netherlands territory or possessions
bordering on the Caribbean Sea.

mSpecial Passport Considerations.
(1) General. All VWP document intercepts and related intelligence should be
reported through usual channels to the Headquarters Office of Intelligence (HQINT).
It is particularly important in the case of VWP countries and documents that HQINT
be apprised of any relevant activity. The rightful holders of passports from the
designated VWP countries are eligible for admission under the VWP, provided they
meet all the requirements in Chapter 15.7(b), Documentary Requirements, and are
otherwise admissible. However, certain countries may impose limitations and/or
special restrictions governing the issuance of and eligibility for their passports, which
may affect the VWP.
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(2) United Kingdom Passports. Only British citizens with unrestricted right of abode
in the United Kingdom are eligible for VWP admission. If the national status block
on the data page of the passport is endorsed "British citizen" the holder is eligible for
the program. If the national status block is endorsed "British Subject: Citizen of the
United Kingdom and Colonies," page five must be endorsed "Holder has the right of
abode in the United Kingdom" in order to qualify for the VWP program. If the
notation "British Subject: Citizen of the United Kingdom and Colonies" is crossed
out, page five, or another referenced page must have the endorsement "National
The newer
Status: British citizen" in order to qualify for VWP admission.
machine-readable, burgundy-colored, British passports qualify for VWP admission if
the words "European Community" appear at the top of the cover page and the
nationality on page four is endorsed "British Citizen."

(k) Authority, References and Related Sections. The primary authority for the VWP is
section 217 of the Act and 8 CFR 217. However, there are other related sections in
both the statute and the regulations on affiliated subjects and their impact on the VWP.
Chapter 15.7 is the primary chapter on the VWP in the IFM, incorporating statutory,
regulatory and procedural information. Many of the other related chapters in the IFM
that impact the VWP have been referenced throughout Chapter 15.7. However, the
following list is provided as a supplemental reference:
(1) Chapter 15.1, General Considerations
(2) Chapter 15.2, Passports
(3) Appendix 15-2, Validity of Certain Foreign Passports (6-month list)
(4) Chapter 17.6, Preparing Removal or Prosecution Hearings
(5) Chapter 17.10, Abandonment of Lawful Permanent Residence Status
(6) Chapter 17.13, Inadmissible Aliens, VWP Cases

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(7) Chapter 17.15, Expedited Removal
(8) Chapter 21.9, Alternative Inspections Systems
(9) Chapter 23.3, Inspecting Cargo Vessels
(10) Chapter 31, Service Records, particularly 31.4 (Service Lookout Systems), 31.5
(Posting, Maintaining and Cancellation of Lookouts), and 31.6 (Lookout Intercepts)
(11) Appendix 31-4, Lookout Case Codes
(12) Chapter 42.3, VWP Agreements
(13) Appendix 42-2, VWP Signatory Carrier List
(14) Chapter 43, Fines and Liquidated Damages, particularly 43.2 (Administrative
Fine Violations) and 43.3 (Processing Administrative Fines at POEs)
Contained within the chapters listed above are further references to relevant
sections of the statute and the regulations. Any further information and future
enhancements can be accessed via the search/query option in INSERTS.

15.8

Guam Visa Waiver Program. (Revised INOI-04)

(a) General Description. The Guam Visa Waiver Program (GWVP) is found in Section
212(1) of the Act. It was created by Section 14 of Public Law 99-396 (Aug. 27, 1986).
Regulations pertaining to the Guam Visa Waiver Program are found in 8 CFR 212.1 (e).
The program allows nationals of designated countries to be admitted to Guam for 15
days for business or pleasure with their stay restricted to the Territory of Guam only.
Carriers must sign a separate agreement, Form 1-760, to transport applicants under the
GVWP. The GVWP is also distinguished from the VWP in that a prior violation of the
program does not make one ineligible in the future. Prior to enactment of section 245(i)
of the Act in 1994, adjustment of status was prohibited. Section 245(i) provided for the
adjustment of status of GVWP aliens.
Applicants for admission from a country included in both the GVWP and the VWP will
be inspected under the program determined by the documentation they present.
(b) Documents Required. A GVWP applicant must have a passport valid for 6 months
beyond the period of intended stay, a return-trip ticket, a completed Form 1-736, and a
completed Form 1-94.
(c)

Processing Procedures. Check Form 1-736 and Form 1-94 for completeness and
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make sure Form 1-736 has been signed. If inspection determines the applicant is
admissible, endorse the 1-94 with the proper class of admission: GB for nonimmigrant
visitor for business or GT for nonimmigrant visitor for pleasure. The period of admission
will be for 15 days. Stamp the passport with the appropriate endorsement. Staple
Form 1-94 to the top of Form 1-736 and route to the contractor.

(d) Refusals. Aliens who attempt entry under the GVWP, but are found inadmissible
by the inspecting officer, are removed from the United States without further
administrative hearing unless they seek asylum. The port director or officer- in-charge,
or an officer acting in that capacity, has· the authority to order removal of an applicant
under this provision. Because the inspecting officer's decision is, as a practical matter,
final, you must exercise particular care to ensure removals are handled fairly and
thoroughly documented.
Ensure the Form 1-736 for a refused GVWP applicant is completed and signed. If the
alien declines to sign the 1-736, he or she is not considered a GVWP applicant. In that
case, follow procedures outlined in Chapter 17.6, for institution of removal proceedings.
In addition, prepare a memorandum of facts for institution of fine proceedings against
the carrier, as described in Chapter 43.3.
If the alien has signed the 1-736, open an "A"file, take a sworn statement to establish
inadmissibility, and endorse the passport with the file number, date, and port code.
Endorse both portions of the 1-94 with "refused," the applicable INA section, and line
stamp or enter the date, port, and your stamp number. Enter the reason for refusal in
block 26 of the form. Provide the alien acopy of the sworn statement and a copy of the
1-94, free of reference to any lookout intercept. Prepare and serve Form 1- 259, Notice
to Detain, Remove, or Present Aliens, on the responsible carrier to remove the alien.
Prepare a lookout request as described in Chapter 31.5 Forward the arrival section of
the 1-94 stapled to the top of the Form 1-736 for data entry. Photocopy the cover, data
page, and any other relevant passport pages, as well as any other relevant materials.
Distribute copies of these materials to the A file, consular post having jurisdiction over
the alien's permanent residence and the port- of-entry file. Ports are required to
maintain records of GVWP refusals for one year.
Refusals under the GVWP will be shown in the NilS system as class "GR".
(e) Asylum Requests. For processing GVWP applicants seeking asylum, complete
Form 1-863, Notice of Referral to Immigration Judge, checking Box #3 and typing or
writing "GVWP/applicant" to refer the alien to an immigration judge for an asylum
hearing. The alien should be placed in INS custody pending the asylum hearing, or, if
detention space is not available, the alien may be paroled. Asylum claimants under the
GVWP are counted statistically as refusals in column D of the G-22.1 report, and
should also be counted on line 121."
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15.9
6-04)

Border Crossing Card (BCC) Admissions.

(Revised 11/3/04; CBP

(a) General. Until October 1, 2002, the term "border crossing card" was used to refer to several
different documents.
Section 104 of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996
(1IRIRA), Pub. L. NO.1 04-208, Div. C, 110 Stat. 3009 (September 30, 1996) and subsequent
amendments, [codified as amended at 8 USC 1101 (a)(6) and 8 USC 1101 note] changed the
definition of a border crossing card to require the inclusion of a machine readable biometric
identifier on all border crossing identification cards and further required that any alien who
presents a BCC for admission cannot cross the border unless the biometric identifier on the
card matches the biometric characteristic of the alien. As of October 1, 2002, the DSP-150,
Biometric Border Crossing Card is the only border crossing card that is valid for entry to the
United States.
Until April 1998, a border crossing card issued on Form 1-185 was available to Canadian
citizens or British subjects residing in Canada. Such cards were commonly issued for the
purpose of documenting approval of a waiver of inadmissibility. Form 1-185 annotated with a
section 212(d)(3)(B) waiver may still be accepted as evidence of a waiver of inadmissibility that
is valid until revoked. Form 1-185 is not a travel document and may not be accepted in lieu of a
passport and visa for a resident of Canada who requires a visa.
(b) Admission Procedures. When a border crossing card is used for an admission requiring
Form 1-94, enter the card number in the remarks block on the back of the Form 1-94.
(c) Card Issuance Procedures. Border Crossing Card issuance procedures are discussed in
Chapter 21.5.

15.10 Entry of Nonimmigrant Workers during Labor Disputes.
(a) General. There are specific regulations governing the admission of nonimmigrant alien
workers entering during strikes and lockouts involving their employers. In general, an alien who
has not yet entered the U.S. under an approved 1-129 petition or who has not yet entered as a
D, E, or TN, is inadmissible once the Secretary of Labor has certified to the Attorney General
that a strike is in progress. An alien who has already commenced employment may participate
in a strike (if not engaging in unlawful conduct) without jeopardizing his or her status [Specific
regulations governing admission of nonimmigrants during strikes are contained in relevant
subsections of 8 CFR 214.2].
(b) Labor Disputes Involving NAFTA Nonimmigrants. Article 1603(2) of NAFTA establishes a
safeguard for the domestic labor force in each NAFTA country. This provision permits each
party to NAFTA to refuse issuance of an immigration document to a NAFTA business person
whose temporary entry may affect adversely the settlement of any labor dispute in progress at
the place or intended place of employment, or if temporary entry would affect adversely the

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employment of any person involved in such dispute. This provision may also be invoked with
respect to a NAFTA business person seeking entry as a treaty trader, treaty investor,
intracompany transferee, or professional, whose activities in the U.S. require an employment
authorization. If a petition has already been approved, but the alien has not yet entered the
U.S., or has entered the U.S. but not yet started employment, the approval of the petition may
be revoked [See §214U) of the Act, and 8 CFR 214.2(e), (I), and 214.6].
Only if the Secretary of Labor certifies to or otherwise informs the Commissioner that a strike or
other labor dispute involving a work stoppage of workers is in progress can adverse action
(admission in a NAFTA category or approval of a petition) under this provision be initiated.
After the inspecting official determines if the temporary entry of the applicant may adversely
affect the settlement of any labor dispute or the employment of any person who is involved in
such a dispute, the applicant must be advised in writing of the reason(s) for the refusal. This
can be the routine INS notice of refusal at the port-of-entry.
In addition, written notification must be provided to the NAFTA country of which the business
person is a citizen. The following steps should be taken at the port-of-entry or service center:
Notify Headquarters (HOBEN), Business and Trade Services Branch, in writing (fax to (202)
514-0197) of the refusal. Include the following information:
Name and address, if known, of the business person;
Citizenship of the business person;
Date and place of refusal of document authorizing employment (1-94);
Name and address of prospective employer;
Position to be occupied;
Requested duration of stay;
Reasons for refusal;
Reference specific statutory or regulatory authority for refusal (if applicable); and
Statement indicating that the business person was informed in writing of the
refusal and the reasons for the refusal.
Headquarters will notify the appropriate government officials whose citizen was refused an
employment authorization document pursuant to this NAFTA provision.
Where a principal alien is refused classification under NAFTA, the dependent family members

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are not classifiable as dependents.
(c) Lawful Picketing. An alien residing in contiguous territory who is a member of an
international union having membership on both sides of the border may be admitted to
participate in peaceful, lawful picketing if such picketing is required to fulfil a union obligation.

15.11 Special Interest Aliens.
Special Interest aliens are processed in accordance with the National Security Entry Exit
Registration System (NSEERS). The regulatory authority for the NSEERS program can be
found at 8 CFR 264.1 (t). NSEERS guidelines are set forth in Appendix 15-9.

15.12 Correction of Erroneous Admissions.
a) General. Authority exists in 8 CFR 101.2 to create a record of a previous admission
where none exists or to correct an erroneous record, provided the error was not a result
of deliberate deception or fraud on the part of the alien. Erroneous records include, but
are not limited to:
•
•
•
•

Misspelled name
Incorrect or inverted date-of-birth (DaB)
Visa classification reflecting the incorrect non-immigrant classification as noted on
the non-immigrant visa, as well as, the classification the alien was admitted under.
The B-2 visitors stay was limited without signed supervisory approval recording the
visa expiration date instead of the petition expiration date as the authorized period
of stay.

Jurisdiction for correcting such errors made at the ports-of-entry lies with Customs and
Border Protection (CBP). Therefore, CBP locations are responsible for the review and
issuance of the appropriate documents to correct the error, to include updating the
Non-immigrant Information System (NilS) as outlined below. Since mail-in procedures
are not available, aliens will be allowed to report to the nearest CBP deferred inspection
office or port-of-entry, regardless of where the actual document was issued. In many
instances, the CBP location of the traveler's final destination where the discrepancy will
be resolved may not be the port-of-entry of first arrival.
The procedure described below is not to be used to "correct" an entry without
inspection or attempted entry without inspection of an alien at other than a port-of-entry.
(b) No Record of Admission Was Created. From time to time, you may encounter an
alien who has not been properly inspected and admitted at a port-of-entry, through an
oversight or error on the part of the government. In such a situation, conduct an
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inspection and determine the date, place and manner of arrival.
Prepare a
memorandum of facts for the Director, Field Operations (DFO) having jurisdiction over
the port where the actual entry occurred. If there is no objection from that DFO based
on a finding that the incident occurred through inadvertence and was not a deliberate
act on the part of the alien to avoid inspection, complete the admission, including
preparation of an Form 1-94, as if it occurred in the normal manner. If you determine
that a record of admission should not be created, institute proceedings to remove the
alien. In the interest of efficiency, consultation with the originating DFO may be
handled by facsimile or telephonically.

If the alien involved in such an incident is admitted as a new immigrant, follow the same
procedures, processing the immigrant visa in the normal manner and attaching a copy
of the memorandum of facts to the visa packet prior to forwarding the packet for card
issuance.
If the alien involved is a lawful permanent resident, this procedure is required only if he
or she is regarded as seeking admission within the meaning of section 101 (a)(13)(C) of
the Act.
(c) Where an Incorrect Admission Record Exists, Before completing such action, take
the necessary steps to ensure that neither the original error nor the proposed correction
are deliberate actions designed for fraudulent purposes. For example, a correction on
a year of birth may be part of an attempt to qualify for social security benefits.
(1) Correcting nonimmigrant 1-94 data: Prepare a replacement Form 1-94, Departure
Record by striking out the preprinted admission numbe
In the space
immediately below t~on number, copy the original admission
number clearly u s i n g _
•

Carefully print the original name and date of birth from the original Form 1-94.
NilS matches arrival and departure records by comparing the admission number,
together with the name and date of birth. This is why these values cannot
change from the original Form 1-94.

•

Backdate an admission stamp to the original admission date. Affix the
admission stamp in the appropriate location on the departure portion of the
replacement Form 1-94. Annotate the admission stamp with the corrected class
of admission and / or the corrected date admitted to.

•

The arrival portion of the Forms 1-94 used to create the replacement Form 1-94,
departure record is to remain blank and discarded. The CBP officer with NilS
maintenance authority will update the NilS record.

•

Each DFO has established a NilS Maintenance Unit(s) staffed by CBP officers
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authorized to update specific data fields in NilS, to include but not limited to,
name, date-of birth, admission class, and date admitted to. Refer to local policy
to determine the location of the NilS Maintenance Unit designated to process
your NilS data correction requests and the method for forwarding such requests.
1. CBP locations designated as a NilS Maintenance Unit issuing corrected
Forms 1-94 must update the corresponding NilS record within 72 hours of the
issuance of the corrected Form 1-94 or within 72 hours of the receipt of a
request for a NilS update from a CBP office not designated as a NilS
Maintenance Unit.

2. CBP locations issuing corrected Forms 1-94 that are not designated as a NilS
Maintenance Unit must notify the designated NilS Maintenance Unit of the
correction within 24 hours of the issuance of the corrected Form 1-94. The
NilS Maintenance Unit will update the corresponding NilS record within 72
hours of receipt of the request.
(2) Correcting Form 1-94 Information: To correct information beyond biographical
and admission data, you must administratively "depart" the person from the original,
erroneous admission to close out the erroneous record, and then "readmit" them,
backdated to the original admission date, using correct information. This is required
due to the NilS system design.
(A) Process the initial departure record: To accomplish this, you must obtain the
original departure portion of the Form 1-94, and you must query NilS to
determine the original arrival information. Complete the departure portion of the
original Form 1-94 to reflect that the alien "departed" on the date you make the
correction. The port code is your office code. In place of the carrier and flight or
vessel information, enter "correction." Forward this departure Form 1-94 for data
entry with other Forms 1-94 from your location.
(B) Record a new nonimmigrant admission: You must then record a new
nonimmigrant admission to the NilS containing all the corrected information. To
record the correct information, issue an appropriate version of Form 1-94 to the
alien. Backdate the admission date to the original admission date. Ensure that
all arrival and departure information on the new Form 1-94 is complete, legible,
and matches the information in the nonimmigrant's passport.
Complete
processing of the new Form 1-94 arrival and departure portions according to
Chapter 15.1.

15.13 Nationals of Former Trust Territories. (Revised by CBP 3-04)
(a) General information. In 1986, an agreement between the Republic of the Marshall
Islands (RMI), the Federated States of Micronesia (FSM), and the United States
became effective. The agreement was titled "Compact of Free Association". In 1994, a
separate Compact became effective for the Republic of Palau. The Compacts are
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Public Laws 99-239 and 99-658 respectively. These states are referred to collectively
as "the Compact states". In December 2003, Public Law 108-188 approved the
Compacts of Free Association, as amended, between the United States and the
Federated States of Micronesia and the Republic of the Marshall Islands.
Implementation of the amended compact with the RMI was effective May 1, 2004. The
United States and the FSM exchanged diplomatic notes on June 25, 2004, bringing into
force the amended compact with that country. The compact with Palau is a separate
compact and remains unaffected by P.L. 108-188.

These island nations were the Trust Territories of the United States prior to the
enactment of the Compacts. A citizen of the Trust Territories was not required to have
a nonimmigrant visa if coming directly from the Trust Territories to Guam or Hawaii or
any other part of the United States. If a citizen of the Trust Territory came to the U.S. in
any other manner, he or she was required to have a nonimmigrant visa. A
nonimmigrant F-1 student from a Trust Territory was also granted economic necessity
part- time employment routinely (i.e., upon request only) under a policy stated in the
Operations Instructions. In all other respects a citizen of the Trust Territories was
subject to the same treatment as any alien.
With the implementation of the Compacts of Free Association, and the Compacts, as
amended, the visa requirements for an alien covered by the Compacts changed. Under
the Compacts, he or she is admitted as a nonimmigrant and may establish residence
and be employed in the United States without regard to sections 212(a)(5)(A) and
212(a)(7) of the Act. All the other grounds of inadmissibility and deportability apply.
In general, the provisions of the Compact with the Republic of Palau do not apply to a
naturalized citizen of Palau until such naturalized citizen has resided in Palau for 5
years after naturalization. During the 5-year period, he or she is required to present a
valid passport and nonimmigrant visa when applying for entry to the United States.
Special provisions for the Republic of the Marshall Islands and the Federated States of
Micronesia are discussed below.
An alien who was admitted before the implementation of the Compacts in 1986, and
who was in the U.S. at the time of implementation, is to be granted a change of status
when encountered. That alien should file Form 1-102, Application for Replacement
1-94, without fee, so that a new 1-94 may be issued showing change of status to
CFAlMIS or FSM or PAL as appropriate. Upon filing Form 1-765, without fee, a citizen
of Palau may also be granted work authorization. Both applications should be filed with
the Nebraska Service Center, and may be filed concurrently. A citizen of the RMI or the
FSM does not need to file Form 1-765, as the alien's passport and Form 1-94 showing
status as CFAlMIS or FSM constitute employment authorization.
(b)

Compact of Free Association with the Republic of the Marshall Islands. The
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United States concluded negotiations with the RMI to implement the amended compact,
effective May 1, 2004. Pursuant to the Compact of Free Association between the United
States and the RMI, as amended, any person in the following categories may be admitted to
lawfully engage in employment and establish residence as a nonimmigrant in the United States
and its territories and possessions without regard to section 212(a)(5) (labor certification) or
(7)(8)(i)(l1) (nonimmigrant visa requirement) of the Immigration and Nationality Act (INA):
(1) A person who, on October 21, 1986, was a citizen of the Trust Territory of the
Pacific Islands, as defined in Title 53 of the Trust Territory Code in force on January
1,1979, and has become and remains a citizen of the RMI;
(2) A person who acquires the citizenship of the RMI at birth, on or after the effective
date of the Constitution of the RMI (May 1, 1979);
(3) An immediate relative of a person referred to in paragraphs (1) or (2), provided
that:

(A)
Such immediate relative is a naturalized citizen of the RMI who has been
an actual resident there for not less than 5 years after attaining such
naturalization and who holds a certificate of actual residence, and;

(8)
In the case of a spouse, such spouse has been married to the person
referred to in paragraph (1) or (2) for at least 5 years, and;
(C)
The U.S. Government is satisfied that such naturalized citizen did not
obtain his or her citizenship in order to obtain the right to enter without a visa and
establish residence in the United States under the Compact.
(4) A naturalized citizen of the RMI who was an actual resident there for not less
than 5 years after attaining such naturalization and who satisfied these requirements
as of April 30, 2003, who continues to be an actual resident and holds a certi'flcate
of actual residence, and whose name is included in a list furnished by the
Government of the RMI to the Government of the United States, provided, that the
United States is satisfied that such naturalized citizen did not obtain his or her
citizenship in order to obtain the right to enter without a visa and establish residence
in the United States under the Compact (the attached list should be safeguarded
from general public dissemination); or
(5) An immediate relative of a citizen of the RMI, regardless of the immediate
relative's country of citizenship or period of residence in the RMI, if the citizen of the
RMI is serving on active duty in any branch of the United States Armed Forces, or in
the active reserves.

For purposes of the Compact, terms are de'flned as follows:
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•

'Residence' means the person's principal, actual dwelling place in fact,
without regard to intent, as provided in section 101 (a)(33) of the INA, and
variations of the term 'residence,' including 'resident' and 'reside,' shall be
similarly construed;

•

'Actual residence' means physical presence in the RMI during 85 percent of
the 5-year period of residency required by paragraphs (3) and (4) above;

•

'Certificate of actual residence' means a certificate issued to a naturalized
citizen by the Government of the RMI stating that the citizen has complied
with the actual residence requirement of paragraphs (3) or (4);

•

'Nonimmigrant' means an alien who is not an 'immigrant' as defined in
section 101 (a)(15) of the INA, and;

•

'Immediate relative' means a spouse, or unmarried son or unmarried
daughter less than 21 years of age.

Individuals qualifying under one of the above provisions must be in possession of a
valid, unexpired passport but are exempt the nonimmigrant visa requirement. Upon
inspection, these aliens are issued a Form 1-94 with the classification CFAlMIS, without
a period of admission. Although these aliens are admitted as nonimmigrants, there is
no limitation on the period of time that such alien may reside in the United States.
No person who has been or is granted citizenship in the RMI, or has been or is issued a RMI
passport pursuant to any investment, passport sale, or similar program is eligible for admission
to the United States under the Compact, as amended. The rights of a bona fide naturalized
citizen of the RMI to enter the United States, to lawfully work, and to reside as a
nonimmigrant do not extend to any naturalized citizen who naturalized primarily to
obtain such rights.
A person admitted to the United States under the Compact may accept employment in
the United States. An unexpired RMI passport with unexpired documentation issued by
the U.S. Government evidencing admission under the Compact is considered to be
documentation establishing identity and employment authorization under section
274A(b)(1 )(8) of the INA.
The provisions of the INA apply to any person admitted or seeking admission to the
United States (other than a United States possession or territory where the INA does
not apply) under the Compact, including:
•

Any ground of inadmissibility or deportability (except sections 212(a)(5) and
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212(a)(7)(B)(i)(lI) of the INA). In addition, an alien admitted under the Compact
may be found deportable under section 237(a)(5) of the INA if the alien cannot
show that he or she has sufficient means of support in the United States.
•

The authority under section 214(a)(1) of the INA providing that admission as a
nonimmigrant shall be for such time and under such conditions as may be by
regulations prescribed (no regulations have yet been published);

•

The requirement for establishing eligibility for employment under section 274A of
the INA;

•

The provisions of 8 CFR 214.7 regarding habitual residence; and

•

The authority to administer and enforce the INA or other U.S. law.

Residence in the United States pursuant to the Compact does not confer on a citizen of
the RMI the right to establish the residence necessary for naturalization, or to petition
for benefits for alien relatives under the INA. This does not prevent a citizen of the RMI
from otherwise acquiring such rights or lawful permanent resident alien status in the
United States.
Any person who relinquishes, or otherwise loses his or her RMI citizenship, is ineligible to enter
the United States under the provisions of the Compact. Such person may apply for admission
to the United States in accordance with any other applicable laws of the United States relating
to immigration of aliens from other countries.

Adoption Under the RMI Compact
A person who is coming to the United States pursuant to an adoption outside the United
States, or for the purpose of adoption in the United States, is ineligible for admission
under the Compact, as amended. This applies to any person who is or was an applicant
for admission to the United States on or after March 1, 2003, including any applicant for
admission in removal proceedings (including appellate proceedings) on or after March
1,2003, regardless of the date such proceedings were commenced. This provision has
no effect on the ability of the U.S. Government or any State of the United States or local
government to commence or otherwise take any action against any person or entity
who has violated any law relating to the adoption of any person.
DHS has interpreted this provision to include individuals coming to the United States for
the purpose of giving up a child for adoption (whether or not that child has yet been
born), as well as children coming for the purpose of being adopted.
RMI Compact and Service in Armed Forces of the United States
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Any person entitled to travel to the United States under the provisions of the Compact is
eligible to volunteer for service in the Armed Forces of the United States, but is not
subject to involuntary induction into military service as long as he or she has resided in
the United States less than one year. Time engaged in full-time study does not count
towards this one year. An immediate relative of a citizen of the RMI, if not himself a
citizen of the RMI, will be subject to the selective service laws.
The Compact provides that at anyone time, at least one qualified student, nominated
by the Government of the RMI, shall be enrolled in each of the United States Coast
Guard Academy and the United States Merchant Marine Academy.
Furthermore, the provisions of the Compacts do not apply to a naturalized citizen of one
of the Compact states until such naturalized citizen has resided in the Compact state
for 5 years after naturalization. During the 5-year period he or she is required to
present a valid passport and nonimmigrant visa when applying for entry to the United
States.
With this exception, because a citizen of one of the Compact states is not subject to
inadmissibility under section 212(a)(7) of the Act, he or she is not required to be in
possession of a valid passport when applying for admission. However, he or she is
required to establish Compact state citizenship and may do so through a number of
means, including presentation of an expired passport issued by his or her Compact
state, presentation of an expired or unexpired passport issued by the former Trust
Territory authority, or presentation of any other documentation which establishes such
citizenship. This is true regardless of the location where he or she embarked the
aircraft or vessel on which he or she arrived.
(c) Compact of Free Association with the Federated States of Micronesia.
The United States and the FSM exchanged diplomatic notes on June 25, 2004, bringing
into force the amended compact with that country. Pursuant to the Compact of Free
Association between the United States and the FSM, as amended, any person in the
following categories may be admitted to lawfully engage in employment and establish
residence as a nonimmigrant in the United States and its territories and possessions
without regard to section 212(a)(5) (labor certification) or (7)(B)(i)(lI) (nonimmigrant visa
requirement) of the Immigration and Nationality Act (INA):
(1) A person who, on November 1, 1986, was a citizen of the Trust Territory of the
Pacific Islands, as defined in Title 53 of the Trust Territory Code in force on January
1, 1979, and has become and remains a citizen of the FSM;
(2) A person who acquires the citizenship of the FSM at birth, on or after the
effective date of the Constitution of the FSM (May 10, 1979);

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(3) An immediate relative of a person referred to in paragraphs (1) or (2), provided
that:
(a) Such immediate relative is a naturalized citizen of the FSM who has been an
actual resident there for not less than 5 years after attaining such
naturalization and who holds a certificate of actual residence, and
(b) In the case of a spouse, such spouse has been married to the person
referred to in paragraph (1) or (2) for at least 5 years, and;
(c) The U.S. Government is satisfied that such naturalized citizen did not obtain
his or her citizenship in order to obtain the right to enter without a visa and
establish residence in the United States under the Compact.
(4) A naturalized citizen of the FSM who was an actual resident there for not less
than 5 years after attaining such naturalization and who satisfied these
requirements as of April 30, 2003, who continues to be an actual resident and
holds a certificate of actual residence, and whose name is included in a list
furnished by the Government of the FSM to the Government of the United
States, provided, that the United States is satisfied that such naturalized citizen
did not obtain his or her citizenship in order to obtain the right to enter without a
visa and establish residence in the United States under the Compact (the
attached list should be safeguarded from general public dissemination); or
(5) An immediate relative of a citizen of the FSM, regardless of the immediate
relative's country of citizenship or period of residence in the FSM, if the citizen of
the FSM is serving on active dUty in any branch of the United States Armed
Forces, or in the active reserves.
For purposes of the Compact, terms are defined as follows:
•

•
•

•
•

"Residence" means the person's principal, actual dwelling place in fact, without
regard to intent, as provided in section 101 (a)(33) of the INA, and variations of
the term "residence," including "resident" and "reside," shall be similarly
construed;
"Actual residence" means physical presence in the FSM during 85 percent of the
5-year period of residency required by paragraphs (3) and (4) above;
"Certificate of actual residence" means a certificate issued to a naturalized
citizen by the Government of the FSM stating that the citizen has complied with
the actual residence requirement of paragraphs (3) or (4);
"Nonimmigrant" means an alien who is not an "immigrant" as defined in section
101 (a)(15) of the INA;
"Immediate relative" means a spouse, or unmarried son or unmarried daughter
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less than 21 years of age.
Individuals qualifying under one of the above provisions must be in possession of a
valid, unexpired passport but are exempt the nonimmigrant visa requirement. Upon
inspection, these aliens are issued a Form 1-94 with the classification of "CFAlFSM",
without a period of admission. Although these aliens are admitted as nonimmigrants,
there is no limitation on the period of time that such aliens may reside in the United
States.
No person who has been or is granted citizenship in the FSM, or has been or is issued
a FSM passport pursuant to any investment, passport sale, or similar program is eligible
for admission to the United States under the Compact, as amended. The rights of a
bona fide naturalized citizen of the FSM to enter the United States, to lawfully work, and
to reside as a nonimmigrant do not extend to any naturalized citizen who naturalized
primarily to obtain such rights.
A person admitted to the United States under the Compact may accept employment in
the United States. An unexpired FSM passport with unexpired documentation issued
by the U.S. Government evidencing admission under the Compact is considered to be
documentation establishing identity and employment authorization under section
274A(b)(1)(B) of the INA.
The provisions of the INA apply to any person admitted or seeking admission to the
United States (other than a United States possession or territory where the INA does
not apply) under the Compact, including:
•

•

•
•
•

Any ground of inadmissibility or deportability (except sections 212(a)(5) and
212(a)(7)(B)(i)(II) of the INA). In addition, an alien admitted under the Compact
may be found deportable under section 237(a)(5) of the INA if the alien cannot
show that he or she has sufficient means of support in the United States.
The authority under section 214(a)(1) of the INA providing that admission as a
nonimmigrant shall be for such time and under such conditions as may be by
regulations prescribed (no regulations have yet been published);
The requirement for establishing eligibility for employment under section 274A of
the INA;
The provisions of 8 CFR 214.7 regarding habitual residence; and
The authority to administer and enforce the INA or other U.S. law.

Residence in the United States pursuant to the Compact does not confer on a citizen of
the FSM the right to establish the residence necessary for naturalization, or to petition
for benefits for alien relatives under the INA. This does not prevent a citizen of the FSM
from otherwise acquiring such rights or lawful permanent resident status in the United
States.
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Any person who relinquishes, or otherwise loses his or her FSM citizenship, is ineligible
to enter the United States under the provisions of the Compact. Such person may
apply for admission to the United States in accordance with any other applicable laws of
the United States relating to immigration of aliens from other countries.

Adoption
A person who is coming to the United States pursuant to an adoption outside the United
States, or for the purpose of adoption in the United States, is ineligible for admission
under the Compact, as amended. This applies to any person who is or was an
applicant for admission to the United States on or after March 1, 2003, including any
applicant for aqmission in removal proceedings (including appellate proceedings) on or
after March 1,2003, regardless of the date such proceedings were commenced. This
provision has no effect on the ability of the U.S. Government or any State of the United
States or local government to commence or otherwise take any action against any
person or entity who has violated any law relating to the adoption of any person.
DHS has interpreted this provision to include individuals coming to the United States for
the purpose of giving up a child for adoption (whether or not that child has yet been
born), as well as children coming for the purpose of being adopted.

Service in Armed Forces of the United States
Any person entitled to travel to the United States under the provisions of the Compact is
eligible to volunteer for service in the Armed Forces of the United States, but is not
subject to involuntary induction into military service as long as he or she has resided in
the United States less than one year. Time engaged in full-time study does not count
toward the year. An immediate relative of a citizen of the FSM, if not himself a citizen of
the FSM, will be subject to the selective service laws.
The Compact provides that, at anyone time, at least one qualified student, nominated
by the Government of the FSM, shall be enrolled in each of the United States Coast
Guard Academy and the United States Merchant Marine Academy.
(d) Geographic description. The Republic of the Marshall Islands is composed of 1,225
islands grouped in 29 atolls, 5 low islands, and 870 reefs. There are two principal
chains: the Ralik Chain and Ratak Chain.
•

The Ralik Chain islands are: Taongi, Bikar, Utirik, Taka, Mejit, Ailuk, Jemo,
Likiep, Wotje, Erikub, Maloelap, Aur, Majuro (the capital), Arno, and Mili/Knox.

•

The Ratak Chain islands are: Enewetak, Ujelang, Bikini, Rongerik, Rongelap,
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Ailinginae, Wotho, Ujae, Lae, Kwajalein, Lib, Namu, Jabwot, Ailinglaplap, Jaluit,
Kili, Namorik, and Ebon.
•

•

The Federated States of Micronesia is composed of all the Caroline Islands
except for Palau (Belau). There are four states within the Federated States. The
States with their islands are as follows:
o

State of Kosrae: Kosrae;

o

State of Pohnpei: Ant, Kapingamarangi, Mokil, Ngatik, Nukuoro, Oroluk,
Pakin, Pingelap, and Pohnpei (the capital);

o

State of Chuuk (formerly Truk): Chuuk (Truk), East Fayu, Ettal, Kuop,
Losap, Lukunor, Murilo, Nama, Namoluk, Namonuito, Nomwin, Pulap,
Puluwat, Pulusuk, and Satawan; and

o

State of Yap: Eauripik, Elato, Fais, Faraulep, Garefut, Ifalik, lamotrek,
Ngulu, Olimarao, Pikelot, Satawal, Sorol, Ulithi, West Fayu, Woleai, and
Yap.

The Republic of Palau (Belau) is composed of one island group and other
isolated islands. The capital is Koror. There are nine inhabited islands. These
are: Koror, Babeldaop, Peleliu, Angaur, Kayangel, Tobi, Pulo Anna, Sonsorol,
and Helen Reef.

15.14 Hong Kong Travel Documents.
(a) General. On July 1, 1997, Hong Kong reverted to the control of the People's Republic of
China. A separate administrative region, referred to as the Hong Kong Special Administrative
Region (HKSAR) was established. Permanent residents of the HKSAR may carry various travel
documents. Hong Kong residents may present one of several documents which meet the
definition of passport under section 101 (a)(30) of the Act, and are valid for visa-issuing
purposes. British Dependent Territories Citizen passport (BDTC) ceased to be valid as of July
1, 1997, and is no longer be acceptable as a travel document. The following four documents
are acceptable travel documents for Hong Kong residents:
(1) HKSAR passport. After July 1, 1997, permanent residents of Hong Kong who are
ethnically Chinese can qualify for the new HKSAR passport. This document lists the bearer
as a Chinese national with the right to abode in the HKSAR.
(2) British National(Overseas) [BN(O)] passport. This passport identifies the bearer's
nationality as "British National (Overseas)." It is issued to permanent residents of Hong
Kong whom British authorities consider British nationals without the right to abode in the

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United Kingdom. Although a British travel document, the BN(O) does not confer the same
rights as a regular United Kingdom passport. For example, BN(O) bearers do not have the
right to live in Great Britain nor are they eligible for the Visa Waiver Program (VWP).
(3) Hong Kong Certificate of Identity. This document has been issued to permanent
residents of Hong Kong (of at least seven years) who were not born there, or who lack proof
of birth in Hong Kong. These documents will not be issued or renewed after July 1, 1997,
but will continue to be valid through their original ten-year validity. They will be replaced by
the HKSAR passport.
(4) Hong Kong Document of Identity. This document has been and will continue to be
issued to persons legally residing in Hong Kong for less than the seven years necessary to
have full right of abode, and who cannot obtain a national passport. The document of
identity is valid for return to Hong Kong at any time during its validity, even without an
explicit re-entry visa into the HKSAR.
(b) Visas. Machine readable visas issued in the HKSAR, Hong Kong certificate of identity, or
Hong Kong document of identity will have "HNK" in the nationality field. The BN(O) passport
will have "HOKO" in the nationality field.

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15.15 Cancellation of nonimmigrant visas under section 222(g) of the Act.
(Revised INOO-14)
(a) Section 222(9) Defined. An alien who was admitted to the United States on a nonimmigrant
visa and who remained beyond the period of stay authorized by the Attorney General is subject
to section 222(g) of the Act. The nonimmigrant visa becomes void at the conclusion of the
authorized stay, unless the alien filed an application for extension of stay (E/S) or change of
status (CIS) that would otherwise fall within the tolling provisions under section 212(a)(9)(B)(iv)
of the Act or be deemed a period of stay authorized by the Attorney General. See paragraph
(e) of this chapter. When the alien is subject to section 222(g) of the Act, the nonimmigrant
visa becomes automatically void, and the alien may not be admitted to the United States,
unless he or she obtains or has already obtained another visa in the country of his or her
nationality. Consular officers and immigration officers who encounter aliens in possession of
nonimmigrant visas that have become automatically void must physically cancel those visas.
Aliens subject to section 222(g) may obtain a new visa in a third country only when the
Department of State (DOS) finds extraordinary circumstances. Section 222(g)(2)(B) of the Act.
Aliens arriving at a POE with a visa that has become automatically void under section 222(g)
may apply for a waiver under section 212(d)(4) of the Act in limited circumstances. See
paragraph (k) of this chapter. Aliens who present upon arrival at the POE a nonimmigrant visa
that is automatically void under section 222(g), and who are not eligible for a waiver under
section 212(d)(4) of the Act, are subject to expedited removal under section 235(b)(1) of the
Act. In some cases, it may be appropriate to allow them to withdraw their application for
admission, rather than to issue an expedited removal order. See paragraph (I) of this chapter
and chapter 17.2.
(b) Effective date. Section 222(g) of the Act became effective on the date of enactment,
September 30, 1996, and applies to any alien seeking admission on or after that date. The
statute voids visas issued before, on, or after the date of enactment.
For example, an alien
who was issued a B-2 visa in 1994, valid indefinitely for multiple entries, who was admitted to
the United States shortly thereafter for six months, and who remained in the United States
beyond the 1-94 expiration date is subject to section 222(g) if he or she seeks to be admitted
with that visa on or after September 30, 1996.
In addition, any future application for a
nonimmigrant visa must be made in the country of the alien's nationality or last residence
abroad, unless the alien is granted an exception under section 222(g)(2)(B) of the Act. We note
that section 632(b)(2) of IIRIRA provides a limited exception in cases where the alien
overstayed prior to September 30, 1996, was issued another nonimmigrant visa before that
date, and has not, during any admission to the United States pursuant to that second visa,
remained beyond the period of stay authorized by the Attorney General. The alien may
continue using that visa, as appropriate; however, when that visa expires, any subsequent
nonimmigrant visa applications must be made in the country of the alien's nationality or last
residence abroad, unless an exception is granted under section 222(g)(2)(B) of the Act.
(c) General Applicability. Section 222(g) of the Act applies to aliens who were "... admitted
on the basis of a nonimmigrant visa ...." (Emphasis added.) Section 222(g) does not apply
to:

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(1) Aliens not admitted on the basis of a nonimmigrant visa.
(A) Aliens who enter the United States without inspection;
(B) Aliens who remain in the United States beyond the period of parole authorization;
(C) Aliens who were admitted with an 1-185 or 1-586, Canadian or Mexican Border
Crossing Card (BCC) and remain in the United States beyond the authorized period of
admission. (Note: Aliens admitted with a combination B-1/B-2 NIV/BCC issued by
DOS are subject to section 222(g) of the Act if they remain in the United States beyond
the authorized admission, including those who were not issued a Form 1-94. However,
the overstay should be documented through a sworn statement or other credible
evidence.)
(D) Aliens who are exempt from the nonimmigrant visa requirements under 8 CFR
212.1 (c), (c-1), (c-2), (d), (e), (f), (i), and U) and admitted without a nonimmigrant visa; or
(E) Aliens who remain in the United States beyond the period of admission authorized
under the Visa Waiver Program (VWP) under section 217 of the Act, or under the Guam
Visa Waiver Program under 8 CFR 212.1(e).
(2) Certain other aliens not subject to section 222(g).
(A)
Aliens who were granted Temporary Protected Status (TPS) before their
nonimmigrant stay expired; and
(B) Aliens who violated their status in some way other than remaining beyond the period
of stay authorized by the Attorney General.
(d)
Applicability to Foreign Government Officials and Representatives of International
Organizations. DOS has determined that foreign government officials and representatives of
international organizations applying for A-1 ,A-2, C-2, C-3, G-1, G-2, G-3, or G-4 visas or for
visas under NATO-1 through NATO-6, to transact official business on behalf of the foreign
government or international organization they represent, are not subject to section 222(g) of
the Act. DOS based this determination on sections 102 and 212(d)(8) of the Act. See also 22
CFR 41.21 (d). In addition, an alien who was previously admitted to the United States on a
nonimmigrant visa until a date certain, who remained in the United States beyond the period
authorized by the Attorney General, and who then applies in a third country for one of the
nonimmigrant visas listed in this paragraph in hislher capacity as a foreign government official
or a representative of an international organization, is not subject to section 222(g) of the Act.
(e) Meaning of Period of Stay Authorized by the Attorney General. (1) Single interpretation for
sections 222(g) and 212(a)(9)(B) and (C) of the Act. In agreement and coordination with DOS,
a single interpretation of "period of stay authorized by the Attorney General" shall be applied to
sections 222(g) (relating to the automatic voidance of the alien's nonimmigrant visa) and

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212(a)(9)(B) and (C) of the Act (relating to unlawful presence). The basic underlying principle
of the interpretation of "remain in the United States beyond the period of stay authorized by the
Attorney General" that sections 212(a)(9)(B) and 222(g) have in common is that the alien was
an overstay or was actually found to have violated his or her status, resulting in termination of
the period of stay authorized by the Attorney General.
The treatment of nonimmigrants under section
(2) Treatment of nonimmigrants.
212(a)(9)(B) and 222(g) of the Act depends on whether they were admitted until a specific
date, or whether they were admitted for duration of status (DIS).
(A) Nonimmigrant Admitted until a Specific Date. Nonimmigrants who were admitted
until a specific date are sUbject to section 222(g) when they remain in the United States
after the date noted on their Form 1-94. They are subject to section 222(g) before the
1-94 expiration date only if there is a formal finding of a status violation resulting in
termination of the alien's period of stay authorized by the Attorney General. The Service
may make such a formal finding while adjudicating the alien's request for an immigration
benefit, such as extension of stay (E/S), change of status (CIS), or reinstatement. The
formal finding of a status violation resulting in the termination of the alien's period of stay
authorized by the Attorney General may also be made by an immigration judge in the
course of removal proceedings.
(B) Nonimmigrant Admitted DIS. Nonimmigrants who were admitted DIS are subject to
section 222(g) only when there is a formal finding of a status violation by the Service or
by an immigration judge, resulting in the termination of the period of stay authorized by
the Attorney General.
(C) Nonimmigrant Whose E/S or CIS Application Is Approved Nunc Pro Tunc. Aliens
who filed a late E/S application under 8 CFR 214.1(c)(4), or a late CIS application under
8 CFR 248.1 (b) that was approved retroactive to the date the previously authorized stay
expired are not subject to section 222(g).
(D) Date Certain Nonimmigrants with Timely Filed E/S and CIS Applications. Section
212(a)(9)(B)(ii) of the Act provides that an alien is unlawfully present if he or she is
present in the United States without admission or parole or beyond the period of stay
authorized by the Attorney General. Section 212(a)(9)(B)(iv) of the Act, however, is a
tolling provision that covers certain nonimmigrants. Specifically, if the alien has timely
filed a nonfrivolous application for E/S or CIS, the first 120 days of unlawful presence
are not counted towards the 3-year bar under section 212(a)(9)(B)(i)(I) of the Act. The
Service has designated as a period of stay authorized by the Attorney General the entire
time during which a timely filed, non-frivolous application for E/S or CIS is pending,
provided the alien meets the requirements set forth below:
• The E/S or CIS application must have been timely filed, as required under 8 CFR
§ 214.1(c)(4) or 8 CFR § 248.1(b), respectively. The application is timely filed if it is
submitted before the previously authorized admission expires, as provided under 8
CFR § 214.2, as applicable to the nonimmigrant class under which the alien was

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admitted. This requirement maybe established by submitting evidence of the date
the previously authorized stay expired, together with a copy of a dated filing receipt,
a canceled check payable to the Service for the E/S or CIS application, or other
credible evidence of a timely filing.
• The E/S or CIS application must be nonfrivolous. The application must have an
arguable basis in law or fact and must not have been filed for an improper purpose.
When applying for a visa at a consular post abroad, the applicant may be required to
satisfy additional criteria, as provided in section (g)(1) of this chapter; and
• The alien must not have worked without authorization before the E/S or CIS
application was filed or while it was pending. Service and consular officers may take
a sworn statement from the alien to this effect. Aliens who make misrepresentations
to satisfy this requirement become subject to section 212(a)(6)(C)(i) of the Act
relating to fraud and willful misrepresentation of a material fact.
Aliens who meet these requirements are not subject to section 222(g).
chapter 30.1 (d) of the AFM.

See also

(f) Aliens in Possession of More than One Nonimmigrant Visa. When an alien is in possession
of more than one nonimmigrant visa, the nonimmigrant visa under which the alien was admitted
and overstayed becomes automatically void and must be canceled. The alien may be
readmitted to the United States only on a visa issued in his or her country of nationality, unless
an extraordinary circumstances exception is granted under section 222(g)(2)(8) of the Act.
While the other nonimmigrant visa does not become automatically void, it may not be used for
admission if it was not issued in the alien's country of nationality. Therefore, if the other
nonimmigrant visa was not issued in the country of the alien's nationality, it must also be
canceled.

(g) Effect on 222(g) of Departure During Pending E/S or CIS Application.
(1) Aliens Admitted until a Specific Date. Nonimmigrants admitted to the United States until
a specific date who apply for E/S or CIS but who then leave the United States after the 1-94
expires and before a decision on the application has been issued are not subject to section
222(g) of the Act if they can establish, to the satisfaction of the consular officer (if applying
for a nonimmigrant visa), or to the satisfaction of the inspecting officer (if applying for
admission at a POE) that they were in a period of stay authorized by the Attorney General
prior to departure. The application must be timely, non-frivolous, and the alien must not
have engaged in unauthorized employment, as provided in chapter 15.15(e)(2)(D). When
these requirements have been met, the alien's nonimmigrant visa should not be canceled.
(2) Aliens Admitted DIS. Nonimmigrants admitted DIS who leave the United States while
the E/S or CIS application is pending are not subject to section 222(g) of the Act, if no
status violation was found that would have resulted in the termination of the period of stay
authorized by the Attorney General. In addition, DIS nonimmigrants whose CIS or E/S
applications were denied for reasons other than a status violation are not subject to section

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222(g) of the Act.
(h) Effect of Voluntary Departure on section 222(g).
An alien who has complied with an order
of voluntary departure is not subject to section 222(g), if:
•

There was no gap between the date the prior period of authorized stay lapsed and the
date that voluntary departure was granted; and

•

The voluntary departure was not issued in conjunction with the finding of a status
violation.

(i) Cancellation of Automatically Voided Combination Nonimmigrant Visa/Border Crossing

Cards. The combination B-1/B-2 NIV/BCCs, large format laminated cards issued by DOS
consular officers, are subject to section 222(g) of the Act and become automatically void when
the alien remains in the United States beyond the authorized admission date. Combination
B-1/B-2 NIV/BCCs that have become automatically void under section 222(g) must be
physically cancelled according to the instructions in Chapter 15.15(1). These documents must
be distinguished from border crossing cards, DSP-150, as defined in section 101 (a)(6) of the
Act, which are not nonimmigrant visas per se, and do not become automatically void under
section 222(g) of the Act when the alien remains in the United States beyond the period of stay
authorized by the Attorney General.
(Revised 11/3/04; CBP 6-04)
U) Extraordinary Circumstances Exceptions for Third-Country Nonimmigrant Visa Applicants
Outside of the United States.

(1)
Blanket Extraordinarv Circumstances Exceptions.
DOS will grant a "blanket"
extraordinary circumstances exception under section 222(g)(2)(B) of the Act, if the alien
meets certain pre-established requirements. DOS has determined that the following
classes of aliens are eligible for the blanket extraordinary circumstances exception:
(A) [reserved]
(B) Aliens with a Residence in a Third Country. Aliens whose current foreign residence,
as defined in 9 FAM 42.61, N.1, is in a country other than the country of their nationality,
and who apply for a visa in that third country (the country of residence) after having
remained in the United States beyond the period of stay authorized by the Attorney
General are considered by DOS to qualify for a blanket extraordinary circumstances
exception under section 222(g)(2)(B) of the Act in conjunction with their nonimmigrant
visa application in that country.
(C) Foreign Medical Graduates. Certain foreign medical graduates (FMGs) who
received a waiver of the 2-year foreign residence requirement under section 212(e) of
the Act may seek the blanket exception under section 222(g)(2)(B) of the Act based on
extraordinary circumstances. To qualify for the blanket exception, the waiver must have
been based on a request by an interested U.S. Government agency or a State

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Department of Public Health. In addition, the FMG must be applying for an H-1 B visa to
fulfill the 3-year obligation to work in a medically underserved area, as required under
section 214(1) of the Act. DOS has also determined that the FMG must have filed the
H-1 B petition with INS, or initiated the waiver request with the interested Federal agency
or State Department of Public Health before his or her J-1 status expired (or in the case
of a J-2 dependent applying for an H-4 visa, before the principal J-1's status expired).
Because J-1 exchange visitors (and their dependents) are now routinely admitted DIS,
they will not be subject to section 222(g) in any event, unless the Service or an
immigration judge finds a status violation. This blanket DOS exception is, for all
practical purposes, only of importance to those FMGs who were admitted until a specific
date as opposed to DIS.
(2)
Individual Exceptions. Aliens who are not eligible for the blanket 222(g)(2)(B)
extraordinary circumstances exception may seek the exception on a case-by-case basis,
and at the discretion of the consular officer.
(3) Action by DOS When Section 222(9)(2)(B) Exception Is Granted. When DOS issues a
nonimmigrant visa to a third country applicant based on the extraordinary circumstances
exception in section 222(g)(2)(B) of the Act (blanket or individual exception), the new visa is
annotated "INA section 222(g) overcome under extraordinary circumstances." This means
the consular officer determined that section 222(g) of the Act was overcome, and that the
alien was allowed to apply for the NIV in a third country.
(4) Action by DOS When a Section 222(g)(2)(B) Exception Is Denied. When an alien
subject to section 222(g) files a nonimmigrant visa application in a third country, and that
application is denied, DOS will place a notation in the CLASS lookout system under code
"222." The notation "222" means the applicant was instructed to obtain a visa at a consular
office located in the country of his or her nationality.
(k) Cancellation of Automatically Voided Nonimmigrant Visas and section 212(d)(4)
Waivers at the POE. When the inspecting officer encounters an alien whose nonimmigrant
visa has become automatically void under section 222(g) of the Act, the visa must be
physically canceled. The inspector should write or stamp the word "canceled" across the
face of the visa and endorse the passport next to the canceled visa "Canceled pursuant to
section 222(g) of the INA" After the nonimmigrant visa has been canceled according to
these procedures, the inspecting officer may consider a waiver under section 212(d)(4)(A)
of the Act according to the procedures described in section (d) of Chapter 17.5.
(I) Withdrawal of Application for Admission. Aliens who are inadmissible because their NIV has
been canceled under section 222(g)(1) of the Act may be offered the opportunity to voluntarily
withdraw their application for admission, unless there are other related underlying reasons for
proceeding with expedited removal, such as long-term or repeated overstays, or other
egregious immigration violations. See 8 CFR 235.4 and Chapter 17.2. When an alien is
permitted to voluntarily withdraw his or her application for admission, the following steps should
be taken:

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(1) Serve the alien with Form 1-275, Withdrawal of Application/Consular Notification.
(2) Have the alien sign the form to acknowledge the request to voluntarily withdraw the
application for admission. Because of the need to properly inform DOS of the cancellation
and to effectively eliminate port- and consulate-shopping by those in violation of section
222(g) of the Act, do not substitute Form 1-180, Notice of Voidance of Form 1-186 or Denial
of Form 1-190, or any other form.
(3) When completing the 1-275, write either "NIV/BCC" or the visa classification followed by
the alien's alien registration number or visa number in the block for Visa number, type. In
the Reasons block, include:
•
A statement that the NIV or combination B-1/B-2 Nonimmigrant Visa and
BCC was canceled in accordance with section 222(g) of the Act; and
•
The specific evidence found to verify that the subject remained beyond the
period of stay authorized by the Attorney General.
(m) Recording of Canceled Visas. Record each NIV or combination B-1/B-2 Nonimmigrant
Visa and BCC canceled per section 222(g) of the Act in the Performance Analysis System
(PAS) on line #49, Nonimmigrant Visas, G-22.1.

15.16 Student and Exchange Visitor (SEVIS) Processing. (Amended by CBP
4-04)
(a) General: The Student and Exchange Visitor Information System (SEVIS) is an
InterneUlntranet based system that enables schools and program sponsors to transmit
electronic information and event notification to the Department of Homeland Security (DHS) and
the Department of State (DOS) throughout a foreign student's or exchange visitor's stay in the
United States. This automated system electronically captures, maintains, and monitors
information relevant to each student, exchange visitor, and their dependents.
1. Required SEVIS Users:
•
•
•

Any institution authorized by the DHS to enroll non-immigrant students.
Any program sponsor designated by the DOS to participate in an exchange visitor
program.
Any agencies within DHS that process students and exchange visitors for benefit,
entry, or violation purposes, to include but not limited to: Customs and Border
Protection (CBP), Immigration and Customs Enforcement (ICE) and U.S. Citizenship
and Immigration Services (USCIS).

2. Tracking Mechanism: SEVIS maintains an individual electronic record, referred to as the
SEVIS ID number, for each foreign student, exchange visitor, and their dependents. A
printed copy of the SEVIS-generated record is documented a:

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•
•
•

~anual

SEVIS Form 1-20AB, Certificate of Eligibility for Non-immigrant (F-1) Student Status
- For Academic and Language Students.
SEVIS Form 1-20MN, Certificate of Eligibility for Nonimmigrant (M-1) Student Status
- For Vocational Students.
Form OS-2019, Certificate of Eligibility for Exchange Visitor (J-1) Status.

Each electronic SEVIS record includes a "real-time status" indicator that can be updated by
a OSO, a USCIS adjudicator, or automatically by the system. However, the printed SEVIS
Form only reflects the "Issuance Reason", which may not indicate the status of the
corresponding SEVIS record. The SEVIS record status does NOT appear on the printed
SEVIS Form. Simply stated, the alien's current SEVIS record status can be only
determined by viewing the individual's SEVIS record (Refer to the top right block on the
information screen in SEVIS for record status.)._
3. Chain of Events:
(i) To obtain a SEVIS-generated Form:
•

•

A student must first apply to the institution(s) of his/her choice. The institution will
enter all necessary data related to the student and his/her dependents, if
applicable, in SEVIS. The institution will print and send a SEVIS Form 1-20 to the
student abroad; or,
An exchange visitor must apply to participate in an exchange visitor program. If
selected, the program sponsor will enter all the necessary data into SEVIS and
issue the exchange visitor and his/her dependents if applicable; a SEVIS
generated Form OS-2019.

(ii) Students and exchange visitors issued an initial SEVIS Form 1-20 or SEVISgenerated OS-2019 respectively on or after September 1, 2004 are required
to pay a SEVIS fee. Payment will be made prior to the issuance of the
nonimmigrant visa. Upon payment, the individual will be issued a Form 1-797,
Receipt Notice or Internet Receipt Notice for presentation at the U.S.
Consulate or U.S. Embassy, or at the port-of-entry (POE) when applying for
admission, if visa exempt.
(iii) Foreign students and exchange visitors are required to present a valid
SEVIS-generated Form appropriate to the desired visa classification when making an
application for a nonimmigrant visa at a Consulate or Embassy abroad.
(iv) The U.S. Consulate or U.S. Embassy will verify visa classification and requirements.
Information relevant to the visa issuance is sent to SEVIS via Nonimmigrant Visa (NIV)
data-share. (Note: At this time, the NIV data does not always match with the
nonimmigrant SEVIS record; therefore, it is not always available in the SEVIS record.
OHS is continuing to work to resolve this issue). The appropriate NIV will be placed in
the passport and the SEVIS Form will be returned to the individual.
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Inspector's Field Manual
(v) The non-immigrant is to present the passport with the NIV and the SEVIS Form
when making an application for admission at the port-of-entry (POE). If admissible at
the time of entry, the CBP Officer records the entry into SEVIS:
•
•

Land POEs have data entry access in the secondary inspection area, allowing
for the admission to be recorded directly into SEVIS.
Air and sea POEs have view only access to SEVIS. Admission is downloaded
into SEVIS via an interface between Arrival Departure Information System and
SEVIS within the Class of Admission (CAO) Screens.

(vi) If a student (F & M) or exchange visitor (J) travels outside of the United States, the
POE can refer the individual to Secondary to confirm his/her status in SEVIS.
(vii)The institution is required to register a student (F& M) in SEVIS within 30 days of
the program start date printed on the form. The program sponsor is required to validate
an exchange visitor's participation in his/her program within 30 days of the program
begin date identified in SEVIS.
(viii)
If the individual does not report, the institution or program sponsor is to update
the SEVIS record accordingly. This "flagged" record is forwarded to the ICE Compliance
Enforcement Unit (ICE) for further research and possible action. Refer to "SEVI Hits"
section E for specific details.
(b) Accessing SEVIS: Although SEVIS may be accessed through the Intranet or Internet, it is
recommended that the POE use the Intranet. To access SEVIS through PowerPort:
•
•
•
•
•
•
•

Click "Operation Center", then "Operational Systems".
Click "SEVIS", the button is located at the bottom of the list.
The Login page will appear, enter user name (the same as used for other systems).
Click "login"; do not click "Register for New Account".
Follow the directions provided at the· change password request prompt. The password
should not be less than 8 characters, but no more than 16.
Once completed, click "Change password".
Upon entry into the system, one of two screens will appear depending upon the type of
access authorized. If INSLAND, the "Port-of-Entry Search Screen" will appear, If INS
OFFICER (air/sea POEs) a generic "Welcome" screen will appear.

The "Port-of-Entry Search" or "Welcome" screen is the main screen used to gain access to or
update the record of the enrolled student's, exchange visitor's and parts of the system:
Port-of-Entry, Schools, Students, Programs, Exchange Visitors, Reports, Help, Tutorial, and
Logout. Refer to the tutorial function for specific system instructions.
Land POEs that do not have Internet or Intranet access should make arrangements with a POE
that does have access to SEVIS so the admission can be recorded in SEVIS. When inputting
data, the code of the POE actually admitting the applicant should be recorded in "POE" data

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Inspector's Field Manual
entry field.
(c) Searching SEVIS: The following tips should be used when searching SEVIS for records on a
particular student, exchange visitor and their dependents when the SEVSI 10 Number is not
available:
1. Look in the correct place -- F, M, or j

•

Search Schools/Students for F's and M's and Programs/Exchange Visitors for j's. Note:
many schools have j programs for visiting scholars, etc.

2. "Active" verses. "Initial" status
•

•
•

All new students and exchange visitors will be located under "Initial" status when
applying for admission for the first time. The record does not become "Active" until the
alien has reported to the institution or program sponsor.
Generally, returning student and exchange visitor will be located under "Active" status.
Terminated refer to Section d below.

3. Name or the Value of Wildcards
•

When searching SEVIS for a particular record, it is recommended that a last name and
first initial wildcard "asterisk" be used. Although this may result in several records, the
possibility of identifying the correct record is greatest. If the full name is queried, but the
OFO or Program Sponsor entered the individual's name into SEVIS slightly differently,
the correct record will not be retrieved. This is especially troublesome when names are
entered with spaces or hyphens or if the school or program sponsor entered the
student's first and middle names and the POE searches for first name only.

4. Searching for J Exchange Visitors
•
•

•

When searching SEVIS for a particular record, it is recommended that a last name and
first initial wildcard "asterisk" be used.
If a direct 'hit' is not retrieved when searching on name, search by date of birth (OOB)
only to retrieve a list all exchange visitors with that OOB. If there are too many results,
narrow this search by adding country of birth.
Unusual last names may be searched by last name only to provide a list of all exchange
visitors with that last name. However, searching by very common names alone will
provide a long list of possible candidates.

5. Searching for F and M Students
•

•

It is easier and more reliable to search for the student by first locating the school and
then searching for the student within the school listing. Ask the individual for the name
of the school, the state where it is located, and the school program code.
Searching by name is least reliable since schools often enter names differently -

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beware of spaces, hyphens, and misspellings.

6. Searching for Dependents.
•

•

It is only possible to search for the F-2 or M-2 dependents of F-1 or M-1
students by searching for the principle student and then opening his or her
record. Dependents will be located at the bottom of the page. Click on the
dependent's SEVIS ID record.
J-2 dependents can be searched in SEVIS directly. In the Exchange Visitor
Search screen, go to "search by", and then click "dependent". Type the J-2's
SEVIS ID number or the appropriate personal information in the blocks; then
follow the instructions provided.

(d) SEVI HITS. SEVIS contains a mechanism to allow ICE to record confirmed status violators
into NAILS. Due to the vetting process, there is a lapse between the time the violation is
recorded in SEVIS and when it appears in NAILS. In the meantime, the properly documented
alien may apply for admission at the POE and maybe admitted, regardless of the terminated
status reflected in the SEVIS record. In order to prevent such an admission, the DHS
implementation of a work-around solution in which viable leads on all terminated students be
entered into NAILS as lookouts. This occurs when the violation is first recorded into SEVIS and
prior to being vetted by the ICE Compliance Enforcement Unit (CEU). The CEU follows the
established vetting process and removes cases from NAILS as necessary.
1. General. A record in "Terminated" status indicates that, according to the information in
the system, a student has ceased to participate in the associated program and/or ceased to
maintain her/his F or M status. Always review the "Termination Reason" to determine
whether or not the individual is actually being reported as "Out of Status". It may also be
advisable to check SEVIS for another, more recently created student record. This will
require searching by name and date of birth, rather than solely by the SEVIS ID number. In
cases where SEVIS automatically terminates a record, the "Remarks" field will indicate
"System Termination", rather than "Manual Termination". Whenever a DSO or an automatic
system function terminates a SEVIS record, a "Termination Reason" must be included. The
"Termination Reason" will appear just below the status indicator of "Terminated" on the
student information screen in SEVIS.
It is possible for a subject of a "Terminated" record to be in possession of a valid immigrant
visa (NIV) and SEVIS Form at the time of application for admission. The creator of the
"Terminated" record (DSO, Program Sponsor or automatic system indicator) does not have
the authority to cancel the NIV. In most instances, the subject will retain the SEVIS Form,
which is valid for one year for academic students (F-1) and six-months for vocational (M-1)
students. For this reason, it is important to review the dates of the SEVIS records to
determine if the individual was able resolve the reason for termination, as discussed below.
It will always be necessary to do further research on a case prior to determining whether or
not the SEVIS record termination is an. accurate indication of the nonimmigrant's current
status and admissibility. In some instances, a previous violator may be able to establish

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admissibility. An individual that has a new SEVIS record in "initial" or "continuing" status
that was created subsequent to the terminated record can be admitted, despite an old
terminated record. As indicated in the "SEVI" text, dispositions are to be sent to the ICE
Headquarters Compliance Unit via Email at ALRCEU@DHS.GOV, or otherwise noted.
2. Reasons for "Terminated" Record:
(i) Reporting Violations: The student did not report to the school or remain in the
program as required.
•
•
•
•
•

No Show - Manual Termination. DSO indicates the new/initial entry student entered
the United States, and was expected to report to the school but failed do so.
No Show - System Termination. Records indicated the student was admitted to the
United States to attend the school of record and failed to do so.
Failure to Enroll. A continuing student was expected to report at the next term or
session, and failed to do so.
Transfer Student No Show. Student transferred out of one school, and did not arrive
at the other school when expected.
Unauthorized Withdrawal. Student ceased to participate in (e.g. has withdrawn
from) the program at that school of record without notifying a DSO, and to the
school's knowledge, has not transferred to another school. If student has in fact
ceased going to an approved school, he/she should have left the U.S. as he/she is
no longer maintaining F or M nonimmigrant status and is no longer eligible to stay in
U.S. in that status.

(ii) Status Violations: A student who has fallen out of status.
•

•

•
•
•

Authorized Below Full Course Time Exceeded. The student did not resume a full
course load when required to (and after being authorized to take less than a full
course for a specified period of time).
Unauthorized Drop Below Full Course of Study. The DSO has found the student to
be taking less than a full course of study without prior DSO approval. As students
are required to be full-time participants, unless explicitly authorized by a DSO to take
less than full course due to certain allowable circumstances, students that take less
than a full course load without DSO approval are considered to out of status.
Expulsion. The student is not able to maintain status in program because of
expulsion from school.
Suspension. The student was not able to maintain status in program because of
suspension from school.
Otherwise Failing to Maintain Status. Used by the DSO for terminating record for
any reason not otherwise contained in list. Remarks should be included and should
provide further detail on reason for record termination.

To overcome the violation within the U.S., a student is required to obtain authorization
from the school and file a Form 1-539, Application to Extend/Change Nonimmigrant
Status for re-instatement with USCIS. At this point, the SEVIS record will reflect

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"Reinstatement Pending" or "Pending". However, if the student departs the United
States prior to a decision from USCIS, the application becomes void. Upon re-entry, the
individual is required to present a new SEVIS Form 1-20 indicating "Initial or "Continuing"
status with a new SEVIS ID number. If the student presents the SEVIS Form 1-20
indicating "Re-instatement" or the SEVIS record reflects "Reinstatement Pending", the
POE may consider issuing a Form 1-515A, Notice to Student or Exchange Visitor, if
otherwise admissible.
(iii) Change of Status (COS): The student has filed an application
•

•

Change of Nonimmigrant Classification/ Change of Status Approved. Nonimmigrant
that was in student status and was approved for a change of classification to another
nonimmigrant status, or to Lawful Permanent Resident (LPR). This termination code
generally indicates that, while the student is not maintaining the F, M or J status as
originally granted, they are in another nonimmigrant status, or are applying for
immigrant status. May require a new non-immigrant visa or immigrant visa upon
re-entry.
Violation of Change of Status Requirements. Indicates 8-1/2 or F-2 nonimmigrant
that had been pending COS to student status started the program in advance of
USCIS approval. May require new nonimmigrant visa and supporting documentation
upon readmission.

(iv) ExtensionlTransfer Request:
•
•

Denied Transfer. M-1 student that applied to USCIS for transfer, began transfer-in
program while awaiting adjudication, and was ultimately denied transfer request.
Extension Denied. M-1 student applied to USCIS for extension, continued in
program past original program end date while awaiting adjudication, and was
subsequently denied extension request.

(v). Other:
•
•

Death. Validate identity of non-immigrant.
Unauthorized Employment. The DSO determined that the student was engaging in
employment that was not authorized under their F or M status, thus rendering the
alien out of that nonimmigrant status.

(e) Students Lacking Required SEVIS Documentation: Current regulations require that a
nonimmigrant student present a SEVIS Form 1-20 issued in his her own name by a DHS
approved school as per 8CFR 214.2(f)(1)(i). If the individual is not in possession of a SEVIS
Form 1-20, but presents evidence of student status (i.e. F-1/M-1 visa possibly noting a SEVIS
ID number) the POE should query the individual's record in SEVIS.
1. School and Student registered in SEVIS, Student does not have SEVIS Form: If the
school is DHS approved and the SEVIS status of the student indicates:

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Inspector's Field Manual
(i) "Active' or "Initial". The student is in compliance with the program. Issue a Form
1-515A, Notice to Student or Exchange Visitor according to guidelines in Section f.
(ii) "Terminated" Status. Schools are required to terminate a student record in SEVIS
for a number of reasons, including when a student enters the United States to attend
school and the student fails to register within 30 days of the program start date.
•

•
•

•

A SEVIS record status of "terminated" implies that the student is no longer engaged
in the program for which the SEVIS 1-20 was issued, and the student may be out of
status. For specific information concerning the reasons for terminated records, refer
to Section d.
Always review the "terminated reason" to determine whether or not the individual is
out of status.
A record terminated for "failure to enroll, no show or suspension" indicated that the
individual does not qualify for the F-1 admission with that record. A Form 1-515A
must not be issued, nor may the inspection be deferred.
It is advisable to check SEVIS for another, more recently created student record.

(iii) "Deactivated" Status. The SEVIS record has been transferred and the student has
transferred to another school within the United States. Query SEVIS under the
student's name for an additional SEVIS record under the same SEVIS 10 Number to
verify status. Presently, there is no requirement for the student to attend a school for a
specific period of time prior to transferring to different school.
(iv) "Completed" Status. The student has graduated or completed his of her course of
student and has departed or will depart the United States in the near future.
The "Remarks" section provides the DFO with the capability to record information that
In addition, the
may not otherwise be reflected in the student's record.
"Request/Authorization Details" link on the far left of the SEVIS screen provides
information regarding the student's specific benefit authorizations.
Students engaged in post-completion Optional Practical Training (OPT) will most likely
have an expired "program end date" on their SEVIS Form 1-20. Page three of the
SEVIS Form 1-20 should have a DSO signature and information at the top of the form
indicating either pending or approved OPT, with employment start and end dates. The
associated SEVIS record status should be "active".
There have been instances when a student has completed the program and is now
participating in OPT, but the SEVIS record incorrectly reflects "Completed". Under
these circumstances, the individual is still in F-1 status and requires a SEVIS Form 1-20.
A Form 1-515A should be issued if the individual is otherwise admissible, refer to Section
f.
2. School registered in SEVIS, but student is not. If the school is DHS approved, but the
student is not in SEVIS, the POE must confirm student status with the school prior to
admission. Trends indicate that a student presenting an older nonimmigrant visa and a

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non-SEVIS Form 1-20 is returning to an illegal residence.
3. School not in SEVIS. If the school is not identified in SEVIS as DHS approved, refer to
the SEVIS website at http://www.ice.gov/graphics/enforce/imm/sevis/index.htm for a
listing of all of the approved and pending Form 1-17, Petition for Approval of School for
Attendance by Nonimmigrant Students. If the record indicates that the application is
pending, contact the SEVIS Program Office at (202) 305-2346 to determine the status of
the case and establish a realistic date of completion, if possible. If the application has been
denied of may be denied, the individual is not to be admitted to the United States.
Withdrawal of application of admission should be considered in lieu of Expedited Removal
in cases where no fraud or other serious violation has occurred. If the SEVIS Program
Office is not available, the inspection may be deferred.
The inspection is not to be deferred if the school has not yet filed a Form 1-17 to participate
in the SEVIS Program.
(f) Form 1-515A Processing. The SEVIS Program Office in Washington, D.C. maintains a Form
1-515A Unit established to process the Forms 1-515A issued to students, exchange visitors, and
their dependents not in possession of the required SEVIS documentation at the time of
admission at the POE. Centralizing the submission of the Forms 1-515A allows the SEVIS
Program Office to standardize the adjudication process, which is beneficial to identifying trends
and monitoring compliance. POEs are to issue the Form 1-515A in the following manner:
•
•

•
•
•
•
•

•
•

Admit the applicant for 30 days so the required documentation can be obtained from the
school or program sponsor and submitted to the address printed on the form.
Provide all of the information requested in the blocks located on the upper portion of the
Form 1-515A. It is very important to provide the SEVIS 10 number and the admission
number.
Officers are to properly endorse the admission stamp block prior to the applicant's
release from the inspection area.
Identify the reason for issuing the Form 1-515A in the blocks provided.
Note the reverse of the Form 1-94 both sections with "1-515A".
Use the admission number printed on the Form 1-94. The pre-printed admission number
is not to be crossed out and replaced with any previous admission numbers.
Staple the departure portion of the From 1-94 to the upper right corner of the
From 1-515A and give it to the applicant. When issuing a Form 1-515A, do not
staple the Form 1-94 to the passport.
Complete the IBIS secondary screen indicating the issuance of the Form 1-515A.
In is not necessary to send the SEVIS Program Office, Federal Record Center, data
entry contractor or any other program office a copy of the Form 1-515A issued.

When issuing a Form 1-515A to an individual who frequently crosses the border and would
be reapplying for admission within the 30-day timeframe, the POE may advise the individual
to provide the required SEVIS Form upon readmission, when available. Under these
circumstances, the POE may replace the pre-printed submission address with the POE
address. The Form 1-94 is valid for multiple entries within the 30-day timeframe.

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Inspector's Field Manual

Chapter 16: Special Classes
16.1
16.2
16.3
16.4

Parole
Refugee Admissions
Asylees and Asylum Applicants
Temporary Protected Status (TPS) Cases

References:
INA:
Regulations:

16.1

Sections 207,208,209,212,244.

8 CFR 207,208,209,212,223,244.

Parole.

The orm I se a so inclu es the alien's biographic data, a glued on or computer imaged
ADIT-style photograph, and the facsimile stamp of the district director for the issuing district.

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Inspector's Field Manual
are commonly referred to as "transportation letters" or "boarding letters" since· they are
addressed to the transportation line and absolve the line of liability for the fine ordinarily
incurred when a carrier transports an alien without a required visa.
Ordinarily, processing of paroles is handled in secondary, where there is time to access
automated systems to verify the request. When you encounter an 1-512 or boarding letter
during the inspection process, examine it closely. Counterfeit and altered forms have been
encountered. Question the applicant concerning the basis of their parole, to determine if his or
her explanation and the basis on which the parole was issued are consistent. For example, an
alien who has not previously been in the U.S. should not have a parole document indicating a
pending adjustment or asylum application as the basis of issuance.
Once you are satisfied that the person is entitled to parole, endorse the 1-94 with the parole
stamp, indicate in the appropriate block the basis of parole (e.g." 1-512, adjustment applicant"),
the date to which paroled (or indefinite), the date of action, port and your stamp number.
Similarly endorse the action block on the 1-512 and the alien's passport. If the 1-512 is valid for
a single entry, collect it and forward it to the files control office where the advance parole was
issued. If the 1-512 is valid for multiple entries, return it to the applicant, after making a
photocopy for forwarding to the issuing office. If the alien parolee is permitted employment and
does not have an employment authorization document advise the applicant about filing
procedures. Special handling procedures described in Chapter 15.11 also apply to holders of
Forms 1-512 who are nationals of the affected countries. Handle the 1-94 arrival and departure
sections in the same manner as other nonimmigrant Forms 1-94.
(c) Port-of-Entry paroles.
(1) General. Section 212(d)(5) of the Immigration and Naturalization Act (Act) provides the
Attorney General with the discretion to "parole into the United States temporarily under such
condition as he may prescribe only on a case-by-case basis for urgent humanitarian
reasons or significant public benefit. .. ". Whether to grant a parole request is a matter of
agency discretion. Thus, no alien has a right to a grant of parole. This guidance is not
intended to create, and does not create, a class of aliens who are guaranteed parole based
on their meeting certain criteria, nor does it relieve the INS from making a case-by-case
determination on each request for parole at the port-of-entry.
Pursuant to 8 CFR 103.7(b), the established fee for a request for authorization for parole of
an alien into the United States is $65.00. Currently, there is no approved form for public
use available for an alien to request parole at the port-of-entry or an automated system to
track such requests; therefore, an application is not required. Form 1-131, Application for
Travel Document, is used to apply for advance parole and is not appropriate for
port-of-entry paroles. Instead, parole actions are documented on an Arrival/Departure
Record, Form 1-94, endorsed with the parole stamp. Preparation of a Form 1-94 is not
required for paroles of less than one day for certain border functions or certain NATO
activities as described in Chapter 11.2. In addition, for all paroles initiated at the
port-of-entry, prepare Form 1-160, which is retained at the port-of-entry as a record of the
action taken. Specific codes (discussed below) are assigned to categorize and track the

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basis of parole in the Non-Immigrant Information System (f\IIIS). The data is later used for
statistical analysis and reporting purposes.
(2) Guidelines for Fee Waiver. The regulations do not specify the situations in which the
requirement to pay the filing fees applies.
This chapter establishes guidelines for
determining when the regulation applies. Note the INS regulations also permit a director to
waive a filing fee, if the applicant establishes that he or she cannot pay the fee. 8 CFR
103.7(c). There are other situations in which the INS should not collect a filing fee from an
alien seeking parole at a port-of-entry.
(A) When a fee waiver is appropriate. The INS may charge a user fee only for actions
that benefit the applicant. 31 U.S.C. 9701. If the II\IS decides to parole an alien because
doing so is of "significant public benefit," then the INS may not properly charge a fee.
Situations resulting from an action at the port-of-entry in which it would not be
appropriate to charge a fee include those in which the INS paroles the alien:
•
•
•
•
•
•
•
•
•

For criminal prosecution*
For incarceration after conviction for a crime*
Into the custody of another agency*
For section 240 removal proceedings, if detention is not appropriate or feasible
As a TWOV applicant technically ineligible for that classification or not a bonafide transit passenger
As a stowaway removed from an aircraft/vessel to obtain documentation for
eventual repatriation
To permit the alien to serve as a witness in a judicial, administrative or legislative
proceeding being conducted, or to be conducted in the United States*
For deferred inspection
For deportation from another country through the United States

* In some instances, requests for Significant Public Benefit Parole are authorized by
HQIAO, Parole Branch, in advance of the alien's arrival at the port in accordance with
the Significant Public Benefit Parole Protocol. [Refer to the Significant Public Benefit
Parole memorandum dated July 24, 1998 for Significant Public Benefit Parole Protocol
guidelines.]
Humanitarian parole is chiefly of benefit to the alien. Generally, the INS should collect
the fee for requests for humanitarian parole. However, even if the applicant cannot
qualify for a fee waiver under 8 CFR 103.7(c), the INS generally should not collect a fee
if the alien requests parole because of exceptional circumstances such as, but not
limited to:
•
•
•
•

Inadmissible alien in need of emergency medical treatment
Emergency worker responding to a natural disaster
Medi-vac (land and air ambulance) case
Minor child accompanying a detained parent

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Inspector's Field Manual
Sick or injured crewmember and shipwreck or plane crash survivor
Unaccompanied minor placed in custody of social service agency
Spouse or legal guardian of an alien child described above accompanying or
following to join the paroled child
(B) When fee waiver is not appropriate. The port-of-entry should NOT grant a fee waiver
request, as a general rule, when the officer is satisfied that paroling the alien into the
United States is to the benefit of the alien, unless, in accordance with 8 CFR 103.7(c),
the alien establishes that he or she cannot pay the fee. The following situations are
examples of circumstances in which an alien who can pay the fee should be required to
do so:
Parole granted to permit crew to conduct ship's business (limited essential
personnel, usually the captain and the first mate, are paroled to maintain normal
operations necessary to conduct foreign commerce). or for medical treatment
according to 8 CFR 253.1. Collect a fee for each paroled crewmember (Refer to
Parole of Alien Crewmembers, Chapter 23.12)
Alien seeking prescheduled, non-emergency medical treatment
Crewman pursuing workman's compensation claim against shipping company
Any humanitarian parole, except in an emergency as described above
In any case where an alien passenger arriving by air or sea is paroled because he or
she lacks the proper visa or other required documents, determine whether fine
proceedings against the carrier are appropriate, as described in Chapter 43. Initiate fine
proceedings when applicable.
(3) Parole codes. Parole of an alien into the United States must be documented on a Form
1-94, endorsed with the parole stamp. Specific codes have been assigned to categorize and
track the justification for parole in NilS. The codes provided are limited to the type of
paroles referenced in this chapter. Refer to the Statistics Handbook in INSERTS for the
complete listing of statistical codes assigned to classes of admission and paroles. Indicate
in the block provided on the parole stamp, the appropriate code and basis for parole:

•
•
•

[Urgent] Humanitarian Parole (Advance Authorization): Authorized at INS
headquarters [HQIAO Parole Branch or overseas district offices] for "urgent
humanitarian reasons" specified in the law. It is used in case of medical
emergency and comparable situations .
Significant Public Benefit Parole (Formally Public Interest Parole): Authorized at
INS Headquarters for "significant public benefit." It is generally used for aliens
who enter to take part in legal proceedings.
Advance Parole: Authorized at the INS district office or service center [or INS

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•
•
•

Headquarters for applicants in proceedings] in advance of the alien's arrival; may
be issued to aliens residing in the United States in other than lawful permanent
resident status who have an unexpected need to travel and return, and whose
conditions of stay do not otherwise allow for readmission to the United States if
they depart.
Port-of-Entry Parole: Authorized at the port upon alien's arrival; applies to a wide
variety of situations and is used at the discretion of the supervisory immigration
inspector, usually to allow short periods of entry. Examples include allowing
aliens who could not be issued the necessary documentation within the required
time period, or who were otherwise inadmissible, to attend a funeral and
permitting entry of emergency workers such as fire fighters, to assist with an
emergency.
Deferred Inspection: Authorized at the port upon the alien's arrival; may be
conferred by an immigration inspector when the alien appears at a port-of- entry
with documentation, but after preliminary examination, some question remains
about his/her admissibility which can best be answered at his/her point of
destination .
Overseas Parole: Authorized at an INS district or sub-office while the alien is still
overseas; designed to constitute long-term admission to the United States. In
recent years, most of the aliens the INS has processed through overseas parole
have arrived under special legislation or international migration agreements.

(4) Period of parole. The duration of parole should be until the date required to complete
the purpose of entry, not to exceed one year from the date the parole was granted at the
port-of-entry. Include the date of the action, port code and officer's stamp number. Parole
does not constitute a formal admission to the United States and confers only temporary
permission to be present in the United States without having been admitted. A parolee is
deemed to be still "at the port-of-entry" throughout the period of parole, and must leave
when the parole period ends or when the INS terminates the parole.
(5) When parole should not be considered. The port-of-entry should NOT grant a request
for parole, as a general rule, when the alien requesting parole into the United States is:
An arriving alien applying for parole for the primary purpose of seeking adjustment of
status under section 245A of the Act, without benefit of advance authorization and
has not filed an Application for an Immigrant Visa and Alien Registration, Form
OF-0230, or an Application to Register Permanent Residence or Adjust Status, Form
1-485, and Application for Travel Document, Form 1-131. The alien should be denied
parole and detained for removal under section 235(b)(1) of the Act or permitted to
voluntarily withdraw his/her application for admission.
•

Crewmember who is not in possession of a valid, unexpired B-1/B-2 visa
requesting to attend regularly scheduled training related to his/her crew

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duties.
Crewmember aboard a cable-laying vessel, who in the normal course of
his/her duties does not intend to depart the United States within 29 days.
It is important to remember that nothing in this chapter limits the discretion of the district
director to waive fees when an alien's presence is otherwise in the interest of the U.S.
Government. If the district director finds that the parole serves the interest of the U.S.
Government, no fee should be collected. The authority to waive fees is contained in 8 CFR
103.7(c). Directors must ensure that the determination not to require the fee, regardless of
ability to pay, is made on a consistent, equitable basis.
(d) Parole of crewmembers.
discussed in Chapter 23.12

Policies and procedures for parole of alien crewmembers are

(e) Parole for deferred inspection. Procedures for parole of aliens whose inspection is deferred
are discussed in Chapter 17.1
(f) Special Interest paroles. [Reserved]
(g) Significant Public Benefit Paroles (SPBP). In order to ensure consistency in decisions
regarding significant public benefit parole pursuant to section 212(d)(5)(A) of the Act for
witnesses or informants and to track and monitor these aliens, DHS has established two
separate protocols for these classes of paroles, signed by CBP Commissioner Robert C.
Bonner and ICE Assistant Secretary Michael Garcia. [See Appendix 16-2]. One protocol
covers components of DHS, including both Border Patrol and Office of Field Operations in CBP,
and ICE. The other covers other Federal, state, and local law enforcement agencies (LEAs),
such as the Drug Enforcement Administration (DEA) or Federal Bureau of Investigation (FBI).
These two protocols supersede any previous SPBP policies for both CBP and ICE.
In most cases, the DHS protocol will primarily involve ICE and Border Patrol investigations.
Although relatively rare, there may be instances where CBP Enforcement Officers may be
involved in an alien smuggling case or other investigation, and may wish to bring in informants
or witnesses to assist in the case; the parole approval procedures in the protocol should be
followed in those cases.
The protocols contained in Appendix 16-2 delineate responsibilities and contain detailed
procedures for processing SPBP cases. Because both CBP and ICE have been delegated
parole authority from DHS, the protocol for DHS components permits approval of the SPBP by
designated officials within CBP and ICE, using the DHS SPBP authorization forms and
checklists developed for this purpose and included in Appendix 16-2. Notification is then to be
provided to the ICE Parole and Humanitarian Assistance Branch (PHAB) for vetting and
tracking purposes. The PHAB maintains the Parole Case Tracking System, a database of all
alien informants and certain witnesses brought to the United States. This database is designed
to record the submission and disposition of all law enforcement parole requests and monitor the
arrival of the parolee, the periodic requirements of the LEAs, and departure of the parolee from

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the United States. Other Federal LEAs must continue to forward original and re-parole SPBP
requests to the PHAB. State and local LEAs will submit requests to the PHAB through the
appropriate ICE Special Agent in Charge (SAC) or Border Patrol Chief Patrol Agent (CPA). Any
Federal LEA (including U.S. Attorneys offices) that requests parole of informants, witnesses,
and certain defendants, should be referred to the PHAB.
Ports of entry will be notified of the advance parole authorization either via memorandum from
the PHAB or by presentation of a Form 1-512 by the alien, and will normally honor the advance
authorization. If additional derogatory information arises during the inspection that may not
have been considered during the advance authorization approval, the CBP Officer may elevate
the issue through channels for consideration and resolution. Every attempt should be made to
resolve possible differences at the lowest level.
The advance parole authorization may be for multiple paroles, however, regulations provide that
parole automatically terminates upon departure from the United States. Consequently, aliens
eligible for SPBP under these protocols must be re-paroled upon each application for
admission.
The parole stamp should be endorsed with the parole code "CP". Although CBP Officers will
execute the parole authorization at the port of entry by issuing a Form 1-94 with the parole
stamp, it is the responsibility of the authorizing (requesting) office to supervise and monitor the
whereabouts and departure of the parolee. Therefore, most monitoring responsibilities will fall
to the ICE, Border Patrol, or LEA case officers. Paroles of aliens already in the United States
who are deemed applicants for admission (i.e., not inspected and admitted), referred to as
parole in place, or re-paroles (extensions), may be granted by either CBP or ICE authorizing
officials, depending on which agency has jurisdiction or responsibility for the alien at the time.
The protocols do not apply to paroles authorized on the basis of the significant public benefit
provisions of section 212(d)(5)(A) by port of entry officials for cases initiated at the port of entry
and arising out of port of entry activities, such as parole for criminal prosecution of aliens
presenting fraudulent documents in the course of an inspection, parole for criminal prosecution
for drug offenses discovered during inspection, parole for section 240 proceedings if detention
is not available or appropriate, and similar situations.
Designated CBP/OFO port officials also have parole authority over aliens arriving at the port of
entry without prior parole approval as a result of emerging enforcement actions, such as
controlled deliveries, cold convoys, or silent paroles. ICE and CBP officials should coordinate
as much in advance as possible to ensure that legitimate law enforcement activities are not
impeded. After concurrence by CBP officials, ICE agents will assume responsibility for all
aspects of the investigative activity as outlined in the protocol.
The DFO, SAC, or CPA may also authorize an emergency parole for 72 hours for informants or
witnesses under exigent circumstances for other LEAs when parole is important to an
investigation, prosecution, or other activity deemed necessary to maintain public safety. The
authority should be exercised only when the LEA could not reasonably have requested the
parole in advance through the PHAB in accordance with the protocol, and the parolee must
remain in the custody of agents from the requesting LEA. (IFM Revisions: CBP 14-06)

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(h) Conditional Entrants, Refugee-Parolees, Lautenberg Parolees and Others. Over the years
the Attorney General, acting through the Service, has used his or her authority to admit or
parole various groups of individuals who mayor may not have the characteristics of, and
identify themselves as, refugees. These groups of individuals are different from those admitted
as refugees under section 207 of the Act or those granted asylum under section 208 of the Act.
In order to determine the various types of benefits for which they may be eligible, it is necessary
to have a working knowledge of the terms and groups involved:
•

DISPLACED PERSONS - Under the Displaced Persons Act of 1948, the first legislation
enacted specifically for refugees in the nation's history, the United States admitted more
than 400,000 persons who were displaced by World War II and its aftermath. Someone
admitted in this category is eligible to be issued a Refugee Travel Document.

•

HUNGARIAN REFUGEES - Under the Hungarian Refugee Act of July 25, 1958,
persons who were paroled into the United States as refugees from the Hungarian
uprising of October 1956, and who had been in such parole status for at least two years,
could be reinspected and admitted to the United States for permanent residence,
without regard to the immigrant visa requirement. Someone paroled in this category is
eligible to be issued a Refugee Travel Document.

•

CUBAN PAROLEES - Since 1959 several hundred thousand Cubans have been paroled
into the United States. Under legislation enacted November 2, 1966, such individuals
who have been physically present in the U.S. can apply for adjustment of status to that
of LPR. Permanent residence in such cases is granted as of the date of the person's
entry into the United States or thirty months prior to the date the person applied for
adjustment, whichever is later. Someone paroled in this category is not eligible to be
issued a Refugee Travel Document.

•

CONDITIONAL ENTRANTS - Prior to the 1980 Refugee Act, the United States admitted
persons fleeing from persecution in communist countries of the Eastern Hemisphere
and in countries within the general area of the Middle East under section 203(a)(7) of
the Act. Under a proviso to that section, a limited number of individuals who were
already in the United States could apply for adjustment to conditional entrant status.
After two years in the United States (which was later reduced to one year) as a
conditional entrant, the alien could be reinspected and admitted for permanent
residence. Someone admitted in this category is eligible to be issued a Refugee Travel
Document.

•

REFUGEE-PAROLEES - Prior to May 18, 1980, the Service used its authority in section
212(d)(5) of the Act to parole certain refugees into the United States, including many
who, while fearing persecution, were not from communist countries or countries within
the general area of the Middle East. Such persons were allowed to apply for adjustment
of status after two years (later reduced to one year) in the United States. Someone
paroled in this category is eligible to be issued a Refugee Travel Document.

•

VICAM REFUGEES -Following the fall of South Vietnam and Cambodia in 1975, the

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United States paroled more than 400,000 persons from Indochina. Under legislation
enacted on October 28, 1977, those individuals (and certain others who were already in
the United States in nonimmigrant or parolee status on March 31, 1975) were allowed to
adjust to LPR status. Someone paroled in this category is eligible to be issued a
Refugee Travel Document.
•

CUBAN-HAITIAN ENTRANTS - An estimated 125,000 Cubans from the port of Mariel,
Cuba entered the United States shortly after the enactment of the Refugee Act of 1980.
There were also a considerably smaller number of Haitian nationals who entered the
United States at about the same time. These individuals were not classified as
refugees, but rather as "entrants." Beginning in 1984, the Service began adjusting
those Cubans entrants who were otherwise admissible to LPR status under the
provisions of the 1966 Cuban Adjustment Act. The status of Cuban/Haitian entrants
was not finally resolved until the enactment of the Immigration Reform and Control Act
of 1986 (lRCA), which included special legislative provisions. Someone in this category
is NOT eligible to be issued a Refugee Travel Document.

•

LAUTENBERG PAROLEES - As part of a program under the Lautenberg Amendment
first included in the Department of State's appropriation bill for FY 1990, and extended
thereafter, certain individuals from the former Soviet Union, or from Estonia, Latvia or
Lithuania, who are found to be ineligible for refugee classification are offered parole by
the Service. Those individuals include (but are not necessarily limited to) Jews,
Evangelical Christians, and Ukrainian Christians of the Orthodox and Roman Catholic
denominations. Prior to mid-1994, Lautenberg paroles were also offered to certain
Vietnamese, Cambodians, and Laotians. After one year in the United States, parolees
under the Lautenberg Amendment can apply for adjustment of status to that of LPR
under section 245 of the Act, without regard to quota. Someone paroled in this category
is NOT eligible to be issued a Refugee Travel Document.

(Former paragraph (h) redesignated (i), new paragraph (h) added IN98-14)
(i) Reparoles. Whenever you change the purpose or duration of a parole, a new 1-94 must be
prepared and processed. Collect the original departure section and forward it for data entry
with the new arrival section. Give the new departure section to the alien. (Redesignated
IN98-14)

U) Termination of Parole. Under section 212(d)(5) of the Act, when the purposes of a parole
have been served, the paroled alien is to be returned to the custody from which he or she was
paroled and his or her case is to be dealt with in the same manner as that of any other applicant
for admission. If such alien is found to be admissible, he or she may be admitted (if necessary,
with the approval of an appropriate waiver). If not found admissible, the alien may be allowed
to withdraw his or her application for admission and depart, or the alien may be prepared for
removal proceedings.
If the alien was paroled into the United States after arriving as a
crewman, stowaway, VWP applicant or S nonimmigrant, the alien is not entitled to formal
proceedings; otherwise, the type of removal proceeding involved depends upon the manner in
which parole was authorized, whether the alien met the definition of arriving alien at time of
parole, and the inadmissibility charge(s) being lodged:

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(1) If the alien's parole was authorized pursuant to an Advance Authorization for Parole
(Form 1-512) which was issued while the alien was in the United States in order to allow the
alien to return to this country, the expedited removal process does not apply and the alien
should be placed in removal proceedings under section 240 of the Act as an inadmissible
alien, regardless of the grounds of inadmissibility.
(2) If the alien does not meet the definition of "arriving alien" contained in 8 CFR 1.1 (q), the
expedited removal process does not apply and the alien should be placed in removal
proceedings under section 240 of the Act.
(3) If neither 1 nor 2 apply, and the alien is inadmissible under sections 212(a)(6)(C) and/or
212(a)(7), he or she shall be processed under the provisions of the expedited removal
program in accordance with section 235(b)( 1)(A)(i) of the Act and chapter 17.15 of this
manual.
(4) If neither 1 nor 2 apply, and the alien is inadmissible under grounds other than, or in
addition to (if the Service decides to apply such additional charges), sections 212(a)(6)(C)
or 212(a)(7), the alien will be prepared for removal proceedings under section 240 of the
Act.
An alien who is in the expedited removal process and who expresses a fear of persecution
or torture, or a desire to apply for asylum, must be referred for a credible fear determination
by an asylum officer. If such alien is found to have a credible fear of persecution, the alien
shall be referred to an immigration judge for a removal hearing under section 240 of the Act.
However, if an alien whose parole has been terminated has already been found to have a
credible fear of persecution (e.g., as part of the original decision to parole the alien), there is
no need for a referral to an asylum officer for a new credible fear determination. Instead,
the alien should be referred directly to an immigration judge for a removal hearing under
section 240 of the Act. In so referring the alien, the processing officer shall follow the
procedures set forth in chapter 17.6. Form 1-862 shall indicate that the alien is an arriving
alien (block 1) and that the notice is being issued after an asylum officer has found that the
respondent has demonstrated a credible fear of persecution, in addition to listing the
allegations, specifications and other information which must be provided. The record of
proceeding file should also contain a copy of any credible fear determination made
previously.
If an alien whose parole has been terminated, and who was previously found to have a
credible fear of persecution, states in his or her sworn statement that he or she no longer
has a fear of persecution or torture and that he or she wishes to withdraw his or her
application for admission and depart, the processing officer may allow the alien to do so in
lieu of processing the case for a hearing. The officer must make sure that the alien is
making an informed decision. The officer may wish to consult with the Asylum Office before
proceeding. However, if the alien does not wish to withdraw his or her application for
admission and depart from the United States, the officer must process the case for a
hearing under section 240 before the immigration judge. The processing officer does not

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have an option of issuing an expedited removal order. (Added IN98-14)

16.2

Refugee Admissions.

(a) Processing New Refugee Arrivals. Annually, the President, in consultation with the
Congress, determines the number of refugees that may be admitted to the United States each
fiscal year. The term refugee is defined in section 101 (a)(27) of the Act; the authority for
refugee admissions is found in section 207.
(1) General Screening. Screening and pre-processing of refugees is completed overseas,
and those found qualified for admission will arrive, often in large groups, at a few
ports-of-entry. They will have a packet of materials, the contents of their "A" file and an 1-94.
If all required paperwork is present:
•

Endorse the 1-94 and travel document (if any) with the refugee admission stamp,
which bears the following legend, using security ink:
Admitted as a refugee for an indefinite period pursuant to section 207 of the
Immigration and Nationality Act. If you depart the United States, you will need prior
permission to return. Employment Authorized.

•

Endorse the refugee stamp with the "A" file number, port code, date of admission
and your stamp number.

•

Collect all refugee packets and other supporting documents.

•

Give the departure section of the 1-94 to the alien and route the arrival section for
data entry.

•

Follow the procedures set forth in section (a)(2) regarding issuance of Form 1-6888.

(2) Issuance of Form 1-6888. Effective November 10, 2002, in accordance with section 309
of the Enhanced Border Security Act (8SA), the Service issues Form 1-6888, Employment
Authorization Card, to each individual admitted as a refugee under section 207 of the Act
immediately upon his or her arrival in the United States and to each individual granted
asylum under section 208 of the Act immediately upon the grant of asylum. In addition to
issuing 1-6888s, officers continue to issue refugees and asylees at the time they attain such
status the Form 1-94, Arrival-Departure Record, indicating their status.

Note: This does not in any way change the fact that, under existing regulations, asylees and
refugees are employment authorized automatically upon attaining their refugee or asylee
status. Indeed, refugees and asylees are employment authorized regardless of whether
they are in possession of an unexpired Form 1-6888, Employment Authorization Card, or
Form 1-766, Employment Authorization Document, the two documents that the Service
currently issues to refugees and asylees that evidence both employment authorization and

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identity. Officers should be aware of this distinction when communicating with asylees,
refugees, government benefits agencies, employers, and other members of the public who
may be seeking information about whether or when an individual has been authorized for
employment.
(A) Responsibility for Issuance. Issuance of Forms 1-688B is delegated to Inspections,
District Offices, and Asylum Offices in the manner prescribed below.
•

Designated POEs. Inspections personnel are responsible for issuing 1-688Bs to
each newly admitted refugee and each beneficiary of an approved Form 1-730,
Refugee/Asylee Relative Petition (refugees and asylees "following-to-join")
immediately upon the alien's arrival at one of the ports-of-entry that are specially
designated to receive all refugees and refugees following-to-join. (These
specially designated ports-of-entry are equipped with the necessary 1-688B
production hardware and supplies. The list is subject to revision as ports-of-entry
are added, subtracted, or changed.) Currently, these specially designated
ports-of-entry include:

-

New York John F. Kennedy International Airport (JFK),
Miami International Airport (MIA),
Chicago O'Hare International Airport (CHI),
Los Angeles International Airport (LAX),
Newark Liberty International Airport (NEW),
Orlando Sanford International Airport (ORL),
Hartsfield Atlanta International Airport (ATL), and
Washington Dulles International Airport (WAS).

•

Non-designated POEs. Some non-designated ports-of-entry may also be
appropriately equipped. Inspections personnel at non-designated ports-of-entry
that are appropriately equipped will issue 1-688Bs to any newly arriving asylees
following-to-join. Inspections personnel at non-designated ports-of-entry that are
not appropriately equipped should inform any arriving asylees following-to-join of
section 309 of the BSA and direct such asylees to the nearest District Office or
District Sub-Office to receive their 1-688Bs.

•

District and Suboffices. In addition to issuing 1-688Bs to those individuals
referred by ports-of-entry, District Offices and District Sub-Offices are
responsible for immediately issuing 1-688Bs to individuals who were just granted
asylum in a final decision by the Executive Office for Immigration Review (EOIR)
or a federal court. The District and District Sub-Offices are responsible for
issuing 1-688Bs to asylees who were granted asylum by the Service in certain
instances as described below. District and District Sub-Offices must issue
1-688Bs to newly granted asylees on a walk-in basis.

•

Asylum Offices. Asylum Offices are responsible for issuing, immediately upon
the grant of asylum, a Form 1-688B to each individual granted asylum by the

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Service who was interviewed at one of the local Asylum Offices. Asylum Offices
must coordinate with District Offices and District Sub-Offices to establish the
most efficient method for issuing 1-6888s, in accordance with the statute, to
those asylees who were interviewed at circuit-ride locations. In some circuit-ride
locations, it may be more efficient for the District or District Sub-Office to issue
the 1-6888. In other circuit-ride locations, for example, where the Asylum Office
has a more permanent presence, the Asylum Office may be able to issue the
1-6888.
(8) Validity Period. Form 1-6888 is to be issued with a one-year validity period. Issuing
officers are to advise refugees and asylees receiving such 1-6888s that the employment
authorization/identity documentation that is now being issued to them may be renewed
at their option upon application to the Service. It is imperative that all ports-of-entry,
District Offices, District Sub-Offices, and Asylum Offices ensure that all data on Form
1-6888 is uploaded to the Computer Linked Applications Information Management
System (CLAIMS) on a timely basis.
(C) Procedure for Issuance of Form 1-6888. Observe the following steps to issue 1-6888
upon completion of inspection for admission as refugee:
•
•
•
•
•
•
•
•
•
•
•
•
•

Review 1-765 in refugee's application packet
Enable Employment Authorization Document System (EADS) screen
Enter 1-765 data into EADS
Generate the camera card (Form 1-765 CARD)
Get applicant's signature (black ink) where indicated on card
Place fingerprint (right index) where indicated on card
Take applicant's photo with right ear exposed (remove any ear ring)
Wait until Polaroid timer stops, cut (from the two photos developed) and place
photo in laminate pouch (w/US map)
Laminate card
Deliver 1-6888 card to refugee
Record A #, name and action in log for daily report
Store data on floppy disk for forwarding to HQEADS (instructions forwarded
separately)
Forward 1-765 with other processed documents to refugee's file at the files
control office (FCO) of jurisdiction

(D) Security Issues Relating to the 1-6888. It is critical to the integrity of the 1-6888
process that security measures are followed at the port-of-entry (POE). The
following measures were recommended by the Office of Inspector General (OIG) in
their Inspection Report Number 1-94-07, March 1995, and the Office of Internal Audit
(OIA) Report of the Review of the Employment Authorization Process in the
Washington and Los Angeles District Offices, Report Number 96-02, February 1996,
following a review of the 1-6888 process in the INS District Offices.

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Each POE must follow standard operating procedures for the 1-6888 process.
Each POE will institute the 1-6888 process with a separation of duties and supervisory
oversight to the extent possible given individual office circumstances.
(i) Data Integrity:
•

•
•

•
•

Each POE must assign individual employee identification codes and
passwords for access to the employment authorization document (EAD)
computers. Observe the security requirements for periodic change of
passwords.
Each POE must do data entry on an as needed basis and each POE will do
timely data updates of 1-6888 cards issued.
Each POE must download and ship EAD data to INS Headquarters following
the required format in a timely manner. INS Headquarters will follow up with
each POE individually regarding untimely data submissions. A daily
submission is preferred.
Each POE will receive timely CIS error reports and will make the needed
corrections in a timely manner.
The POE will not issue EAD extensions. After receiving an EAD upon
admission at the POE, refugees must apply for optional renewal EADs by
submitting a Form 1-765 directly to the Nebraska Service Center. Optional
renewal EADs will be issued using the Form 1-766.

(ii) Security of the EAD Program:
•
•
•

•

•
•

•

The EAD laminate is a secure document. The laminates must be stored in a
secure area overnight or when otherwise not in use.
Access to laminates must be on an as needed basis and must be strictly
accounted for.
Each POE must inventory the EAD laminates on hand to establish a baseline
for further laminate receipt and issuance. The inventory will consist of an
initial hand count of each box of laminates received from the ERa and each
box will be sealed until the box is to be used. (Instructions for ordering
forwarded separately.)
Each POE must maintain a laminate log that accurately reflects the number
of laminates received, used, and the number of laminates on hand for each
month. The monthly laminate report shall be sent to the attention of Jean
Weber, ERa, or as otherwise directed. Include a telephone and fax # for the
reporting POE.
Each POE must submit a monthly laminate log to the ERa.
Each POE must inventory the EAD camera equipment and validation plates
for each office that were purchased on September 27, 2002. See attached
equipment order for each office.
Each POE must verify the identity of the person to whom an 1-6888 card is

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issued. Verification of identity shall be accomplished through personal
delivery of the card.
(iii) Checklist of Security Measures:
•

Provide Jean Weber, ERO Vermont, with designated POC at each office
location and telephone number; each office shipping address; and initial
laminate needs. Denise Curley is the ERO official overseeing the laminate
storage at Vermont.

•

Prepare and submit to ERO a monthly laminate report with precise inventory
of laminates on hand at the end of the month (per OIG report).

•

Count laminates in each box when received and seal box until it is used.

•

Apply property control procedures to account for validation plates

•

Establish proper supervision

•

Ensure proper secure storage of laminate and validation plates for each
Polaroid camera:

•

Validation plates must be locked up each night.
Exact number of laminates allocated to be used each day.

•

Ensure separation of duties - no one person should control all key aspects of
the transaction or event.

(3) Medical Screening. Some refugees receive a medical examination and any necessary
immunizations at the refugee processing center overseas. Others must have this
process completed after entry. Examine the refugee packet to determine if a medical
examination form is present. If there is none in the packet, question the refugee to find
out if he or she has a medical examination certification. If no medical examination was
completed, defer the inspection to the onward local office where the refugee will first
reside. That office will arrange for completion of a medical examination prior to
admission.
(4) Routing of Refugee Packet. Upon completion of the inspection and admission of a
refugee, send the refugee packet to:
INS/Nebraska Service Center
P.O. Box 87730
Lincoln, NE 68501-7730

Note: In the past, some ports of entry have used different variations of the refugee admission

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stamp legend. These variations have caused problems for refugees when they apply for social
security cards and other documents, since the staff at the issuing agencies may not accept an
1-94 containing non-standard language as genuine. If a refugee is in possession of an 1-94
bearing the refugee admission previously used by those ports of entry, the alien may file Form
1-102, with fee, seeking a new 1-94. Such 1-102 should be filed with the service center having
jurisdiction over the alien's place of residence. However, if the alien is seeking re-admission at a
port-of-entry and is in possession of an 1-94 bearing the old-style legend, the inspecting officer
should retain the previously-issued 1-94 and issue the alien a new one without fee or
application.
(Revised 1N03-21 )
(b) Returning refugees. In general, a refugee may temporarily depart the U.S. and
reenter while in refugee status only if granted advance permission to do so. See
appendix 16-1 for information regarding the appropriate endorsement to be placed in
the alien's refugee travel document.
If an alien presents an unexpired 1-571 clearly endorsed "Refugee" on the data page,
inspect it for photo substitution or alteration. If you are satisfied that the refugee is the
rightful bearer of the travel document and that he or she is still entitled to that status
(i.e., is admissible to the U.S. and has not re-availed him or herself of the protection of
his or her country of origin), endorse the 1-571 with the refugee admission stamp, date,
port and stamp number, and return the document to the alien, unless it is nearing
expiration.
If the 1-571 is nearing expiration (e.g., is valid for less than thirty days from the current
date), advise the alien that it is almost expired and that it should be returned to the
Service upon expiration. Suggest that if the alien will not be traveling outside the
country again before the expiration date, you can collect it at this time. However, if the
alien indicates that he or she wishes to retain the document until the expiration date,
return the as-yet unexpired document to the alien.
Occasionally, you may encounter a returning refugee who departed the United States
without any intention of abandoning status as a refugee, but who failed to obtain a
refugee travel document prior to his or her departure. Effective April 1, 1997, the
regulations allow district directors the discretion to approve an application for a refugee
travel document from an alien who is outside the United States or applying for entry at a
port-of-entry. The alien must submit Form 1-131, Application for Travel Document, with
fee, and must establish that he or she did not intend to abandon his or her refugee
status, that he or she did not engage in activities while outside the United States
inconsistent with continued refugee status, and that he or she has been outside the
United States for less than 1 year. [See 8 CFR 223.2.]
Individuals who have been approved for a Refugee Travel Document overseas will

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present either Form 1-571 or a boarding letter issued by an INS overseas district or
consular post identifying them as returning refugees. (Boarding letters may be used if
the aliens cannot wait overseas for the issuance of the travel documents.) If the alien
appearing at the POE is seeking admission to the United States as a refugee and is not
carrying Form 1-571 or an appropriate boarding letter, you should satisfy yourself that
the alien is the individual he or she claims to be and is still entitled to refugee status. If
you determine that the individual is admissible as a refugee, you may accept,
adjudicate and approve an 1-131 application for a Refugee Travel Document.
If all the necessary information is available, including the alien's A-file, and the alien
submits the required photographs, you may adjudicate the application and forward it to
the Nebraska Service Center, attention: Special Operations Officer for production of the
refugee travel document. If you are at a port of entry and the all necessary information
(including the alien's A-file) is available but the alien does not have the required
photographs and it is not possible to produce them at the port of entry, you may still
approve the application and forward it to the Nebraska Service Center, instructing the
alien to obtain and forward the photographs to the Special Operations Officer at that
service center. You should attach a memorandum to the Special Operations Officer
advising that the application has been accepted and approved in accordance with 8
CFR 223. Admit the alien as a refugee by endorsing a Form 1-94 with the refugee
admission stamp, as above.
On the other hand, if you are not satisfied that the individual is admissible, you should
neither adjudicate nor approve the application; instead you should forward the
application to the Nebraska Service Center with a memorandum explaining why you
find the alien inadmissible and treat the alien as any other inadmissible applicant for
admission.
If you are satisfied that the alien is a returning refugee, but do not have sufficient
information to adjudicate the application, you may defer the alien's inspection using the
procedures in Chapter 17.1, or (if at a land border) require the alien to wait in
contiguous territory until his or her file can be obtained and the information verified.
See also Chapter 17.15 for expedited removal processing of aliens with refugee claims
that cannot be verified.
You should be aware that the provisions of paragraphs (4), (5), and 7(A) of section
212(a) of the Act are not to be applied to refugees. The remaining grounds of
inadmissibility may be waived for refugees for humanitarian purposes, to assure family
unity, or in the public interest, except for section 212(a)(2)(C) or (3)(A), (8), (C), or (E).
Waiver applications should be filed on Form 1-602.
(c) Special procedures for adjudication of Refugee Travel Documents for aliens
appearing at overseas INS offices. Effective April 1, 1997, overseas district directors
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also have discretionary authority to accept and approve applications for Refugee Travel
Documents under the same circumstances as indicated above. Once the application
has been approved and forwarded, with photographs, to the Nebraska SeNice Center,
the overseas district director may decide to authorize parole of the alien into the United
States if overriding concerns dictate that the alien not be required to remain outside the
United States until the Refugee Travel Document has been issued and delivered. If
such person arrives at a port-of-entry in possession of a properly-issued 1-512, he or
she may be paroled into the United States for the period of time necessary for issuance
and delivery of the Refugee Travel Document to his or her U.S. address, at which time
he or she will be required to report to his local INS office for termination of the parole
and inspection as a refugee bearing a Refugee Travel Document.
(d) "Following to Join" Dependents.
(1) General. The spouse and children of a refugee, if not separately eligible for refugee
status, may follow to join the principal refugee, whether the principal has remained in
refugee status or has been adjusted to lawful permanent resident status. The qualifying
relationship must have existed at the time the principal refugee was admitted to the U.S. (a
child who was in utero at the time of his or her father's admission as a principal refugee
meets this requirement) and continue to exist at the time of the spouse's or child's
admission. To bring family members to the U.S. under the "following to join" provisions of
the Act, a refugee must submit Form 1-730 to the Nebraska Service Center. Approved
1-730s are transmitted to the National Visa Center and then forwarded to the overseas posts
where the dependents reside. All 1-730 beneficiaries are interviewed, either by INS or
consular officers, to establish their identities, their relationship to the petitioner, and their
admissibility to the United States.
(2) Admission procedures. Applicants for admission who fall within these categories should
be inspected in accordance with the following:
Following to join refugees will arrive at the POE with a packet of materials, including
the contents of their A files and an 1-94. Endorse the 1-94 with the refugee admission
stamp:
Admitted as a refugee for an indefinite period pursuant to section 207(c)(2) of the
Immigration and Nationality Act. If you depart the United States, you will need prior
permission to return. Employment Authorized.
Enter the port, date and your admission stamp number and follow the standard
procedures for refugee admissions outlined in Chapter 16.2(a) of this field manual
(including issuance of Form 1-6888).
(Revised IN03-21)

16.3

Asylum Applicants and Asylees.
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(a) General. Asylum applicants are aliens whose claims of eligibility for asylum have
not been finally decided. An asylum applicant may travel from, and return to, the U.S.
if granted an advance parole. If you are satisfied the asylum applicant is otherwise
admissible, parole the alien for the time period indicated on the 1-512, endorsing the
1-94 and 1-512 with the parole stamp, date, port and stamp number. Endorse the parole
stamp: "asylum applicant" as appropriate. Return the 1-512 to the alien if it is valid for
multiple entries and not nearing expiration. If expiring or valid for a single entry, retain
the document and forward it to the appropriate files control office.
Asylees are persons who have been granted asylum, but who either have not applied
for or have not been granted adjustment to permanent residence pursuant to section
209(b) of the Act. An asylee may be issued a refugee travel document on which to
travel from and return to the United States. Upon presentation of a refugee travel
document by an asylee, you must verify that the person presenting the document is the
authorized bearer and that the document is still valid, establish that the alien has not
re-availed him or herself of the protection of the country in which he or she claimed
persecution or has become inadmissible (under one of the limited number of grounds of
inadmissibility which also constitute mandatory bars to asylum under section 208(a)(2)
of the Act), and admit the alien as a returning asylee. (Note: Simply traveling to his or
her home country does not necessarily mean that the alien has re-availed him or
herself of the protection of that country.) Endorse the 1-571 and the 1-94 with the asylee
stamp bearing the legend:
Admitted for an indefinite period as a returning asylee under section 208(b)(1) of the
Immigration and Nationality Act. If you depart the United States, you will need prior
permission to return. Employment authorized.
The same provisions discussed in Chapter 16.2(a) relating to the issuance of a
replacement 1-94 to an alien in possession of an 1-94 bearing a legend previously used
by the Service applies equally to asylees. Furthermore, the same provisions discussed
in Chapter 16.2(b) and (c) relating to previously admitted refugees who departed the
United States without having obtained a refugee travel document or advance parole
also apply to asylees.
(b) "Following to join" dependents.
(1) General. The spouse or children of an asylee may also be granted asylum if they are
accompanying or following to join the principal asylee, even if the principal asylee has
already adjusted status to permanent residence under section 209 of the Act. Such
dependents are commonly referred to as "VISAS 92" cases. The relationship with the
principal asylee must have existed at the time the asylum application was approved (a child
who was in utero at the time his or her father was granted asylum satisfies this
requirement). Also, the family member must not fall within any of the mandatory grounds for

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a denial of asylum [See 8 CFR 208.19].
(2) Admission procedures. Applicants for admission who fall within these categories should
be inspected in accordance with the following:
Assuming that the VISAS 92 case is not subject to one of the mandatory bars to
asylum, admit the alien for an indefinite period using the asylee stamp bearing the
legend:
Admitted for an indefinite period as a dependent of an asylee under section
208(b)(3) of the Immigration and Nationality Act. If you depart the United States, you
will need prior permission to return. Employment authorized.
In accordance with section 309 of the Enhanced Border Security Act of 2002, you
must issue an Employment Authorization Card (Form 1-688B) to the alien at the time
of admission (see Chapter 16.2(a)(2) of this field manual.)
(Revised IN03-21)

16.4

Temporary Protected Status (TPS) Cases.

An alien granted TPS may travel out of the U.S. only if granted an advance parole [See 8 CFR
244]. If a TPS alien presents an unexpired 1-512, and is otherwise admissible, parole the alien
for the balance of time TPS is available for aliens of the relevant nationality. A TPS alien
attempting reentry without an advance parole should be placed in removal proceedings. A table
of TPS dates is included in the Adjudicator's Field Manual, Appendix 41-1.

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Chapter 17: Inadmissible Aliens
17.1

Deferred Inspection

17.2

Withdrawal of Application for Admission

17.3

Fraudulent Documents

17.4
17.5

False Claims to U.S. Citizenship
Waivers
Preparing Removal or Prosecution Hearings

17.6
17.7
17.8

Temporary Inadmissibility under section 235(c)
Detention of Aliens

17.9

Medical Referrals

17.10

Abandonment of Lawful Permanent Resident Status

17.11

Asylum Claims

17.12

Bonds

17.13

Visa Waiver Program Cases

17.14
17.15
17.16

Lookout Intercepts
Expedited Removal

17.17

Technical Notes

17.18

Use of Interpreters and Interpreter Services

Members and Representatives of Terrorist Organizations.

References:

INA:

Sections 212, 235, 240, 241.

Regulations:

8 CFR 212, 235, 240, 241.

17.1

Deferred Inspection. (Revised 5/16/05; CBP 9-05)

(a) General. A deferred inspection may be used when an immediate decision concerning
admissibility cannot be made at a port-of-entry (POE) and the officer has reason to believe that
doubts about the alien's admissibility can be overcome through:
•
•

presentation of additional evidence;
further review of the case (including perhaps a review of an existing A file);

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•
•

the posting of a maintenance of status and departure bond; or
other similar action that can only be conducted at the onward location.

In such cases the inspecting officer shall defer the inspection to the office having jurisdiction
over the area where the alien will be staying. Deferred inspections may be necessary to review
an existing file or some other documentary evidence essential to clarifying admissibility. The
inspecting officer shall defer for a specific purpose, and not as a way to transfer a difficult case
to another office. The inspecting officer should normally only use deferrals when it appears the
case would probably be resolved in the alien's favor, with limited exceptions. The officer shall
not defer an alien who is not expected to establish his or her admissibility. Before an alien is
deferred, the inspecting officer shall consider the likelihood that the alien will abscond or pose a
security risk.
When deferring an alien, the inspecting officer shall query at a minimum the IDENT, S011,
Central Index and IAFIS, if available, databases in order to determine if any adverse information
exists that would preclude the alien being paroled into the United States for deferred inspection
and to provide additional information regarding the case. The deferring officer shall note the
results on Form 1-546, Order to Appear for Deferred Inspection as noted below.
The deferring officer should take the following factors into consideration when making a
decision on whether to defer the inspection:
•
•
•
•
•
•
•
•
•

The likelihood that the alien will be able to establish admissibility;
The type of documents lacking, and the ability to obtain necessary documentation;
The alien's good faith efforts to obtain necessary documents prior to arrival at the POE;
The verification or establishment of the alien's identity and nationality;
Age, health, and family ties;
Other humanitarian considerations;
The likelihood that the alien will appear;
The nature of possible inadmissibility (i.e. criminal history, previous violations, etc.); and,
The potential danger posed to society if the alien were to be paroled.

If the alien is clearly inadmissible or may pose a security risk or danger to society, the officer
shall not defer the inspection. Instead, the officer shall place the alien in removal proceedings
or allow him or her to withdraw his or her application for admission. For information regarding
clearance of certain air cargo crewmembers, see Chapter 22.5(f)
(b) Deferral Procedures.
(1) Authorization: The responsibility to authorize a deferred inspection is delegated to the
level of port director, assistant port director, or chief inspector at the GS-13 level and above.
Express approval from the designated official is required before any inspection can be
deferred. Current field guidance on approval authority can be found in CBP policy
memorandum "Delegation of Immigration Authority Under Customs and Border Protection
(CBP) (T# 03-0495)" dated May 22, 2003 and Exercise of Discretion - Additional Guidance,
dated July 20, 2004.

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(2) A-file: If an A-file does not exist, the deferring officer shall open one. To determine if
an A-file exists, query the Central Index System. If there is an existing A-file, the deferring
officer should indicate the file number and files control office on the Form 1-546 so that the
onward office can locate or request the file before the alien appears. In the event of an
existing A-file, the deferring officer shall place all documentation in a temporary "T" file
(unless the deferring officer has access to the A-file itself). The deferring officer shall
forward the A-file or T-file containing the Form 1-546 to the onward office within 24-hours of
the scheduling of the deferred inspection.
(3) Each applicant whose inspection is deferred shall be photographed and fingerprinted on
Form FD-249. Only one set needs to be completed. The set of fingerprints shall be
maintained with the other information related to the alien and forwarded to the onward office
in the A-file. This set of fingerprints is kept in the A-file or T-file (until consolidated with the
A-File) and used if the alien fails to appear for his or her scheduled deferred inspection.
(4) Form 1-94: Parole the applicant for a brief period, generally not to exceed 30 days,
sufficient for the paperwork to arrive at the onward office and for the applicant to obtain any
necessary evidence to establish admissibility (additional guidelines related to parole can be
found in Chapter 16.1 of this field manual).
Stamp the departure and arrival portion of the Form 1-94, with a parole stamp and endorse
to indicate:
•
•
•
•
•
•

Date to which deferred/paroled
"DE, Deferred Inspection" (Purpose)
Deferring port code
Action date
The officer's admission stamp number
Onward office code

Place the alien's right index fingerprint on the reverse of the departure portion of the Form
1-94.
(5) Deferred Inspection Documentation. All individuals scheduled for a deferred inspection
are to be enrolled in the Enforcement Tracking System (ENFORCE). Generally, deferred
inspections are documented on a Form 1-546 and a Form 1-259, Notice to Detain, Remove
or Present Alien, if appropriate. General guidelines for creating a deferred inspection record
in ENFORCE are as follows:
(A)
Complete the Biographical Screen; an A-number is required. When finished,
click on the Apprehension Screen.
(B)Apprehension Screen:
•
•

Record the documents presented and arrival information.
The ArrivallDeparture Fprm 1-94 number is mandatory.

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•
Click "Charges" then record the section of law and description of the
inadmissibility.
•
Record the U.S. and foreign address fields.
•
Capture as much information as possible on the remaining tabs i.e. relatives,
work information, scars etc.
(C)
Select "Forms", then generate the forms necessary to document the deferred
inspection.
i. Form 1-546 Data Collection Screen: A deferred inspection places additional
unscheduled work on the onward office. Appearance for deferred inspection may place
additional burdens on the applicant who may, in many cases, be required to spend
considerable time and money to comply with the required deferral procedures. Ensure
that the information provided to the onward office is sufficient to allow the onward office
to complete the deferred inspection in a single appearance.
ENFORCE contains a table of all deferred inspection sites. To retrieve the list, type in
the first three-letters of the desired deferred inspection location or scroll through the
alphabetical list in the "Address (Site)" data entry field. When selecting the "deferred
inspection" disposition category, ENFORCE will display only deferred inspection sites in
the "Reporting Address" drop down menu. Specific scheduling information such as
hours and days of operation, telephone number and zip code are not encoded in the
table. Some local offices conduct deferred inspections only on certain days of the week,
or during certain hours, and may have specific room numbers for deferred applicants.
Therefore, all secondary stations at POEs are to have current information on hours of
operation, addresses and telephone numbers of CBP offices that handle deferred
inspections available to verify scheduling information. Refer to
http://cgovstaging/xp/cgov_Stage/toolbox/contacts/deferredjnspection/ for a complete
listing. When scheduling the deferred inspection, identify a specific reporting date and a
time block, rather than a specific time. There may be instances where the applicant is
required to call the deferred inspection office directly to schedule an appointment. All
individuals scheduled for a deferred inspection are to be given the telephone number of
the onward office's deferred inspection unit.
The recommending officer must complete the "Detail" block in the following manner:
•
•
•
•
•
•

Ensure that the information is complete and accurate for the inspector at the
onward office by specifically stating the purpose of the deferral;
Identify any documentation that the applicant is expected to produce;
Record the results of the database queries;
Annotate the name and title of the official that authorized the deferred inspection;
Record the telephone number of the deferred inspection office: and,
Identify the FCO of the existing A-file, if available.

ii. Form 1-259 Data Collection Screen: The creation of the Form 1-259 is required for
deferred inspections created at the air and sea ports-of-entry. Form 1-259 shall be
served on the affected carrier or on the captain of a private aircraft or vessel. Generally,

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the CBP Officer should select the fourth block "Notice of potential liability under section
241 (c), (d), or (e) of the Act". In the event the alien is formally ordered removed, an
amended Form 1-259 should be created by checking the second block "Notice to
Remove the Alien from The United States on _ at _", inserting the appropriate date
and POE. The amended Form 1-259 should be issued to the carrier responsible for
removing the alien to the last port of embarkation prior to arrival in the United States.
Follow local guidelines and procedures for authorization to detain an alien for removal.
iii. Q & A: Depending on the complexity of the case, the deferring office may wish to
capture additional information using a question and answer format.
(E) Print Forms:
•
•
•
•

Review the data for accuracy.
Place a legible parole stamp in the "Details" block of the applicant's copy of the
Form 1-546. Endorse in the same manner as the Form 1-94, as described above.
Attach copies of the amended Form 1-259 to the Form 1-546 in the A-file or T-file.
The CBP Officer processing the deferred inspection is to sign the line identified
as "Signature of Recommending Officer".

The supervisory CBP Officer will verify that the details on the forms are correct and sign
the Form 1-546 in the space provided.
(F) Return to the IDENT screen and perform a search and enroll. Do not book the
individual in IAFIS.
(6) Close Out:
(A) Verify that the applicant understands what documentation is necessary to overcome
the inadmissibility when appearing for the deferred inspection. Prior to departing the
secondary processing area, the applicant shall be given:
•
the departure section of the Form 1-94
•
the appointment copy of the Form 1-546 with a specific reporting date and a time
block, rather than a specific time. In some instances, the applicant will need to contact
the deferred inspection office to schedule the appointment.
(B) The deferring officer shall complete the Interagency Border Inspection System
(IBIS) secondary screen indicating a deferral. In the remarks section, enter the office
deferred to, date of inspection, and reason for deferral.
(C) A-file/T-file: The deferring officer shall include all forms generated in the A-file or
T-file along with any other documents relevant to the inspection. The A-file or T-file is to
be forwarded to the onward office within 24 hours of scheduling the deferred inspection.
Follow local procedures for deferrals within the same field office.
(D) Reporting Requirements: The Form G-22.1 should be completed to indicate the

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category and reason for the deferred inspection.
(E) Retention Requirements: A copy of Form 1-546 shall be maintained at the deferring
office until the ENFORCE record reflects that the case has been completed. Once
completed, the deferring office may shred/destroy the original paperwork. POEs are
responsible for monitoring the cases deferred to an onward office by reviewing the
results of the deferred inspection in 10-95 or ENFORCE.
(c) Processing a Deferred Inspection at the Onward Office. The inspecting officer at the
onward office should have received the deferral paperwork in advance of the applicant's
appearance. It is the responsibility of the onward office to locate and request an already
existing A-file, which should be reviewed prior to the applicant's appearance.
•
If the applicant is found admissible, a new Form 1-94 shall be executed using the office
symbol of the onward office and the current date as the date of admission. The officer should
ensure that the name, date of birth and country of citizenship written on the new Form 1-94 is
exactly the same as the information recorded on the Form 1-94 issued at the time of the
deferred inspection.
•
If the inspecting officer concludes that the alien is inadmissible, the officer shall
complete processing according to appropriate guidelines, which can be found in Chapters 17.2
through 17.17 of this field manual.
Upon completion of the deferred inspection, use 10-95 to create a new record within IBIS to
show the deferred inspection results. Indicate the disposition on the Form 1-546 included in the
A-file. Forward the original deferred Form 1-94 departure section and the new arrival section to
the recipient indicated in Appendix 15-8 for data entry, if required. Record the final disposition
of the deferral in ENFORCE. Query by event number, then record the outcome of the deferred
inspection in the disposition data entry field located in the Form 1-546 Data Collection Screen.
The Form G-22.1 should be completed to indicate the disposition of the deferred inspection.
The disposition shall be noted on the Form G-22.1 under other (PORT = Other) secondary
inspections operation report, complete other columns as appropriate.
(d) No Shows. The onward office is to monitor the cases referred for a deferred inspection.
Cases should not be pending longer than 30 days after the expiration of the scheduled
appointment, unless the applicant has requested an extension. If an alien fails to appear for his
or her deferred inspection, a Form 1-862, Notice to Appear shall be executed using the
information listed on the Form 1-546 and mailed to the address provided. All information related
to the case shall be added to the A-file. A lookout must be posted in IBIS. All aliens who have
lookouts posted shall be reported on the G-22.1 under "IBIS lookout entered". Criminal
penalties and the possible pursuit of a criminal warrant under 8 U.S.C. 1325 shall be pursued
on a case-by-case basis. All related information shall be forwarded to the CBP Prosecutions
Unit (CBP Enforcement Officers) and/or U.S. Immigration and Customs Enforcement to allow
further follow-up of the case. All aliens who fail to appear and for whom prosecution is pursued
shall be reported of the Form G-22.1 under "Prosecutable Cases Referred to INV". Query
ENFORCE by event number, in the "disposition" data entry field located in the Form 1-546 Data
Collection Screen, to record the action taken.

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(e) Attorney Representation at Deferred Inspection. At a deferred inspection, an applicant for
admission is not entitled to representation. See 8 CFR 292.5(b). However, an attorney may be
allowed to be present upon request if the supervisory CBP Officer on duty deems it appropriate.
The role of the attorney in such a situation is limited to that of observer and consultant to the
applicant.
(f) Medical Deferrals. When deferring inspection for a medical ground of inadmissibility under
INA Section 212(a)(1), consult with the Public Health Service (PHS) before permitting the alien
to proceed. If the alien is required to submit to further medical examination prior to reporting to
the onward office, return all medical documents including local PHS certification and x-rays to
the applicant in a sealed envelope for presentation to the doctor, medical clinic, or PHS facility
as instructed. If the alien is to report first to the onward CBP office, forward the medical
documents with the deferral papers directly to the onward office.

17.2

Withdrawal of Application for Admission.

(a) General. A nonimmigrant applicant for admission who does not appear to the inspecting
officer to be admissible may be offered the opportunity to withdraw his or her application for
admission rather than be detained for a removal hearing before an immigration judge or placed
in expedited removal. An alien cannot, as a matter of right, withdraw his or her application for
admission, but may be permitted to withdraw if it is determined to be in the best interest of
justice that a removal order not be issued. Before allowing an alien to withdraw, you must be
sure that the alien has both the intent and the means to depart immediately from the United
States. See section 235(a)(4) of the Act and 8 CFR 235.4.
Withdrawal is strictly voluntary and should not be coerced in any way. It may only be
considered as an alternative to removal proceedings when the alien is not clearly admissible.
Occasionally, POE workload, personnel resources, and availability of detention space may
affect whether you will allow withdrawal or pursue removal proceedings before an immigration
judge. However, in cases where the alternative to withdrawal is expedited removal, workload
and detention space are less significant considerations.
In exercising your discretion to permit withdrawal, you should carefully consider all facts and
circumstances related to the case to determine whether permitting withdrawal would be in the
best interest of justice, or conversely, that justice would be ill-served if an order of removal were
issued. In light of the serious consequences of issuing an expedited removal order, which
includes a 5-year bar to re-entry, the decision of whether to permit withdrawal should be based
on a careful balancing of relevant favorable and unfavorable factors in order to reach an
equitable decision. Such factors might include, but are not limited to:
(1) The seriousness of the immigration violation;
(2) Previous findings of inadmissibility against the alien;
(3) Intent on the part of the alien to violate the law;
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(4) Ability to easily overcome the ground of inadmissibility (i.e., lack of documents);
(5) Age or poor health of the alien; and
(6) Other humanitarian or public interest considerations.
An expedited removal order should ordinarily be issued, rather than permitting withdrawal, in
situations where there is obvious, deliberate fraud on the part of the applicant. For example,
where counterfeit or fraudulent documents are involved, an expedited removal order is normally
the appropriate response. On the other hand, in a situation where the alien may have
innocently or through ignorance, misinformation, or bad advice obtained an inappropriate visa
but has not concealed information during the course of the inspection, withdrawal should
ordinarily be permitted. Where an immigration violation has not yet occurred, and the
determination of inadmissibility is based on the alien's ignorance of permissible activities or on a
judgment of the alien's future intent, the factors cited above should be carefully weighed in
deciding whether to permit withdrawal or issue an expedited removal order. Where the travel
documents presented are prima facie valid, you should consider whether the violation warrants
the serious consequences of a formal removal. If the alien may readily overcome the
inadmissibility by obtaining proper documents, the alien may be permitted to withdraw his or her
application for admission and should also be appropriately advised of the necessary forms and
requirements to overcome the grounds of inadmissibility.
Under section 222(g) of the INA, as amended by IIRIRA, when an alien has remained in the
United States beyond the period of his or her authorized stay, the alien's visa is considered to
be void, even though no action may have been taken to physically cancel the visa. In a case
when an alien could not have been reasonably expected to know that his or her visa is void, but
the alien is otherwise admissible except for the lack of valid nonimmigrant visa, withdrawal of
application for admission may be considered. However, if the facts of the case indicate
particularly egregious immigration violations, such as long-term or repeated previous overstays,
unauthorized employment in the United States, or that the alien is again likely to remain beyond
his or her authorized stay or otherwise violate his or her status, an expedited removal order may
be appropriate.
An applicant who withdraws his or her application for admission is not considered formally
removed and therefore does not require permission to reapply for admission to the United
States. Once the reason for the inadmissibility is overcome, the alien may be eligible to apply
for a new visa or admission to reenter the United States.
(b) Jurisdiction. Generally, a withdrawal will be taken at the port-of-entry or following a deferred
inspection. However, there will be instances where a detained alien, prior to or during the
expedited removal credible fear process, is permitted to withdraw his or her application for
admission. Any INS officer involved in the continuing processing of an arriving alien may, after
obtaining authorization in accordance with local procedures, offer withdrawal if the situation
warrants. Withdrawal during the later stages of the expedited removal and credible fear
All facts,
process should be the exception rather than the normal course of action.

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circumstances, and factors relating to the case should be carefully considered. In expedited
removal cases, several units within INS may have already invested considerable time and
resources in pursuing expedited removal of the alien. In order to preserve a unified expedited
removal process and uniformity of decision, asylum officers may wish to consult with other units
involved to obtain any additional information concerning the case which may affect the decision
to permit withdrawal.
(c) Withdrawal Procedures. If, after obtaining supervisory concurrence in accordance with
local procedures, you decide to permit an applicant to withdraw, complete the necessary
paperwork. Once an applicant is granted permission to withdraw, prepare Form 1-275,
Withdrawal of Application for Admission/Consular Notification. The 1-275 must clearly state the
reasons for inadmissibility in the remarks block. A sworn statement should be taken and
attached to the 1-275. If the alien is inadmissible under section 212(a)(6)(C) or (7) and would
have been subject to expedited removal if not permitted to withdraw, the sworn statement
should be taken using Form 1-867A&B. Check any appropriate boxes on the 1-275. The alien
must sign the 1-275, acknowledging that the action is entirely voluntary. The alien should be
given a copy of the 1-275 and any sworn statement taken, unless the Form 1-275 contains
classified or sensitive information. Prepare and serve an 1-259 on the appropriate carrier to
effect removal. Complete the 1-94, endorsing both sections with: "WD - Application for
Admission Withdrawn. (Stamp number), (Port), and (Date)." On the reverse of the 1-94,
indicate the file number, if appropriate, in Block 20. In Block 26, under Itinerary/Comments,
write the grounds of inadmissibility, and "1-275 served. To be removed via (flight number) on
(date)". Also include removal flight information on the front of the departure portion of the 1-94.
Cancel the nonimmigrant visa, and note the visa page "22 CFR 41.122(h)(3)." In a case where
the alien may, through ignorance, bad advice, or misinformation, have inadvertently arrived with
inadequate documents or an improper visa, and there was no fraud involved and you are
satisfied that the alien will depart in order to comply with admissibility requirements, a visa may
be left intact for future use.
Prepare a packet in a sealed envelope for immigration officials in the country to which the alien
is being returned, containing the alien's travel document and a copy of the Form 1-275 or other
relevant information that may be needed by the immigration officials in the ongoing country.
Where practical, advise INS offices overseas by phone or fax of aliens moving through their
jurisdiction. Forward the original of the 1-275 and sworn statement to the consulate where the
visa was issued. Route the arrival 1-94 for data entry and deliver the departure 1-94 to the
carrier to be submitted with other departure 1-94s for the outbound flight. Maintain a copy of all
relating documents, including the pertinent passport pages and other evidence at the port of
arrival for 6 months. Refer to Chapter 21.2 for special Canadian border procedures and to
Chapter 17.15(f) for specific instructions relating to withdrawal of application for admission by
minors.
(d) Return Transportation Arrangements. An alien who is permitted to withdraw must depart
immediately from the United States, or as soon as return transportation can be arranged. If the
alien arrived at an airport or seaport, arrange for departure on the next available transportation
either back to the country where the alien boarded the flight or vessel, or to another country if
the alien is entitled to enter that country. In instances where the alien is being returned to a
third country through a foreign transit point, every possible effort must be made to ensure that

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an immediate and continuous transit will be ensured. If the alien does not have either a return
ticket or the carrier has not otherwise agreed to transport the alien, removal proceedings should
be instituted. If the alien has an open ticket, make sure satisfactory confirmed return
transportation arrangements are made. If the alien arrived at a land border port-of-entry, he or
she is not permitted to enter the United States, and is simply returned to the contiguous territory
from which he or she arrived.
(Chapter 17.2 revised 12/22/97; IN98-05)

17.3

Fraudulent Documents.

(a) General. Any passport, visa, alien registration card, or other document presented by an
applicant for admission is potentially a counterfeit or altered document, a document procured by
fraud or a genuine document being presented by an imposter. As document quality has
improved, so has the ability of document vendors to create better quality counterfeits. Tools for
detecting fraudulent documents are discussed in Chapter 34. A discussion of the Forensic
Document Laboratory and other Intelligence support activities are contained in Chapter 32. The
El Paso Intelligence Center (EPIC) can also be of assistance in detecting fraudulent
documents. EPIC may be contacted in writing at: EPIC; 11339 SSG Sims St.; EI Paso, TX
79908-8098; Att: ICS or by calling (915) 564-2000,. See Chapter 32 for further discussion of
EPIC functions.
Once you have determined a document is fraudulent or is being presented by other than the
rightful holder, in addition to processing the holder as an inadmissible alien, you must insure
that information about the document is properly routed to INS Intelligence for dissemination to
others. It is important that information be distributed promptly, since document vendors often
produce multiple documents using the same techniques. In order to effectively identify such
documents, one of the most valuable assets is current, accurate intelligence information. Local
ports generally have one or more designated inspectors assigned as collateral intelligence
officers to insure such information is properly routed to and from other officers.
Local ports tend to have patterns for the types of documents encountered which are most likely
to be fraudulent. Birth and baptismal certificates, which have no national standards, are the
most commonly counterfeited, altered, or improperly issued documents. Familiarize yourself
with security checkpoints of documents regularly presented at your port-of-entry. (Revised
IN98-13)
(b) Counterfeit or Altered Document. Alteration of documents occurs in several ways:
changing data on a valid document to fit the description of the alien applicant, photo
substitution, and page substitution are the most common. Counterfeiting of birth records and
other similar documents is also commonplace, counterfeiting of entire passports happens less
frequently. Some attempts are excellent, others fairly crude. Always examine documents with
laminated photos, such as border crossing cards, outside any case or holder so you can feel
any relamination. This is a good practice, even at land border primary locations. Familiarity
with document alerts and passport studies provided by the Intelligence Division will also make

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detection of this type of fraudulent document easier.
examination.

Following are tips for passport

•

Examination of a passport begins with the cover. Look for the quality and clarity of
printing, color, thickness and even spelling. Check the shape and cut of corners.

•

Next inspect the inside pages for known watermarks and background printing, as well as
any other known security checkpoints. Again, examine spelling and print quality. Check
the alignment of pages and the shape and cut of corners. Perforations should generally
be sharp, distinct and evenly aligned.

•

Review the data page or pages of the document. Handwritten entries should be made
with the same color ink, without overwritten or blotched entries. Typed entries should all
be with the same typeface and consistency of ink.

•

Examine the photo page for signs of double lamination, cuts in the lamination, excessive
glue, or wrinkling. Inspect wet or dry seals overlapping the photo. Seals should be
aligned and distinct. The seal impression on the reverse side of the page should match
that of the front.

•

Examine the page immediately opposite the photo page for grommet or staple
indentations. Such indentations should match the grommet or staple attaching the
photo.

•

Examine the binding for jagged or enlarged stitching holes. Stitching should be evenly
spaced.

(c) Genuine Document Presented by Imposter. Careful questioning of an applicant regarding
the nature of the visit and the particulars of how the visa was obtained, and close scrutiny of the
photo and biographic data on the travel document will assist you in determining if the bearer is
the rightful holder of the passport or visa. Immigration officers have delegated authority,
pursuant to 22 CFR 41.122(h) to cancel genuinely issued visas which have been removed from
the original travel document or which are presented by other than the rightful holder. Whenever
such action is taken, prepare Form 1-275 to advise the issuing consulate.
(d) Genuine Document Obtained by Fraud. Among the more difficult tasks you face as an
inspector is making a determination that a passport, visa or, other document issued by
competent authority was based on a fraudulent application or agency error. While it is not
possible for you to readjudicate the underlying basis of eligibility for every document presented,
you should be aware of the general requirements for various immigration benefits and know
what relevant questions to ask an applicant for admission when you become suspicious. As
INS automated systems improve, you have at your disposal more information from agency files
upon which to inquire. Access to INS automated systems is discussed in Chapter 31. Your
observation of the applicant's demeanor and his or her responses to simple questions are the
best tool for uncovering this type of fraud.

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(e) H-'l B Fraud Refusal Notification Report. Pursuant to Section 108 of the "American
Competitiveness in the Twenty-First Century Act" (Public Law 106-313), when an H-1 B
petition is revoked because the alien obtained the H-'l B visa through fraud or
misrepresentation, the Service will recapture the H-1 B visa number. Any revocation
based on fraud will restore an H-1 B visa number to the total number of aliens who may
be issued a visa in the fiscal year in which the petition is revoked. The H-1 B Fraud
Refusal Notification Report (Appendix 17-7) shall be used in all cases where an H-1 B
visa fraud determination has been made at a Port-of-Entry. A copy of Form 1-275,
Withdrawal of Application for Admission/Consular Notification, shall be included to
further indicate the basis for the action. This information substantiating an incident of
H-1 B fraud shall be forwarded, via facsimile, to the service center where the petition
was approved. That service center will notify the petitioner of the revocation and will
update the computer system to correctly reflect the H-1 B visa numerical limitation
change.
(Added IN01-14)

17.4

False Claims to U.S. Citizenship.

(a) General. You must always be alert to the possibility that an alien may attempt entry by
falsely claiming United States citizenship. The claim may be either an oral claim or one
supported by an authentic or fraudulent document. The best defense against false claims to
U.S. citizenship is your own instinct as an inspector. The most obvious clues in detecting a
false claim are nervous actions or reactions on the part of the applicant or language patterns
that don't fit the claim to citizenshi .
e applicant claims
recent na ura Iza lon, that may be sufficient to convince you he or s e is a U.S. citizen or it may
prompt further questions, or a check of the Central Index.
Become familiar with the persons at your port who can assist you in the questioning of a
suspected false claim. A native Spanish speaker, familiar with various local accents and
idioms, is more likely to quickly detect, for example, a Central American claiming birth in Puerto
Rico. Learn the procedures used by various local officials involved in issuing citizenship
documents; request original or certified copies of documents which are presented.
A word of caution -- Never refer a person to secondary as a false claim simply because the
person is belligerent, disrespectful or suspected of being under the influence of alcohol or other
drugs. Refer him or her when you have some reason to believe the person is an alien
attempting to commit a fraud.
A new ground of inadmissibility for false claims to U.S. citizenship was added to
§212(a)(6)(C)(ii) of the Act by IIRIRA, for representations made on or after the date of
enactment, September 30, 1996. Aliens who make a false claim to U.S. citizenship therefore
are supject to the expedited removal provisions of §235(b)(1) of the Act. See Chapter 17.15 for
expedited removal procedures.
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(b) Procedures. Once you have made a determination that an applicant for admission is
making an false claim U.S. citizenship, process the case as an expedited removal case or
permit withdrawal of application for admission. In order to prevent the improper removal of a
U.S. citizen without hearing or review, a provision was added to the regulations in 8 CFR
235.3(b)(5) to provide for a review of the expedited removal order by an immigration judge. As
with any claim to U.S. citizenship, every effort should be made to either verify or disprove the
claim prior to proceeding with issuance of a removal order. Only those cases where you are
absolutely not satisfied that the person is a U.S. citizen should result in a removal order. To
refer the case to a judge, use Form 1-863, executing block 4 of the form. In cases of claims
supported by documentation, in addition to the above, complete Form G-329, Documented
False Claim to Citizenship, and forward it to the appropriate address listed in Appendix 15-8.
Attach the original documents, unless they are being used as evidence, a complete set of the
alien's fingerprints on Form FD-249, and a photograph. If original documents are needed for
other purposes, attach a photocopy. If a genuine document is being presented by an imposter,
obtain, if possible, biographic and family information relating to the person to whom the
document relates. [Detailed instructions on preparing Form G-329 are contained in Chapter
32.6.]

17.5

Waivers.

(a) General. The grounds of inadmissibility applicable to aliens are established by §212 of the
Act. There are a series of exemptions and waivers for various grounds of inadmissibility.
Exemptions refer to statutory or regulatory constructions whereby certain classes of aliens are
not subject to inadmissibility, under specific circumstances, based on certain general provisions
relating to inadmissibility. No application or adjudication is needed when an alien is exempt
from a ground of inadmissibility. For example, many aliens are, by regulation, exempt the
general passport and visa requirements. Generally, waivers refer to specific applications, filed
individually, and adjudicated to remove temporarily or permanently one or more specific
grounds of inadmissibility. Waivers are available to immigrants pursuant to sections 211 (b),
212(a)(3)(D)(iv), 212(a)(9)(B)(v), 212(d)(11), 212(d)(12), 212(e), (g)(1), (g)(2), (g)(3), (h), (i),
and (k). Waivers are available to nonimmigrants under sections 212(d)(1), (d)(3), (d)(4), and
(I). Additionally, certain qualifying aliens are eligible for automatic waivers under sections
212(m) and (0). No application or fee is required for such automatic waivers. There are a
variety of situations involving inspection of aliens requiring waivers of inadmissibility. In many
instances the need for a waiver has been determined and adjudication of a waiver has been
completed before the alien arrives at the port-of-entry. In such cases, the nonimmigrant visa
will be noted or the alien will possess a notice of action approving the waiver. In other
instances, the need for a waiver will be determined during the inspection process and the
matter can often be resolved during secondary inspection.
(b) Permanent Residents Without Valid Alien Registration Documents. During the inspection
process, you may be required to process a waiver under section 211 (b) of the Act if a returning
resident is not in possession of his or her alien registration card or reentry permit. If the
applicant is otherwise admissible, complete Form 1-193, Application for Waiver of Passport
and/or Visa, collect the required fee, stamp the 1-193 and passport with your admission stamp

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and endorse them "211 (b)." Before approving such a waiver, query the applicant's status in
Central Index to verify the validity of his or her lawful permanent residence. See Chapter 13.2
for a discussion of this and other options for admitting returning residents. If you deny a waiver
under section 211 (b) of the Act, the application may be renewed in removal proceedings before
an immigration judge.
There are a number of precedent decisions relating to section 211 (b) waivers. In Matter of
Abdoulin, 17 I&N Dec 458 (BIA 1981), the Board ruled that denial of a waiver by the district
director did not constitute a definitive adjudication of abandonment of permanent residence. In
Matter of Muller, 16 I&N Dec. 637 (BIA 1978), the Board discussed factors to be considered in
determining the issue of abandonment. Other relating precedents relating to abandonment of
residence and entitlement to a waiver include: Matter of Davis, 16 I&N Dec. 514 (BIA 1978);
Matter of Delgadillo, 15 I&N Dec. 395 (BIA 1975); Matter of Galvan, 14 I&N Dec. 518 (BIA
1974); Matter of Castro, 14 I&N Dec. 492 (BIA 1974); Matter of Montero, 14 I&N Dec. 399
(BIA 1973); Matter of Wu, 14 I&N Dec. 290 (Regional Commissioner 1973); Matter of
Hoffman-Arvayo, 13 I&N Dec. 750 (BIA 1971); Matter of Wighton, 13 I&N Dec. 683 (BIA
1970, 1971); Matter of Salviejo, 13 I&N Dec. 557 (BIA 1970); Matter of Escalante, 13 I&N
Dec. 223 (BIA 1969); and Matter of Vielma-Ortiz, 11 I&N Dec. 414 (BIA 1965).
(c) Waivers for New Immigrants.
An alien inadmissible from the U.S. under section
212(a)(5)(A) or (7)(A)(i), who is in possession of an immigrant visa may, if otherwise admissible,
be admitted by applying to the district director at the port-of-entry at which the alien arrived for a
waiver on Form 1-193, under the conditions described in §212(k) of the Act and 8 CFR 212.10.
This waiver is available to correct such technical defects as when a consular official has placed
an improper classification symbol on the visa or where classification has changed due to the
alien turning 21 years of age subsequent to visa issuance. It is available both at a port-of-entry
at the time of initial admission or nunc pro tunc. 1\10 fee is required. Adjudicate the application
and attach the form to the immigrant visa packet. If denied, application for a section 212(k)
waiver may be renewed before an immigration judge in removal proceedings.
Precedent decisions involving application for a section 212(k) waiver of section 212(a)(5)(A)
include: Matter of Morgan, 13 I&N Dec. 283, (BIA 1979); Matter of Ortega, 13 I&N Dec. 606
(BIA 1970); Matter of Ulanday, 13 I&N Dec. 729 (BIA 1971); Matter of Paco, 12 I&N Dec.
599 (BIA 1968); Matter of Thompson, 13 1&1\1 Dec. 1 (BIA 1968); Matter of Welcome, 13 I&N
Dec. 352 (BIA 1969); and Matter of Rodriques, 13 1&1\1 Dec. 746 (BIA 1971).
Precedent decisions involving application for a section 212(k) waiver of section 212(a)(7)(A)(i)
include: Matter of Pierce, 17 I&N Dec. 456 (BIA 1980); Matter of S- B-, 7 I&N Dec. 298 (BIA
1956); Matter of Alarcon, 17 I&N Dec. 574 (BIA 1980); and Matter of Khan, 14 I&N Dec. 122
(BIA 1972).
A waiver of the passport requirement, using the 1-193 procedure described above, is also
provided in 8 CFR 211.2. Other waiver provisions applicable to new immigrants are normally
adjudicated in advance. Approval of such waivers should be indicated by the consular official
on the immigrant visa, OF-155A.

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(d) Nonimmigrants.
(1) Section 212(d)(3)(A). Nonimmigrants who are inadmissible to the United States, and
who require a visa, must apply in advance for a waiver under section 212(d)(3)(A) of the
Act. Joint concurrence by the Secretary of State and the Attorney General is required for
approval. The alien usually applies for the waiver in conjunction with the application for a
nonimmigrant visa. Once approved, the section of law under which the waiver was approved
and any special limitations will be noted on the visa. If otherwise admissible, enter the
waiver information and any restrictions on the reverse side of the 1-94 in the appropriate
blocks.
(2) Section 212(d)(3)(B). Inadmissible nonimmigrants who are already in possession of a
nonimmigrant visa, or who are exempt the requirement for a visa, must apply for
authorization under section 212(d)(3)(B) of the Act to the district director having jurisdiction
over the intended port-of-entry. Application is made on Form 1-192, Application for Advance
Permission to Enter as a Nonimmigrant. Adjudication procedures are discussed in detail in
Chapter 42 of the Adjudicator's Field Manual. If such application has been approved, the
alien will be in possession of Form 1-194, Notice of Approval of Advance Permission to
Enter as a Nonimmigrant. If otherwise admissible, enter the section 212(d)(3) authorization
information, the file number, and the FCO code on the reverse side of the Form 1-94, along
with any conditions or restrictions.
[IN 02-08]
(3) Section 212(d)(4)(A) Waiver of Passport and/or Visa.

(A) An authorizing official, as designated in the memorandum Delegation of
Immigration Authority Under Customs and Border Protection (CBP)
(TC#03-0495), dated May 22, 2003, has the discretion to grant a 212(d)(4)(A)
waiver only if the alien clearly demonstrates that an unforeseen emergency
prevented him or her from acquiring the appropriate passport or visa. Currently,
this authority is delegated to the port director at the GS-13 level and above. See
generally Matter of LeFloch, 13 I. & N. Dec. 251, 255-56 (BIA 1969) 212(d)(4)(A)
waiver of student visa denied after U.S. consulate incorrectly informed B visa
holder that no student visa was necessary; no unforeseen emergency); Matter of
V, 8 I. & N. Dec. 485, 485-87 (BIA 1959) (no unforeseen emergency where alien
had ample opportunity in advance of travel to obtain a visa). The term
"unforeseen emergency" as used in 8 CFR 212.1 (g) generally means:
(i) an alien arriving for a medical emergency;

(ii) an emergency or rescue worker arriving In response to a community
disaster or catastrophe in the United States;
(iii) an alien accompanying or following to join a person arriving for a medical
emergency;
(iv) an alien arriving to visit a spouse, child, parent, or sibling who within the

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past 5 days has unexpectedly become critically ill or who within the past 5
days has died; or
(v) an alien whose passport or visa was lost or stolen within 48 hours of
departing the last port of embarkation for the United States.
(B) In a case where a section 212(d)(4)(A) waiver is under consideration, the
alien should complete Form 1-193 and remit the appropriate fee. In the remarks
block of the Form 1-193, the immigration officer shall precisely describe the
unforeseen emergency that prevented the alien from obtaining the proper
documentation before arriving in the United States. In addition, the officer shall
describe precisely why a reasonable person in the alien's position could not have
anticipated the emergency that predicated his or her arrival in the United States
without the proper documents. Mark "n/a" in the block designated for Department
of State concurrence on the Form 1-193. Where an authorizing official favorably
adjudicates an application for a section 212(d)(4)(A) waiver, the admitting officer
shall stamp the passport using the regular admission stamp, note the class of
admission (i.e., B-1, B-2, etc.), and write, "212(d)(4)(A) unforeseen emergency
waiver" in the alien's passport under the admission stamp. The admitting officer
shall also make the same notation on the reverse side of both the arrival and
departure portion of Form 1-94.
(C) An authorizing official may also, on a case-by-case basis, approve a
212(d)(4)(A) waiver should individual unforeseen emergency circumstances arise
that do not fall witrlin the scope of an unforeseen emergency as described
above. This authority shall also apply to those individuals who are officially
acting in the capacity of the port director (GS-13 and above) or higher level.
(D) The official who authorizes a waiver under paragraph (d)(3)(C) of this chapter
(i.e., the previous paragraph) shall maintain a log that precisely describes the
emergency that prevented the alien from acquiring the required documents
before arriving in the United States. In addition, before granting any such waiver,
the authorizing official shall describe precisely why a reasonable person in the
alien's position could not have anticipated the emergency that predicated his or
her arrival in the United States without the proper documents. Finally, the official
who authorizes a waiver under paragraph (d)(3)(C) of this chapter shall adhere to
the procedures identified in paragraph (d)(3)(B) of this chapter regarding the
execution of the Form 1-193 and marking the passport.r regarding the execution of
the Form 1-193 and marking the passport.
(e) Headquarters Responsibility for Certain Waivers under Section 212(d)(3)(A) of the
Act.
(1) General. Oversight of waivers of inadmissibility for nonimmigrants is the responsibility of
the Inspections Program. The Act stipulates that the Secretary of State may recommend
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the waiver and the Attorney General may grant or deny. Normally, the recommendations
are made to the Service at the overseas districts. Certain categories, however, are elevated
to the "seat of government" level as detailed below. [See 8 CFR 212.8.]
In making the recommendation to the Service, Section 40.111 of the Foreign Affairs Manual
(FAM) instructs State Department officers to include:
•

The relevant humanitarian, political, economic or public relations factors;

•

a statement (where applicable) that DOS is satisfied the alien has a residence abroad
which he or she has no intention of abandoning;

•

a statement that the alien is properly classified as a nonimmigrant;

•

the officer's precise recommendation and the reasons therefor.

FAM guidance to consular officers specifies that a waiver may be requested (except as
precluded by statute) for any nonimmigrant alien whose presence would not be detrimental
to the United States and that the law does not require that recommendations be limited to
exceptional, humanitarian or national interest cases. It further states: "Thus, while the
exercise of discretion and good judgment is essential, generally, consular officers may
recommend waivers for any legitimate purpose such as family visits, medical treatment
(whether or not available abroad), business conferences, tourism, etc." It goes on,
however: "In cases of ineligibility for other than security reasons, the consular officer must
weigh additional considerations as recency and seriousness of the crime or offense, type of
disability, reasons for the proposed travel to the United States and the probable
consequences, if any, to the public interests of the United States."
Although the FAM provides guidance for State Department officers, the Service is not
bound by it. The inspector should consider all of the above and also consider that the
Congress has deemed these aliens inadmissible to the United States. In considering the
waiver weigh the benefit, if any, to the United States should the waiver be granted. In
situations where the proposed visit is for the purpose of medical treatment, consider
whether such treatment is available to the alien abroad. Granting of waivers of these
grounds should not be routine and available just for the asking.
(2) Mandatory Referrals. Although any case may be referred to the Department of State
Visa Office by a consular officer for consideration of a recommendation to HQINS, there
are certain cases in which the FAM mandates the referral:
•

Any case where it is requested by the alien or an interested party in the U.S. that it be
forwarded;

•

Any case where the consular officer knows or has reason to believe that pertinent
considerations not available at the post may be available to or through the Department;

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•

Prior refusals;

•

Any case where the alien's presence or activities in the U.S. might become a matter of
public interest or of foreign relations significance;

•

Any case in which the Department has mandated an advisory opinion be sought;

•

The case of any alien who is a national of a country which the U.S. does not recognize
or with which we have no diplomatic relations;

•

The case of any alien not classifiable under INA Section 101 (a) (15) (A) or (G) but
destined on official business to the United Nations;

•

Cases of any SILEX
BUSVIS/CHINEX aliens;

•

The case of any Soviet applying for an I visa;

•

Any case involving 212(a)(3)(B);

•

Any cases in which the consular officer recommends a term of greater than one year.

or

BUSVIS/SILEX

alien

and

of

certain

CHINEX

or

(3) Limitations. Multiple entry waivers are not to be given to an alien who:
•

Has a mental or physical disorder;

•

Is a narcotic drug addict or a narcotic trafficker (multiples have been granted before in
special cases with DEAlCustoms/FBI involvement);

•

Is afflicted with a communicable disease;

•

Was convicted of a CIMT and is less than 5 years post-release;

•

Prostitution related activity within 10 years of visa application.

(4) Silent Waivers. The majority of cases referred to HQINS involve either aliens involved
with terrorism or illegal drug activity in which the Drug Enforcement Agency or another
federal agency requests a "silent waiver" or some other special handling for cases in which
the consular officer recommends greater than one year validity. In the terrorist-related
cases, request the FBI position on the recommendation and consider any objections
presented. If the objections of the FBI cannot be overcome to their satisfaction by travel
restrictions or some other consideration, the case should be referred to the Department of
Justice's Office of Intelligence Policy and Review (OIPR). In the drug cases, require

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detailed information as to what the alien is expected to do and what benefit exists for the
U.S. Do not accept simple assurances. If the requesting law enforcement agency is
requesting the "silent waiver" to effect an alien's arrest, the alien to be arrested should be
at such a significant level within the criminal organization that the arrest materially affects it,
or there should be some other significant gain in the case to justify the expense to the
United States.
In all cases, place any restrictions that you feel are necessary. Some examples might be:
geographical (4 block radius of the U.N.); port-of-entry (arrive at ~IFK only); time (3 days);
advance itinerary (usually requested by the FBI), etc. on a case-by-case basis.

(Paragraph (e) added by IN97-08)

17.6

Preparing Removal or Prosecution Hearings.

(a) General. If you determine that an alien is inadmissible, and the grounds of inadmissibility
cannot be resolved readily and the alien does not elect to withdraw (or is not afforded the
opportunity), you must prepare necessary paperwork for a removal proceeding before an
immigration judge or for prosecution. Most often, an alien will be detained or paroled until the
hearing date. An alien who is inadmissible under section 212(a)(6)(C) or (7) is subject to the
expedited removal provisions of section 235(b)(1) and should be processed in accordance with
Chapter 17.15. If such an alien is also being charged with additional grounds of inadmissibility,
follow the procedures below.
(b) Preparing the Case. There are a number of steps to be taken to refer a case for a removal
hearing or for prosecution. Complete, accurate case preparation is extremely important.
Prepare cases for prosecution according to guidelines set by the local U.S. Attorney. The
following steps must be taken in each case referred to an immigration judge for removal
proceedings:
(1) Take a complete sworn statement from the alien, concerning all pertinent facts. Collect
any additional evidence relevant to the case which is discovered during the inspection
process. Use Form 1-263A as a jurat to close the statement. Provide a copy of the
statement to the alien and retain copies for the Service file and record of proceedings.
(2) Prepare three copies of Form 1-862, Notice to Appear. If the alien is being held in
Service custody, indicate that fact and location of the facility where the alien is detained in
the address block. If the alien is not being held in Service custody, enter the complete
address and phone number where the alien can be reached and provide the alien with Form
EOIR-33 to report any change of address. If the aliens's mailing address is different than

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the physical address, include both. Check the first box and provide a brief narrative
description of the facts of the alien's arrival and inadmissibility under description of charges.
Standard language for all charges under section 212(a) is available through most
automated forms systems used by the Service. Fill in the complete citation for the provision
of law (e.g. 212(a)(2)(A)(i)(I)) under which the alien is being charged. Enter the complete
address of the appropriate Immigration Court in the space provided. The Notice to Appear
must ordinarily include the time and place of the hearing. Obtain a date and time for the
hearing using the EOIR ANSIR system, or following established local procedures. In
unusual situations when a hearing date and time cannot be obtained, such as when there is
a computer system outage, indicate" to be set" in the appropriate data field. Advise the
alien, in a language that he or she can understand, of the time and place of the hearing and
of the consequences of failure to appear. Sign and date the 1-862. Normally, a hearing
may not be conducted sooner than 10 days after service of the Notice to Appear. If the
alien wishes to waive this time period and have an immediate hearing (or as soon as one
can be arranged), have the alien sign the section entitled "Request for Prompt Hearing."
Serve the 1-862 on the alien and provide him or her with a current list of organizations and
programs prescribed in 8 CFR 292 which provide free legal services.
Serve one copy of the 1-862 on the alien, unless the alien is to be released and deferred to
an onward office, in which case the service is accomplished by the onward office.
(3) Photograph and fingerprint the alien on FD-249 fingerprint cards (three sets).
Distribution of the fingerprints should be made in accordance with the procedures set forth
in chapter 18.9(c). Be sure to properly code the fingerprint cards with the proper United
States Code citation, since the FBI will not clear cards without such codes. Following are
examples of codes that may be used:

•

18 U.S.C. 1544

Photo substitutions

•

18 U.S.C. 1546

Counterfeit immigrant visa

•

8 U.S.C. 1306

Counterfeit INS documents, such as alien
registration

•

18 U.S.C. 911

False claims to U.S. citizenship (imposters, photc
substitution of U.S. passport)

•

18 U.S.C. 1001

Other (fraudulent documents, imposter, no
documents, etc.)

(4) If the alien is to be detained, consult 8 CFR 236.1 (e) to ensure that, if required, the
appropriate consular official is immediately notified of the alien's detention, even if the alien
requests that this not be done. Notify the alien that he or she may communicate with a

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consular official.
(5)
Complete local procedures for authorization and arrangement of detention, if
appropriate. If the alien is being detained pending the removal hearing, complete a Form
1-94 for NilS entry notated: "1-862 served - Detained at
for removal proceedings on
(date). (Date), (Place), (Officer)." Section 235(b)(2) of the Act, as amended by IIRIRA,
provides the detention authority for arriving aliens placed into removal proceedings under
section 240. This provision is functionally equivalent to the old 235(b), and does not require
issuance of a Warrant of Arrest.
(6) In cases involving fraudulent documents, if the sworn statement includes an admission
of the fraud, no forensic analysis may be required prior to the hearing. If there is no
admission, consider forwarding the fraudulent document to the Forensic Document
Laboratory (FDL) for analysis. [See Chapter 32 for details on using FDL services.]
(7) Search for existing Service records in CIS and other appropriate automated systems. If
an "A" file exists, create a temporary file and request the permanent file for the hearing,
otherwise, open a new file. [Chapter 31 contains detailed information on use of Service
data bases.]
(8) At air and seaports, serve the carrier with Form 1-259, Notice to Detain, Remove, or
Present Aliens, and check the appropriate boxes to advise the carrier of potential liability for
removal and to order the carrier to remove the alien when the removal process is finished.
(9) If the alien is to be released for an removal hearing at an onward office, complete a
Form 1-546, Notice to Appear for Deferred Inspection, following procedures set forth in
Chapter 17.1. In such cases, the 1-862 will be served by the onward office. Although
ordinarily not an option, this procedure is may be appropriate for determining whether to
institute removal proceedings in cases involving returning permanent residents.
(10) Prepare two identical sets of all documents to be submitted as evidence: one for the
Service file, and one for the Immigration Court.
(c) Post-hearing actions.
(1) Alien ordered admitted. Complete the inspection process as you would any other
admission, including processing a new Form 1-94, noting the remarks block "ordered
admitted by immigration judge". Collect any prior departure 1-94, stamp the reverse with
your admission stamp and forward for data entry.
When the immigration judge orders the admission of a detained alien or an alien at a land
border, and the decision is not final because the Service's appeal time has not tolled, an
appeal has not been decided, or the decision has been certified to the Board of Immigration
Appeals, release and parole the alien unless particular facts, such as an alien's serious
criminal background, warrant other action.

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(2) Alien ordered removed. Complete and serve Form 1-296, Notice to Alien Ordered
Removed/Departure Verification, on the alien, checking the appropriate box to indicate the
duration of the penalty imposed and the reason for such penalty. The penalty for an
aggravated felony may be imposed on such felon, even if the alien was not charged as
being inadmissible as an aggravated felon in this proceeding. Forward one set of
fingerprints on Form FD-249 to the FBI. At the time of actual removal, a photograph and a
pressed print of the alien's right index finger should be placed on the Service copy of the
1-296, the alien should sign the form, and the particulars of the departure entered on the
form for retention in the file. Cancel the alien's visa or border crossing card, if appropriate,
and complete and distribute Form 1-275 as described in Chapter 17.2. Note the passport
with the file number and action taken, for example: "Ordered Removed 12/1/97
NYC/Section 212(a)(2)(A)(i)(I)". Forward a copy of the removal order with the 1-275 to the
Department of State. Prepare a new 1-94, endorse it with a parole stamp and note the
stamp "For removal from the U.S. by (carrier name)", the date of removal, stamp number,
port, and action date. Serve Form 1-259 on the affected carrier, if appropriate.
In the case of an alien with an immigrant visa ordered removed, the immigrant visa packet,
noted by the immigration judge, is retained in the file of the Executive Office for Immigration
Review. Other procedures outlined above are the same.
(3) Alien permitted to withdraw during removal hearing. In a case where the immigration
judge permits the alien to withdraw his or her application for admission prior to conclusion of
a hearing, follow procedures described in Chapter 17.2.
(d) Removal proceedings involving lawful permanent residents.
(1) Meaningful Departure. If a returning lawful permanent resident appears inadmissible,
first determine if he or she is an applicant for admission within the meaning of section
101 (a)(13)(C) of the Act. See discussion in Chapter 13.
(2) Procedures. If you find that a lawful permanent resident is considered to be seeking
admission and appears to have abandoned his or her permanent residence in the United
States, there are several possible courses of action:
deferred inspection, removal
proceedings, nonimmigrant admission or parole and, occasionally, withdrawal of application
for admission. In any case, temporarily lift, but do not destroy or return to the card facility,
the Alien Registration Receipt Card (Form 1-551). In instances where detention is not
warranted, defer inspection for institution of removal proceedings, as described above in
paragraph (b)(10) and Chapter 17.1. If you are going to schedule a removal hearing, follow
applicable procedures above. In addition, issue a temporary 1-551 in accordance with 8
CFR 264.5(g) and local procedures. Note the reverse of the temporary card: "Alien is
scheduled for removal hearing - do not admit as LPR." Parole the alien for the time
necessary to conclude the removal proceeding. Abandonment of residence is discussed in
Chapter 17.10, below.
(3) If a lawful permanent resident appears to be inadmissible under section 212(a)(3)(A)
(except clause (ii)), (B) or (C), notify your regional director, through the district director, of
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the facts of the case.
(e) Proceedings Involving VWP Applicants Claiming Asylum. When the immigration judge
denies asylum to a refused VWP applicant, arrange for the alien to be removed on the first
available transportation to the point of embarkation.

17.7

Temporary Inadmissibility under section 235(c).

(a) General. An immigration officer must, pursuant to section 235(c) of the Act, temporarily
deny admission to the United States to any nonimmigrant who appears to be inadmissible
under section 212(a)(3)(A) (other than clause (ii)), (B) or (C). Such actions, although rare, are
extremely serious and sensitive.
(b) Procedures. Basic procedures for temporary denial of entry are set forth in 8 CFR 235.8.
Take a brief sworn statement from the alien, if possible. Exercise caution in asking questions to
insure you do not compromise classified information or confidential sources. Complete and
serve the alien with Form 1-147, Notice of Temporary Inadmissibility. Explain the action being
taken and the right to submit a written representation. Complete actions to remove the alien on
the first available transportation. Immediately prepare and submit a short memorandum to the
district director containing the alien's name, date and place of birth, residence address, file
number if known, port and date of temporary inadmission, and a summary of all pertinent facts
developed during the inspection. If the alien was entering as a delegate to a convention,
provide the date and place of the convention and the sponsoring organization. In sensitive,
high profile cases, follow the procedures for reporting incidents described in Chapter 2.7.
Institute checks with other law enforcement agencies to develop further information. Prepare
Form G-325A, mark it "Special Handling- 1-147 served pursuant to 8 CFR 235.8" and forward it
expeditiously to the district director. Photocopy the data page, visa page, and any other
pertinent pages from the alien's travel document.
If the alien previously resided in Canada, forward Form G-325B to the Service liaison officer in
Ottawa. When a current Canadian resident is to be temporarily denied admission on
security-related grounds, notify the liaison officer in Ottawa by phone or fax, providing available
personal data. If the denial of admission is based on lookout information, the liaison officer
should be so advised, and if the lookout is a temporary one, also provide a synopsis of the
lookout. The liaison officer will consult available sources and provide information to the port
normally within a few hours. Delay action pending receipt of the response.
After five days, or upon receipt of the alien's written statement, prepare a detailed report for
submission to the regional director. In addition to the information from the summary report,
include other personal data such as marital status; the destination, duration, and purpose of the
proposed visit; basis for temporary inadmissibility, including sources, reliability of informants,
and identify what, if any, information is classified and an assessment of whether disclosure of
the information would be prejudicial to the public interest, safety, or security of the United
States. Attach a copy of any sworn statement taken, or explain why there was none. Attach
the results of checks with other agencies. Make a recommendation as to whether or not the
alien should be accorded a hearing by an immigration judge.

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(c) Canadian "Summary Conviction". An alien who is convicted of a theft offense
punishable on summary conviction under section 334(b)(ii) of the Criminal Code of
Canada as the only offense committed is not inadmissible to the United States on the
basis of that conviction. [See General Counsel Opinion 92-36 for a detailed discussion
of this issue.] (Added IN 99-30)

17.8

Detention of Aliens at Ports-of Entry.

(a)
General. During an inspection, officers have the authority to search without a
warrant, take sworn statements, and detain applicants for admission to determine their
admissibility into the United States. In cases where removal proceedings are being
initiated, a decision relating to the detention of the applicant must be made. In some
cases the detention needed is only of short duration (i.e., waiting for departure of flight,
or preparation of case file, etc.) and transfer to a long-term detention facility is not
practical. During an inspection at a port-of-entry, detention begins when the applicant is
referred into secondary and waits for processing.
On March 9, 2004, the Office of Field Operations issued CBP Directive No.
(b)
3340-030A, which superseded Directive No. 3340-030 issued on July 26, 2001. This
directive also supersedes previous port of entry detention procedures established under
the former INS. Following is Directive No. 3340-030A:
SUB..IECT:

SECURE DETENTION PROCEDURES AT PORTS OF ENTRY

1. PURPOSE. This Directive establishes national policy for the temporary detention of
persons by U.S. Customs and Border Protection (CBP) in secure areas at Ports of
Entry (POEs).
2. POLICY.
2.1 This policy shall pertain to the temporary detention of all persons who are
detained in secure areas. This includes, but is not limited to, those persons
suspected of terrorist activity, are under arrest, are awaiting confirmation on National
Crime Information Center (NCIC) warrants, suspected as internal contraband
carriers, aliens awaiting removal, transfer, or referral, or other processing involved in
a secondary inspection, e.g. fuel tank exams.
3.
AUTHORITIES/REFERENCES. 19 U.S.C. §§ 482, 1461, 1581, 1582;
8 U.S.C. § 236; Title 8 Code of Federal Regulations 236.1 (e) [8 CFR 236.1]; Personal
Search Handbook (PSH), CIS HB 3300-04A revised November 1999; Physical Security
Handbook CIS HB 1400-02A; Enforcement Handbook, Chapter 43, Detention, Arrest,
and Handling Prisoners; Customs Directive 3340-028 (Physical Control of Suspects);
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Internal Operating Procedures Notification (IOPN), 00-19, "Accountability Requirements
for Lost/Stolen Evidence, Drugs, Currency and Escaped Prisoners," dated April 26,
2000; Policy Memoranda dated April 11, 2003, April 25, 2003, May 13, 2003 relating to
Severe Acute Respiratory Syndrome (SARS); Inspector's Field Manual, Chapter 17.
3.1 General. CBP Officers have the combined statutory authority under Title 8
United States Code [8 USC], the Immigration and Nationality Act (INA) and Title 19
United States Code [19 USC]. It allows CBP officers to search without a warrant,
take sworn statements, and detain applicants for admission to determine their
admissibility into the United States, detain persons suspected of violating the
customs, agriculture or other laws of the United States that are enforced at the
border. In cases where removal proceedings are being initiated, a decision relating
to the detention of the applicant must be made. In some cases the detention
needed is only of short duration (i.e., waiting for departure of flight, or preparation of
case file, etc.) and transfer to a long-term detention facility is 110t practical. During
an inspection at a port of entry (POE), detention begins when the traveler is referred
into secondary and when processing is underway or subject is waiting processing.

4 DEFINITIONS.
4.1
U.S. Customs and Border Protection Officer.
inspectors and canine enforcement officers.

Includes all legacy agency

4.2
Secure Area. This refers to areas such as a detention cell, search room,
interview room, or security office where an individual is detained for a temporary
period of time out of public view and cannot flee.
4.3
Attended Area. This refers to a location where a person is constantly in the
physical presence of an officer in a secure area.
4.4
Unattended Area. This refers to a detention cell, confinement area, or secure
area where a detainee may be out of view of an officer.
4.5

Juvenile. A person who has not reached his/her 18th birthday.

4.6
Patdown Search. The term refers to the act of an officer searching for
merchandise, including contraband, weapons, or documents hidden in the clothing a
person is wearing or on their body.

4.7
POE Short-term Detention. The temporary detention of a person at a POE
while a case is being processed administratively or prepared for presentation for
prosecution; pending parole, release, departure from the United States, or transfer
of custody to another branch or agency; or while CBP makes arrangements for
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longer term detention. Short-term detention begins with the subject being referred
by an officer for further inspection and may take place in a secondary inspection
area, POE hold room, or any other designated and/or assigned secure area for less
than 24 hours.
4.8
POE Hold Room. A confined area or secured room at a POE in which
detained persons are temporarily held pending a secondary process, i.e., vehicle
examination, adjudication, processing of documents, interviews, etc. Detention of a
person in a POE hold room shall be for the least amount of time necessary.
NOTE: At a POE where no hold rooms exist, and where operationally feasible, a
segregated area away from the traveling public should be established within the
port. Direct supervision and control of the detainee must be maintained.
4.9
POE Detention Cell. A room where a person is placed who must be
physically separated from the primary and/or secondary inspection areas, awaiting
transfer to another detention facility or other Law Enforcement Agency (LEA), when
constant surveillance of the subject is not feasible, and/or for ensuring the safety of
both the traveling public and officers.
4.10 POE Search Room. A private designated location that is designed for
extensive search of a person and that prevents all but designated necessary
personnel from viewing the subject. A POE search room may serve as a temporary
hold room should separation from others be required or extra room needed.
5

RESPONSIBILITIES.
5.1 The Assistant Commissioner, Office of Field Operations, is responsible for policy
oversight, which includes the formulation and implementation of guidelines and
procedures.
5.2 Directors, Field Operations (DFOs) and Port Directors (PDs) are responsible for
managing the implementation of this program and monitoring compliance with the
procedures to ensure uniformity of application.
5.3The PDs are responsible for ensurin
Communication System (TECS) reports (
logs, and any other reports pertaining to detentions are comp e e a d reviewed.
The reviews will determine the effectiveness of the procedures contained within this
Directive, as well as, how well they are carried out.
5.4Supervisors are responsible for ensuring that CBP officers under their direction
are familiar with the guidelines set forth in this Directive.
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5.5The U.S. Customs and Border Protection Basic Inspector Training Academy is
responsible for incorporating this Directive into the appropriate training programs.
5.6The PDs are responsible for identifying and ensuring that CBP officers under
their direction are familiar with the areas that have been designated as detention
cells, search rooms, or holding rooms. Dual designation of a particular room is
authorized, i.e., a detention cell may also be used as a search room.
6

DETERMINATION TO DETAIN.

6.1 Priority of Detention. In cases where it is not possible to detain every person in a
POE hold room, persons should be detained in the following priority:

6.1.1.3

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7

DURATION OF DETENTION.
7.1 Short-term detention begins when the traveler/applicant is referred by a CBP
officer for further inspection and may take place in a secondary inspection area,
POE hold room, or any other designated area; and is for the least amount of time
necessary to complete the inspection or processing.
7.2
As a rule, the ~ time an individual may be held in a secure area at
a POE is no longer than _
Accordingly, every effort will be made to transfer,
transport, remove, or release those in custody as quickly as is operationally feasible.

-

7.3The PO will approve all detentions in secure areas that reach or exceed

II

7.4 The DFO must be notified through the chain of command, if the detention period
at the POE extends to~r more.

7.5A erson

laced in an unattended secure area will be c h e c k e d _
, as the situation requires (see section 9.2). The~
anno ate In the Detention Log [See Appendix 17-8]. For the purpose of tracking
the duration of detention, the time will begin when the person is placed in a secure
area. The tracking of time will be part of the Detention Log.
8 8

EXCEPTIONS TO SHORT-TERM DETENTION IN POE HOLD ROOMS.

8.1
Officers shall be sensitive to detained persons who are pregnant, on
life-sustaining/lifesaving medication, appear ill, comprise family units (parent/adult
with child/juvenile), or are persons of advanced age (over the age of 70) or
unaccompanied juveniles (under the age of 18). [See section (9.27) of this Directive
regarding Juvenile Detention Procedures and legacy Immigration Inspectors Field
Manual (IFM) chapter 17.15(f)(5).]
8.2 For humanitarian reasons, the processing of secondary cases for these persons
shall be expedited as quickly as operationally feasible.

ask the detainee whether medical treatment is necessary.
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detainee replies in the affirmative, or if medical treatment appears necessary,
officers shall make appropriate arrangements. [See section 9.25 of this chapter
regarding Medical Emergencies.]
8.4 Family units, persons of advanced age, and unaccompanied juvenile detainees

unless extraordinary and unforeseen circumstances exist.
8.5
In cases where family units are encountered but only the parent or legal
guardian is detained, specific circumstances will dictate whether they should be
separated from the juvenile who is not detained. If removing the juvenile from the
parent or legal guardian is not feasible, arrangements should be made to keep the
family unit together until a social service worker or an adult family member arrives to
take custody of the juvenile.
8.6 Males and females shall be segregated at all times when in a POE detention cell
(even if they claim to be married). Under no circumstances are detained persons
under the age of 18 to be held with adult detainees, unless the adult is an immediate
relative or recognized guardian who has been charged with the care and custody of
the minor, and no other adult detainees are present in the hold room. Special
treatment of juveniles is of paramount importance. [See section 9.27 of this chapter
regarding Juvenile Detention Procedures.]

8 PROCEDURES.
9.1 Detention Log. Port Directors will ensure that each POE maintains a detention
log (manually and/or by computer) for all detainees placed in a POE detention cell.
The officer handling the case shall enter the information relating to each detainee
immediately upon placing him/her in a hold room and/or holding cell. For uniformity
purposes, the attached Detention Log will be used at all locations for each
unattended secure area and will contain an entry for each individual detained. The
Detention Log will be maintained and filed at the POE
Each entry will
contain the information listed below.
Name of the person detained
Date of Birth (DOB)
Reason detained
Time & Date placed into hold room and/or holding cell
Time & Date removed
(f) _interval checks

(a)
(b)
(c)
(d)
(e)

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(g) Physical/Mental condition
(h) Officer's initials and comments
(i) Meals offered/eaten/declined
9.2
Detention Cell Monitoring. Officers shall closely supervise detention cells at
the POE when in use. Officers shall monitor hold rooms
noting in
the log the time and officer's initials. It's the responsibility of the supervisor to
ensure that an officer is within visual or audible range of the hold room to allow
detainees access to restroom facilities (if not incorporated in the detention cell) on a
regular basis.

9.3
Individual Caution Sheet. An Individual Caution Sheet [See Appendix 17-8]
will be generated and posted near the entrance to the detention cell or in the secure
area for those detainees who pose a special risk, i.e. diabetic requiring injections or
possible suicide risk. The sheet will be maintained until the detainee is released
from CBP custody and the fact that there is a detainee with a Caution Sheet will be
communicated to all CBP officers during shift change briefings/musters. After the
person is released or transferre~agencyor facility the Individual Caution
Sheet will be retained on file
For uniformity purposes, the form is
attached. The Individual Caution Sheet will contain at minimum the following
check-off list to flag the detainee's special risk factor:

-...r

(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)

Name and DOB
Medical condition - requires prescribed medication
Hostile or uncooperative
Depression or suicidal
Asylum Claimant
Juvenile
Communicable Disease
Other

9.4
Medical. Whenever a CBP officer has reasonable suspicion that a
traveler has a respiratory illness such as Severe Acute Respiratory Syndrome
(SARS), the individual will be detained, and an Individual Caution Sheet generated.
In detaining and transporting them, follow established guidelines. (SARS Policies
Attached).
9.4.1 All persons placed in an unattended secure area at a CBP facility will be
asked whether they have a medical problem or condition that may require some
attention. If they are currently taking any prescribed medications the CBP
officers will identify the type of prescribed medication, when it was last taken,
and when the next dosage is needed.

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9.4.2 CBP officers will not administer or assist in injecting or administering
medication. When an injection or administration of prescribed medication is
necessary, Emergency Medical Services will be contacted. Prescribed oral
medication in a properly identified container, with the specific dosage indicated,
may be self-administered under the supervision of a CBP officer. Administration
of prescribed medication, medical assistance, or refusal of the same, will be
noted in the Individual Caution Sheet.

9.4.3 Officers will closely monitor and if possible segregate any detainee
exhibiting signs of hostility, depression, or other symptomatic behavior (i.e.
threats of suicide). In such cases, the officer will notify the shift supervisor and
execute the Individual Caution Sheet. The Individual Caution Sheet must
accompany the subject when transferred to another facility.
9.5Asylees. When an asylum applicant is encountered, the CBP officer will transfer
the applicant to a secure, attended, or unattended area as appropriate and an
Individual Caution Sheet will be generated. Asylum applicants will be kept separate
from other detainees to the extent possible and not placed in a detention cell unless
otherwise indicated by their behavior. Officers should take note of signs of trauma,
anxiety, or other factors relating to the case in determining the level of detention
required.
9.6 Meals. Funding for meal service is not discretionary and is the responsibility of
the local office through the DFOs. Officers shall provide a meal to any person,
whether in a hold room or not, who is detained more than 6 hours (including
secondary time or case preparation time). Juveniles, small children, toddlers,
babies, and pregnant women shall have access to snacks, milk, or juice at all times.
Regardless of the time in custody, officers shall provide a juvenile with meal service.
In cases where an adult detainee requests a snack or meal due to extraordinary
circumstances before the next meal service, the officer shall accommodate the
request.
Officers should be sensitive to the culinary cultural/religious dietary
restrictions and/or differences of all detainees whenever feasible. A record of what
type of meal is given to the detainee shall be logged. For an alien detained in a hold
room, time of feeding or declination of a meal shall also be noted in the Detention
Log.
9.7 Drinking Water. Drinking water shall be available in Styrofoam or paper cups for
detainees requesting water. It is the responsibility of the supervisor to ensure that
drinking water is available.
9.8 Restrooms. Access to restrooms shall be available to any detainees in a hold
room or in the secondary inspection area. An officer of the same sex shall escort
and closely monitor a detainee when using the restroom. Detainees using the
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restrooms shall have access to toilet items such as soap, toilet paper, female
hygiene items, diapers, and wipes. NOTE: Access to restroom facilities may be
restricted if the detained person is suspected of being an internal carrier.

9.9Telephone. Officers shall notify every alien of his or her right to communicate by
telephone with the consular or diplomatic officers of country of nationality in the
United States when the removal of the alien cannot be accomplished immediately,
and the alien must be placed in detention for longer than 24 hours.
9.9.1 In the cases of certain nationalities, if the alien is detained longer than 24
hours at the POE, existing treaties and CBP policy require that the service notify
the appropriate consular or diplomatic officers about the alien's detention, even if
the alien requests that this not be done. For the list of applicable countries, see
8 CFR 236.1 (e).
9.9.2 Officers shall not mention any asylum claim or fear of persecution or
torture expressed by the alien when contacting a consular official, nor shall they
indicate the nature of the proceedings against the alien.
9.9.3 Dependent upon the length of detention and security risks, the Supervisor
will determine whether or not the detainee will be allowed to communicate by
telephone or in person with any other person, including consular officials. [See
IFM chapter 17.15(b)(7) and 8 CFR 236.1 (e).]
9.10
Detention Cells. The secure area where the detained person is placed
must be cleared of all items that could be used as a weapon, to facilitate an escape,
or to do bodily harm to the detainee or others. This includes purses, handbags,
backpacks, and luggage. Weapons or improvised weapons may pose a significant
risk to officer safety and care must be taken to mini ize the sub'ecl's potential
access to them.

9.10.1 Detention cells will routinely be thoroughly cleaned and sanitized and
inspected for evidence of tampering.
9.10.2 Any problems encountered must be reported to the supervisor so that
corrective action may be initiated.
9.11
Attended Area. When it is necessary to detain an individual in a work
area, additional caution must be exercised to ensure the safety of the person and
CBP em 10 ees.

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9.11.1 The person must be monitored at all times by at least one officer. The
area within the person's direct reach must be cleared of all items that could be
used as a weapon or to facilitate an escape.

9.11.2 Under no circumstances will evidence or other items that can be
destroyed or pose a threat to any person be kept where they are accessible to a
detained individual.
9.11.3 When possible, two CBP employees should be assigned to process and
monitor persons detained at a CBP facility.
9.12 Search Procedures. Searches may, under certain conditions, be necessary
to meet enforcement and/or security, or safety concerns. Under section 287(c) of
the INA, officers have the authority to conduct a search of the person and personal
effects of a person seeking admission if the officer has reasonable ground to
suspect that ground of inadmissibility exists that may be disclosed by the search. All
searches of detainees in CBP custody shall be conducted in a ma
secure, humane, dignified and professional.

9.12.1 All officers are to be aware of and comply with the enforcement standard
on body searches and the CBP Personal Search Policy. Below are some of the
policy guidelines and procedures for searches conducted at the border and
functional equivalent of the border (POE) during the time of entry of a traveler for
admission.
9.12.2 If a person is temporarily detained by CBP and must be placed in a
secure area, CBP officers shall conduct a patdown in accordance with the
guidelines established in Chapters 2 and 3 of the Personal Search Handbook
and Chapter 43 of the Enforcement Handbook.
9.12.3 When a person has undergone a personal search in accordance with this
Directive, the search shall be recorded in the appropriate TECS record using the
Reason for Search code'
9.12.4 This Directive does not supersede the authority of a CBP Officer to
conduct an immediate patdown or to secure a weapon if an officer suspects that
a person may be armed.
9.12.5 This Directive does not supersede the authority of a CBP officer to

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conduct a lawful search incident to an arrest.
9.12.6 If an officer reasonably suspects merchandise or contraband is present
as a result of the patdown search pursuant to paragraph 6.1, the CBP officer
may conduct a more intrusive search to confirm or dispel suspicions, in
accordance with the guidelines established in Chapter 4 of the Personal Search
Handbook.
9.12.7 To ensure safety, prior to placing a person into a detention cell, officers
shall empty the detainee's pockets of all sharp objects that may be used as
weapons as well as all rope-like objects that the alien could use to injure
him/herself. Examples of these things are:

9.12.8 An officer may remove and examine
to ensure there are no hidden items. The items shall be returned to the
individual and may not be confiscated until probable cause for arrest exists.
However, if there are indications or articulable facts that may lead an officer to
believe that the individual may attempt to harm themselves while in an
unsecured, unmonitored area, then shoelaces, belts, neckties, and scarves may
be removed.
9.13
Restraints Procedures. The use of restraints on persons in CBP custody
shall be conducted in a manner that is safe, secure, humane, and professional.
When restraints are used, the officer must have reasonable articulable facts to
support the decision.
Officers should employ only the amount of restraint
reasonably necessary to ensure the safety of the detainee or others, and to prevent
escape. Officers should take into consideration known criminal activity, observed
dangerous or violent behavior, verbal threats, and/or the nature of the inadmissibility
of the individual in determining whether to use restraints, continue their use, or
remove the restraints.
9.13.1 All Officers are to be aware of and comply with the Enforcement
Standard on the Use of Restraints. [See Enforcement Standard for the Use of
Restraints and Customs Directive 3340-028 Physical Control of Suspects.]
9.13.2 In accordance with Customs Directive 3340-028 (Physical Control of
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Suspects), if an officer uses handcuffs solely for the safety of the officer and
others, the officer should inform the restrained individuals that they are not under
arrest and that the restraints are a temporary measure.
9.14
Escort Procedures. Inspectors may provide escort services to remove or
transport detainees. Escorting officers are responsible for determining the need and
level of restraints used at any time while escorting a detainee. All detainees in CBP
custody shall be escorted in a manner that is safe, secure, humane, and
professional. Whenever operationally feasible the escorting of persons will be
conducted by two officers.
9.14.1 All officers are to be aware of and comply with the Enforcement Standard
for Escorts. [See Enforcement Standards for Escorts and the Use of Restraints
for more detailed guidelines.] Below are some of the policy guidelines for the
escort and transport of those apprehended at entry.
(a) No detainee shall be transported/escorted without the assigned officer
conducting a search of the detainee, except when exigent circumstances
pose a safety hazard or danger to the officer, detainee or public. In that
case, a search shall be conducted as soon as it is practicable. At
minimum, a patdown search shall be performed and recorded in
accordance with the Personal Search Policy.
(b) When escorting detainees in CBP vehicles, especially unaccompanied
detainees of the opposite sex or minors, all officers shall maintain regular
radio or telephonic communication with other CBP personnel, insofar as
technologically possible and resources allow.
(c) Families, unaccompanied females, and unaccompanied minors shall be
separated from unrelated adult males by separate passenger
compartments or an empty row of seats. If possible, these detainees
shall be transported separately from other detainees.
(d) When transported in a CBP vehicle, detainees shall be restrained in
accordance with the Use of Restraints Policy and placed in seatbelts
(when practicable).
(e) The passenger section of all empty CBP vehicles and all immediate
confinement areas shall be searched prior to, as well as following, each
escort to ensure that no weapons or contraband have been hidden or left
behind.
(f) When escorting a detainee in view of the general public (i.e., airport

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terminal) for removal from the United States, officers shall use care and
discretion when handling and removing restraints from detainees to avoid
undue concern by the traveling public and airline personnel.
9.15
Transfer Procedures. Every effort must be made to transfer, transport or
release detainees in custody as quickly as possible. The DFOs or their designees
shall develop local procedures in writing for authorization and arrangement for
detention.
9.15.1 Once a detainee has been transferred to the custody of another agency
and/or Detention and Removal, responsibility for the individual is transferred to
that entity.
9.16
Control and Safeguarding Detainee Personal Property. The control and
safeguarding of detainee personal property shall include the secure storage of
funds, valuables, baggage and other personal property.
9.16.1 All property will be receipted on the appropriate form CBP-6051.
9.16.2 Initial and regularly scheduled inventories of all funds, valuables, and
other property will be conducted and documented on a CBP-6051.
9.16.3 All items belonging to the detainee shall be placed in a properly marked
plastic sealed bag, inventoried, and placed in a secure area.
9.16.4 A safe, secure designated storage area shall be assigned.
[See
Detention Standard on Accountability and Safeguarding of Detainee Funds and
Personal Property.]
9.16.5 Officers shall use the following form:
(a) Form CBP-6051, Custody Receipt for Retained/Detained or Seized
Property. Used when items or personal property are removed from a
person and stored for safekeeping. CBP officers should turn over all
items or evidentiary value with a CBP-6051 to the next person taking
custody of the person, i.e., Special Agent or other federal, state or local
law enforcement Officer.
Guidelines for retaining personal
effects/property from individuals that have been arrested are outlined in
Customs memorandum, File: CO:TO:S:O SSJ, titled "Personal Effects,"
dated March 29, 1993.
(b) A logbook and inventory sheet will be maintained listing the detainee
name, A-number if applicable, Form CBP-6051 number, date items were
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retained or seized, property description, name of officer(s) recording the
property, and the date, time, officer(s) conducting the inventory.
9.16.6 Where operationally feasible, two officers will inspect all funds and
property, including those items found in parcels, suitcases, bags, bundles and
boxes, in the presence of the detainee to ensure officer safety and
accountability. This procedure will also be followed when property is returned to
a traveler subsequent to his or her release. All PDs or other management
officials accountable for POE operations must ensure that appropriate
procedures are in place and in use.
9.17
Fire, Building Evacuation and Medical Emergencies. Established written
evacuation plans for the POE shall include directions for an officer to remove
detainees from hold rooms in case of fire and/or other building evacuation. Such
event and its duration must be annotated in the Detention Log.
9.17.1 Appropriate emergency services will be called in the event of a medical
emergency (i.e., heart attack, difficulty breathing) during the detention of any
person.
9.17.2 The CBP officer must notify the supervisor immediately of all medical
emergencies.
9.17.3 If the detainee is removed for medical treatment, a CBP officer shall
accompany the detainee and remain with the detainee until doctors determine
whether the illness will require hospitalization.
9.17.4 If the detainee is not hospitalized the CBP officer must remain with the
detainee until treatment is completed and then escort the detainee back to the
POE.
9.17.5 If the detainee is hospitalized, the CBP officer shall notify the supervisor
and await further instructions from the supervisor.

9.19
Juvenile Detention Procedures. Special care must be exercised when
processing and detaining persons under the age of 18. The CBP policy is outlined
in 8 CFR 236.3 and must be strictly followed. [See IFM chapter 17.15 (f), Special
Treatment of Minors.]
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9.19.1 At all stages of the inspection, detention, and removal process of a
juvenile, officers shall take precautions to ensure the minor's rights are protected
and that he or she is treated with respect and concern. Any detention following
processing at the POE must be in accordance with the Flores v. Reno
settlement. [See IFM Appendix 17-4, policy memorandum discussing Flores
settlement.]
9.19.2 Minors will have access to restrooms, drinking water, food, and medical
assistance if needed.
9.19.3 Minors will NOT be placed in short-term detention hold rooms, unless
they have shown or threatened violent behavior, have a history of criminal
activity, or there is an articulable likelihood of escape.
9.19.4 Minors will NOT be restrained unless they have shown or threatened
violent behavior, have history of criminal activity, or there is an articulable
likelihood of escape.
9.19.5 Minors will be allowed reasonable access to their parents or legal
guardians if the supervisor believes it will be constructive. However, parent(s) or
legal guardian(s) will not be allowed to inflict corporal punishment upon the
juvenile while in the custody of CBP.
9.19.6 Unaccompanied minors must NOT be held with unrelated adults.
9.19.7 In situations where a female is nursing an infant, the infant will not be
removed from the care of the mother (unless she poses a danger to the child). If
a mother and infant must be separated for safety purposes, a social service
worker must be contacted to take custody of the child.
9.20
Fingerprinting Individuals. When individuals are being fingerprinted, i.e.,
10 digit hard print (excluding single digit IDENT prints), officers shall secure their
firearms and chemical weapons in an approved firearms locker prior to beginning
the process.
10 REPORTING REQUIREMENTS.
10.1
If a person makes a credible threat, assaults someone, is injured, is
suspected of having SARS or any other communicable disease, escapes, or
attempts to escape while in CBP c u s t _ i l l be made to the PO, DFO,
and Commissioner's Situation Room, _
If a person escapes, notify
all appropriate law enforcement agencies.
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10.2
If a person threatens or assaults a CBP officer, in addition to above
requirements, notification will also be made to local field office of the FBI, or other
Agencies as appropriate.
11 NO PRIVATE RIGHT CREATED. The procedures set forth in this Directive are for
CBP internal use only and create no private rights, benefits, or privileges for any private
person or party.

17.9

Medical Referrals.

(a) General. The U.S. Public Health Service (PHS) has statutory and regulatory
responsibility to prevent the introduction, transmission, and spread of communicable
disease from foreign countries into the United States. Applicable regulations are found
in 42 CFR Parts 34 and 71. These responsibilities are delegated to the Centers for
Disease Control and Prevention (CDC), National Center for Infectious Diseases,
Division of Quarantine.
Quarantine stations are located at several major international airports. Each quarantine
station has responsibility for all ports in an assigned geographic area. You should know
which quarantine station has jurisdiction over your port. Historically, PHS quarantine
stations have been referred to in the port community simply as "PHS" or "Public
Health." As actual organizational names and assignments have changed over the
years, that tradition has remained constant.
The Division of Quarantine is empowered to apprehend, detain, medically examine, or
conditionally release individuals (including U.S. citizens) suspected of having one of the
following diseases:
•
•
•

Cholera and suspected cholera,
Diphtheria,
Infectious tuberculosis,

•
•
•
•

Plague,
Suspected smallpox,
Yellow Fever,
Suspected viral hemorrhagic fevers such as Lassa, Marburg, Ebola, Congo-Crimean
and others not yet isolated or named, and
Severe Acute Respiratory Syndrome (SARS).

•

Foreign quarantine regulations require that death or illness of an arriving international
passenger or crew member is to be reported by the captain of the arriving ship or plane
to the quarantine station having responsibility for the port of entry; however, illnesses
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are not always reported.
Whenever a Federal inspector has any questions regarding public health entry
requirements for persons or importations, he or she should contact (day or night) the
appropriate quarantine station or Division of Quarantine headquarters in Atlanta,
Georgia. [A list of addresses and phone numbers for quarantine stations is contained in
Appendix 17-2.]
(b) Inspection of Arriving Persons. The following guidelines relate to the inspection for
medical purposes, of all arriving international passengers and crewmembers.
(1) Observe. Observe all arriving passengers and crew for signs and symptoms of
illness, such as
A person is considered to be ill in terms
quarantine regulations when symptoms meet the following criteria:

0

(A) Temperature of 100 degrees F. (38 C.) or greater which is accompanied by
one or more of the following: rash, jaundice, glandular swelling, or which has
persisted for 2 days or more;
(8) Diarrhea severe enough to interfere with normal activity or work.
(2) Detain. Hold ill passengers and crew, and ask for details about symptoms and
itinerary. At a port-of-entry where a quarantine station is staffed, that station should
be notified and a quarantine inspector will investigate. If there is no quarantine
inspector at your port, the appropriate quarantine station should be notified. The
quarantine station will release or conditionally release the ill person, or if the
circumstances warrant, call a physician to conduct an examination and recommend
appropriate action.
(3) Check Itinerary. It is sometimes necessary to check the itinerary of arriving
persons because of the possibility of an outbreak of a communicable disease in a
foreign area. Knowledge of the itinerary helps in determining the appropriate
preventive measures. If this situation should arise, CDC will direct that each arriving
person be asked if he or she has been in the infected country within a specified
number of days. If so, the person is to be referred to the appropriate quarantine
station.
(c) Medical Inspection of Arriving Aliens. The health-related grounds of inadmissibility of
aliens under section 212(a) of the Act provide for the inadmissibility of any alien who:
(1) Is determined to have a communicable disease of public health significance
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(currently, the same diseases previously classified as "Dangerous Contagious
Diseases" which are: Chancroid; Gonorrhea; Granuloma Inguinale; Human
Immunodeficiency Virus (HIV) Infection; Leprosy, infectious; Lymphogranuloma
Venereum; Syphilis, infectious stage; and Tuberculosis, active.); or
(2) Seeks admission or adjustment as an immigrant and who has not been
vaccinated against at least the following diseases: mumps, measles, rubella, polio,
tetanus, diphtheria, pertussis, influenza type B and hepatitis B, and any other
vaccinations recommended by the Advisory Committee on Immunization Practices;
or
(3) Has or had a physical or mental disorder with associated behavior that poses or
may pose a threat to the property, safety, or welfare of the alien or others; or
(4) Is a drug abuser or addict.
(d) Procedure. Inspectors should immediately advise the appropriate quarantine station
when an immigrant arrives without medical documents or with incomplete medical
documents. When processing aliens, do not keep the alien's chest X-ray film. This is an
important medical document that the alien should retain as part of his or her permanent
health records.
Refer to the appropriate quarantine station all aliens for whom a "Medical Hold" (Form
CDC 75.40) should be issued. Candidates for a "Medical Hold" are:
(1) All aliens who are not routinely required to have a medical examination and who,
upon arrival in the U.S., exhibit a physical condition which may render them
inadmissible under section 212(a) of the Act;
(2) All aliens who are not routinely required to have a medical examination and who,
upon arrival in the U.S., exhibit variations in behavior which may indicate a physical
or mental disorder that may pose a threat to the property, safety, or welfare of the
alien or others, and may be inadmissible under section 212(a) of the Act;
(3) All aliens who require a medical examination overseas (immigrants, refugees,
fiance(e)s of U.S. citizens and their minor children), but who arrive without evidence
or with incomplete evidence of having had one performed, or with one that has
expired. Satisfactory evidence can consist of a properly completed "Medical
Examination of Applicants for United States Visas" (Form OF-157), with results of
chest X-ray and serologic tests for syphilis and human immunodeficiency virus (HIV)
infection indicated (Note: Chest X-ray and serologic tests are required for aliens 15
years of age and older); and

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(4) All aliens with a Class A condition or a Class B condition including tuberculosis,
not infectious; and Hansen's disease [leprosy], not infectious. These aliens should
have a stamp imprinted on the face of their visa (Form OF-155A) as follows:
CLASS A OR CLASS B
REQUIRES ATTENTION
OF USPHS AT POE

While consular officers normally stamp the OF-155A when an immigrant has a
medical condition of public health concern, this is sometimes not done. The
inspector should check all OF-157's whether or not the "Attention PHS" stamp is
present.
When quarantine station personnel are not available to process aliens with these
medical conditions, retain a copy of the OF-157. On the reverse side, write the alien's
U.S. address, sponsor's name and address, arriving flight and date, port-of- entry, and
the INS inspector's name. A photocopy of the alien's visa (OF-155A) is satisfactory in
lieu of transcribing this information on the reverse of the OF-157 provided that the
address is correct on the OF-155A and that the flight number and date of arrival are
recorded on the OF-155A prior to making the photocopy. The OF-155A and/or OF-157
with requested information should be given, mailed, or sent by FAX to the appropriate
quarantine station.
If the alien has a Class A communicable disease of public health significance, copies of
the OF-157, OF-155A, and both sides of the Form 1-601 (being changed to new Form
1-724) waiver application should be given or mailed to the appropriate quarantine
station. The statements to be completed by waiver applicants who are HIV positive or
who have Hansen's disease will be affixed to the back of the 1-601 waiver application by
CDC Division of Quarantine staff. See IIVIMACT Wire #65 dated August 7, 1991 for
further information.
If the alien has a Class A physical or mental disorder with associated harmful behavior,
a copy of USPHS/CDC Form 4.422-1, "Statements in Support of Application for Waiver"
should be given or mailed to the appropriate quarantine station, along with the OF-157,
OF-155A, and 1-601 (1-724).
Note: There is no waiver provision in the law for aliens applying for immigrant visas who
are found to be excludable under section 212(a)(1 )(A)(iv) of the Act for drug abuse or
addiction. If an alien arrives with a visa indicating Class A drug abuse or addiction,
please refer to the appropriate quarantine station.

(e) Special Procedures Pertaining to First Time Refugees and Asylees. Refugees and
asylees normally arrive at ports where quarantine inspectors are assigned, but this may
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not always be the case. Notify the appropriate quarantine station of all refugees and
asylees entering the U.S. for the first time. If a quarantine inspector is not available to
process the refugee or asylee, you will be asked to obtain the following information,
normally by making copies of documents carried by the refugee or asylee. This
information is necessary to ensure that all refugees and asylees receive a health
screening and any appropriate immunizations or treatment at the place of resettlement:
•
•
•
•
•
•

Name, date, country of birth, and sex of refugee,
Language spoken,
"A" Number,
Name, address, and phone number of local sponsor,
Name of principal sponsor (Voluntary Agency), and
Date, place of arrival, and flight number.

(f) Suspected Tubercular Parolees. Every effort should be made to determine the
tuberculosis status of parolees prior to release. Refer those who are suspected of
having infectious tuberculosis to the appropriate quarantine station.

[Rev. IN 03-41]

17.10 Abandonment of Lawful Permanent Resident Status.
(a) General. There are several possible actions when the inspecting officer has reason to
believe an alien seeking admission with an alien registration card or S8-1 visa has actually
abandoned lawful permanent residence. Refer to the discussion in Chapter 13 on this subject.
In some instances, the applicant voluntarily wishes to relinquish his or her alien registration
document and either enter as a nonimmigrant or depart from the U.S. immediately. Most often
such aliens will already be in possession of a nonimmigrant visitor's visa. The inspecting officer
must never coax or coerce an alien to surrender his or her alien registration document in lieu of
a removal hearing.
(b) Procedure for Documenting Abandonment of Residence.These instructions regarding the
disposition of completed 1-407 forms apply not only to Inspections personnel, but to all Service
or Department of State employees involved in the execution of any 1-407. In a situation where
the alien does voluntarily relinquish his or her alien registration card, complete the Form 1-407,
Abandonment by Alien of Status as Lawful Permanent Resident. The alien must sign the 1-407,
acknowledging that the action is strictly voluntary.
Execute Form 1-89, completing the
appropriate blocks if the alien is surrendering Form 1-551, Alien Registration Receipt Card. If
the alien is surrendering a previous edition, Form 1-151, no 1-89 is required. Ordinarily, you
should take a sworn statement in addition to completing Form 1-407. Attach the Alien
Registration Receipt Card to the Form 1-89, if completed, or the Form 1-407. Forward the 1-89
(if completed), attached to the Form 1-407 and additional sworn statements, to the Texas
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destruction, the Service Center will forward the original Form 1-407, 1-89 and sworn statements
to the appropriate FCO for filing in the original "A" file.
If the 1-407 is executed in connection with an application for admission at a port-of-entry, admit
the applicant as a nonimmigrant, following normal procedures for aliens with visas; or exercise
the visa waiver option pursuant to section 212(d)(4) of the Act or the Visa Waiver Program. If
the alien chooses to immediately depart the U.S., advise the alien that he or she may still be
entitled to issuance of a temporary alien registration card, for reentry and a removal hearing, as
described above in Chapter 17.6(d).
If the 1-407 is being executed for an alien who is in the United States pursuant to admission as
a lawful permanent resident and is not in removal proceedings, yet who wishes to relinquish
resident status and depart from the United States, the alien should be granted a suitable period
of time to effect voluntary departure, in accordance with current procedures.
Occasionally, you may receive an alien registration card surrendered by a resident alien either
to the Service or to a transportation line, where the bearer has expressed an intention to
relinquish residence. If the bearer has not yet departed and if time permits, take a sworn
statement from him or her concerning the facts surrounding the abandonment and attach it to
the 1-407. If the bearer has already departed the U.S. and you are sure of the facts surrounding
the abandonment, execute Form 1-407, noting the departure information and other relevant
facts. (Paragraph (b) revised 3/5/98; IN97-04)
(c) Restriction in the San Antonio District. The U.S. District Court for the Southern District of
Texas prohibits immigration officers from soliciting or taking waivers of removal hearings in INS
district 14. See Leticia Sanchez-Hernandez et al c. Richard Casillas et ai, Civil Action No.
L-78-4 2, April 10, 1981.

17.11 Asylum Claims/Safe Third Country Agreement with Canada. (Revised
2/23/05; CBP 8-05)
(a) General. The Agreement Between the Government of the United States of America
and the Government of Canada for Cooperation in the Examination of Refugee Status
Claims from Nationals of Third Countries (Safe Third Country Agreement) was signed
on December 5, 2002. Final implementing regulations were published on November
29, 2004, with an effective date of December 29, 2004.
The Agreement provides a framework to determine which country is responsible for
consideration of asylum or torture claims. With certain exceptions, the Agreement
requires asylum-seekers to make the asylum claim in the country where they were last
physically present (either Canada or the United States) upon arrival at a U.S.-Canadian
land border port of entry. Unless they qualify for an exception under the agreement,
asylum-seekers will generally have to seek protection in Canada if attempting to enter
the United States from Canada, or in the United States if attempting to enter Canada
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from the United States.
(b) Exceptions. The Agreement does not apply to persons who are citizens of Canada
or the United States or who, not having a country of nationality, are habitual residents of
Canada or the United States.
The Agreement contains numerous other exceptions. Persons determined to qualify for
one of these exceptions will be allowed to proceed with their asylum claim in the
country to which they are seeking admission.
•

•

•

•

•

Persons who have a spouse, parent, child, sibling, grandparent, grandchild, aunt,
uncle, niece, nephew, or legal guardian in the other country, as long as the
relative has lawful status (other than 8-1/8-2 visitor status) or has a pending
asylum claim in the country where the alien is seeking asylum (the relative with a
pending asylum claim must be 18 years of age or older; there is no age limit for
relatives with other lawful status);
Unaccompanied minors, defined as an unmarried asylum claimant under the age
of 18 who does not have a parent or legal guardian in either the United States or
Canada (this differs somewhat from common usage of the term
"unaccompanied" for other purposes under the immigration laws);
Persons who have a validly issued visa or other valid admission document, other
than for transit (refers to genuine visas or travel documents issued to the alien by
the U. S. government, including those that may have been obtained through
misrepresentation, but does not include those obtained through identity fraud or
issued in fraudulent or photo-subbed passports);
Persons who are not required to obtain a visa for the United States, but are
required to have a visa for Canada (currently no countries fall into this
exception);
Additionally, the Agreement specifically includes a provision allowing each
country to examine, at its own discretion, any asylum claim made to that country
where it deems that it is in its public interest to do so.

(c) Applicability. The Agreement applies only to arriving aliens at established land
border ports of entry along the U.S.-Canada border, as defined in 8 CFR 100.4(c)(2),
when the port is open for inspection and to certain aliens being deported from Canada
(not pursuant to the Agreement) in transit through the United States.
Arriving aliens are defined in 8 CFR 1.1 (q), and for purposes of the Agreement
generally include:
•

Persons presenting themselves for inspection at a port of entry;

•

Persons coming or attempting to come into the United States through a port of
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entry (whether or not by presenting themselves for inspection); and
•

Persons apprehended or continuously observed crossing the land border by a
port official within the physical boundaries of the port, and for this purpose, in the
immediate vicinity of the port. Port runners who are observed attempting entry
through the port and who are apprehended immediately in the vicinity of the port
are considered arriving aliens. Persons who effect entry through a port of entry
without detection and who are later apprehended are not subject to the
Agreement.

Arrivals by train where the passengers on the train are inspected at the border or
other designated place inland where the train arrives are considered land border
arrivals for this purpose.
For purposes of the Agreement, ferry crossings along the Canadian border are not
considered land border ports of entry.
The Agreement does not apply at preclearance stations in Canada, nor does it apply
to aliens who attempt illegal entry between the ports of entry.
It does not apply at airports, except as noted below for aliens being removed from
Canada, who claim asylum while in transit through the United States,
(d) Processing aliens subject to the Agreement. There are two distinct sets of
processes, depending on whether the alien is an applicant for admission arriving from
Canada and applying for asylum in the United States (an arriving alien pursuant to 8
CFR 1.1 (q)), or whether the alien attempted to travel from the United States to apply for
asylum in Canada and is being returned to the United States pursuant to the
Agreement.
Arriving Aliens - Asylum-seekers who arrive from Canada at a land border port of
entry and apply for asylum in the United States.
Aliens arriving from Canada at a land border port of entry who request asylum or claim
a fear of persecution or torture will be processed for expedited removal and referred to
an asylum officer for a credible fear interview. Prior to proceeding with the credible fear
interview, the asylum officer will conduct a threshold screening to determine whether an
exception to the Agreement applies and the alien will be allowed to proceed with the
credible fear interview. If the asylum officer determines that no exception applies, these
individuals will be ordered removed by the asylum officer and returned to Canada and
their asylum claim examined in accordance with the Canadian refugee status
determination system.

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CBP Officers at ports of entry are not to attempt to determine whether the Safe Third
Country Agreement applies or whether the alien qualifies for any of the exceptions; that
determination will be made by an asylum officer. However, any information that CBP
Officers obtain through the inspection process that may have a bearing on the eligibility
for an exception under the Agreement, such as the use of fraudulent documents,
should be fully documented in the file.
(1) Process for expedited removal in accordance with existing guidelines and refer
for a credible fear interview. [See Chapter 17.15 concerning the expedited
removal/credible fear process.]
(2) In addition to the Form M-444, Information about Credible Fear Interview, the
alien shall be given a supplemental notice, Information about Threshold Screening
Interview.
(3) Fax the Form 1-860, 1-867A&B, M-444, legal services provider list, and
Information About Threshold Screening Interview to the Asylum Office having
jurisdiction over the case. If there is other information in the file, such as the Form
1-213 or 1-275, that may assist the asylum officer in making the determination under
the Agreement, fax that information as well. Information about the use of fraudulent
documents or identity fraud, in particular, may have a bearing on the determination.
(4) Prepare Form 1-160A, Notice of Refusal of Admission/Parole into the United
States. Check the box "Refused admission and paroled into the United States",
even though the alien will actually be initially detained in DHS custody rather than
paroled. Give (or fax) one copy to Canadian Immigration authorities and have them
stamp a second copy to be placed in the A file. This will ensure that Canada will
take back the alien if no exceptions to the Agreement are found and the alien is to
be returned to Canada.
(5) Seize any fraudulent documents in accordance with existing guidelines. Prepare
a travel packet to include a photocopy of the document presented that includes
copies of all the pages with cachets, notations, or visas on them, as well as the
biometric pages. Also complete a Single Journey Letter on CBP letterhead with the
traveler's photograph and fingerprints incorporated in it. Place the packet in the A
file to be used if or when the alien is returned to Canada.
(6) Pursuant to existing policy, unaccompanied minors (aliens under the age of 18)
are not generally subject to expedited removal, and may qualify for an exception
under the Agreement. The definition of unaccompanied minor as used in the
Agreement differs somewhat from the definition of juvenile used for other
immigration purposes; however, officers need not consider whether the alien meets
the definition under the Agreement. For general immigration purposes, a minor is
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considered unaccompanied if not traveling with an adult relative (parent, brother,
sister, aunt, uncle, or grandparent) or legal guardian. Unaccompanied minors
claiming asylum will normally be placed in section 240 proceedings where the
immigration judge will make the determination whether any exceptions apply under
the Agreement and whether they will be allowed to apply for asylum in the United
States. [See Chapter 17.15(f) for processing of minors].
(7) If an asylum-seeker expresses concerns about being placed in expedited
removal and detained for a credible fear interview and asks to withdraw his or her
asylum claim and application for admission, CBP may permit such withdrawal, in
accordance with section 235(a)(4) and 8 CFR 235.4. The decision whether to
permit withdrawal of application for admission rather than issue a removal order
should take into consideration the seriousness of the inadmissibility and other
factors. Aliens who presented fraudulent documents should normally not be
permitted to withdraw their application for admission, except under extraordinary
circumstances, although they may still wish to withdraw their asylum claim and be
removed immediately. The officer handling the case must ensure that there is no
misunderstanding and that the alien is voluntarily making that decision. The officer
may wish to consult the Asylum Office to determine whether the case should still be
referred. Before allowing the withdrawal, the officer must be sure that the alien has
both the intent and the means to depart immediately from the United States. When
processing an asylum-seeker who wants to dissolve or withdraw his asylum claim,
the officer should take a second sworn statement from the alien, using the Form
1-867A&B. Ensure that all the facts of the case and the alien's willingness to
withdraw are recorded. See Chapter 17.2 for procedural guidance relating to
withdrawal of application for admission.
(8) Aliens applying for admission under the Visa Waiver Program (VWP) are not
subject to expedited removal, regardless of their true and correct nationality. If an
alien applying under the VWP indicates an intention to apply for asylum or a fear of
persecution, the alien will be referred to an asylum officer using the supplemental
notice, Information about Threshold Screening Interview, to determine whether an
exception to the Agreement applies. If the alien does not qualify for an exception,
he or she will be refused entry under the VWP and returned to Canada. If an
exception applies, the asylum officer will refer the alien to an immigration judge for
an asylum-only hearing using Form 1-863.
a.

Search for existing records in CIS and other appropriate automated data
systems. If an A file exists, create a temporary work folder. If a file does
not exist, follow local procedures for creating an A file. Track the work
folder in the National File Tracking System (NFTS).

b.

Complete the sworn statement using Form 1-877.
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c.

Partially complete the Form 1-275 with the identifying information, noting
the facts of the case and the inadmissibility in the narrative. Indicate that
the alien was referred for a Safe Third Country Agreement threshold
screening.

d.

Fill out both portions of the Form 1-94W, but do not endorse the form.
Include it in the A file.

e.

Give the alien the supplemental notice, Information about Threshold
Screening Interview.

f.

Arrange for detention in accordance with local procedures and fax the
sworn statement, Form 1-275 and the threshold screening notice to the
appropriate Asylum Office.

g.

If the alien does not qualify for an exception, he or she will be returned to
Canada. ICE ORO will normally transport the alien to the port of entry.
The CBP Officer will complete the Form 1-275, checking the box for VWP
refusal. Forward a copy of the 1-275 to the appropriate Consulate.

h. Endorse both portions of the Form 1-94W "refused in accordance with INA
section 217"; line stamp or enter the date, POE and the officer's stamp
number. Also note the reason for refusal (ground(s) of inadmissibility) in
block 13 of the form.
Returnees - Aliens who entered the United States either legally or illegally and are
returned from Canada pursuant to the Safe Third Country Agreement.
The courts have long held that aliens who entered the United States, either legally or
illegally, then traveled to a foreign country, who were refused entry and are returned,
are deemed not to have departed the United States. Matter of T, 6 I&N Dec. 638 (BIA
1955). [see also GenCo Opinion 89-17]. Thus, aliens who apply for admission to
Canada but are returned to the United States after having been returned by Canada
pursuant to the Agreement are not arriving aliens and therefore not subject to expedited
removal. These aliens will be processed as if apprehended or encountered within the
United States. Depending on their status, they mayor may not be placed in removal
proceedings. These aliens may be processed either by port of entry personnel, or
turned over to Border Patrol or ICE for processing in accordance with existing local
practice.
For persons traveling from the United States and seeking refugee status in Canada,
Citizenship and Immigration Canada (CIC) will make the determination of whether the
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exceptions to the Agreement apply directly at the port of entry at the time of the refugee
claimant's application for admission to Canada. Those who qualify for an exception to
the Agreement will be permitted to file their refugee application in Canada. Those who
do not qualify for an exception will be returned to the United States the same day in
most cases. CIC officials will fax an IMM 5569 to the designated U.S. official at the
receiving U.S. port of entry and will normally contact the U.S. port of entry by telephone
to confirm that the alien is returning. CIC will provide the alien with a copy of the IMM
5569, the negative eligibility decision, and a copy of the removal order. CIC will seize
all fraudulent documents and fax copies to U.S. officials. They will return legitimate
documents to the alien. Most ineligible applicants will be returned unescorted from
Canada in their own vehicles, although uncooperative or dangerous persons may be
escorted. Ineligible claimants will usually be returned to the United States through the
same port of entry.
Port Directors should coordinate with their local Canadian counterparts to determine the
most effective and efficient means of notification or return in accordance with each
country's procedures.
Aliens being returned from Canada will be processed according to their status in the
United States.
(1) Aliens who are in status upon being returned from Canada after applying for
asylum there.
Aliens who are in status upon their return from Canada may be released and given a
Form 1-589, Application for Asylum and for Withholding of Removal, if they wish to
file their claim with an Asylum Office in the United States. Asylum claims made at
an Asylum Office are "affirmative" applications filed voluntarily by aliens.
(2) Aliens who entered the United States illegally or are out of status upon return
from Canada after applying for asylum there.
Aliens who have not been admitted or paroled into the United States are amenable
to removal proceedings before an immigration judge based on inadmissibility under
section 212(a) of the Act. Aliens who were admitted to the United States but who
are out of status are subject to removal proceedings before an immigration judge
based on deportability under section 237(a) of the Act. Upon their return from
Canada, these aliens may be placed in removal proceedings pursuant to section
240 of the Act and may be detained in accordance with current ICE detention
priorities if they are subject to mandatory detention, are of national security interest
or their release would represent a danger to the public, or meet other established
detention criteria.

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a. Removal hearings under section 2400f the Act

(i) General. Upon an alien's return from Canada, a determination must be
made as to what section of the Act that alien will be charged with.
Regardless of whether the alien is being charged under section 212(a) or
section 237(a) of the Act, the officer will institute removal proceedings under
section 240 of the Act by issuance of a Form 1-862, Notice to Appear.
However, since these are not arriving aliens, other aspects of processing may
differ from those used for arriving aliens. If the alien indicates a fear of
persecution or return, advise the alien that he or she may present his or her
asylum claim during removal proceedings before the immigration judge. If
the alien does not understand the English language, an interpreter must be
used to ensure that the alien is appropriately advised of the process and
rights.
(ii) Search for existing records in CIS and other appropriate automated data
systems. If an A file exists, create a temporary work folder. If a file does not
exist, follow local procedures for creating an A file. Track the work folder in
the National File Tracking System (NFTS).
(iii) Process the alien in IDENT/ENFORCE, using the NTA module. DO NOT
use the Inspections/NSEERS module for these cases, as they are not arriving
aliens/applicants for admission. The modules designed for non-POE cases
automatically record the disposition according to the module selected, and
include the appropriate forms, which may not be included in the
Inspections/NSEERS module. Select Detained (WAINTA) with 1-217 or
Released OR (NTA) with 1-217, as appropriate. Complete the biographical
information on the initial screens.
(iv) Complete IDENT processing. Notate "Safe Third Country Returnee" in
the comments field, followed by any other appropriate notations. This will
assist in tracking and verifying that the alien was returned by Canada
pursuant to the Agreement.
(v) Complete Form 1-213, Record of Deportable/Inadmissible Alien.
(vi) Take a sworn statement, giving the administrative warning of rights.
Although ENFORCE contains Form 1-215B, Record of Sworn Statement in
Affidavit Form, it is preferable to take a sworn statement in question and
answer format to fully establish inadmissibility or deportability. Use Form
1-263A as the jurat.
(vii)

Complete a Form 1-265, Notice to Appear, Bond, and Custody
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Processing Sheet, to provide a record that uniform criteria were applied in
making the custody determination. Current detention priorities must also be
considered in making custody decisions.

(viii)
Complete Form 1-826, Notice of Rights and Request for
Disposition. Every alien apprehended within the United States and charged
with inadmissibility or deportability must be given a Form 1-826. Provide the
alien with a copy of the form.
(ix) When a minor (a person under the age of 18) is returned from Canada, he
or she must be given a Form 1-770, Notice of Rights and Disposition. If the
minor is less than 14 years of age or unable to understand the notice, the
notice shall be read and explained to the minor in a language he or she
understands. Minors should be treated in accordance with the Flores v. Reno
Settlement Agreement. The terms of that agreement were incorporated in an
INS memorandum dated July 19, 1997, entitled Settlement of Jenny Lisette
Flores, et aI., v. Janet Reno.
(x) Prepare an original and two copies of Form 1-826, Notice to Appear. An
NTA for a non-arriving alien may be issued only by those officers specified in
8 CFR 239.1 (a). This includes Directors of Field Operations, Port Directors,
and Deputy Port Directors. The Commissioner has also delegated this
authority to Assistant Port Directors. The Form 1-826 shall be prepared in the
name of and signed by the authorizing official. If the alien is being held in
DHS custody, indicate that fact and the location of the facility where the alien
is detained in the address block. If the alien is not being held in DHS
custody, enter the complete address and phone number where the alien can
be reached and provide the alien with Form EOIR-33, Change of Address
Form, to report any change of address. If the alien's mailing address is
different from the physical address, include both. Check the appropriate block
to indicate whether the alien is present without inspection, overstay or status
violator. If the alien had been granted voluntary departure previously and
failed to depart within the time specified, the NTA should contain a factual
allegation stating when the voluntary departure was granted and for what
period of time, and that the alien did not depart within that time frame.
Check any other appropriate boxes on the form immediately following the
"provisions of law" section. The NTA must ordinarily include the time and
place of the hearing. Obtain a date and time for the hearing, following
established local procedures. In situations where a hearing date and time
cannot be obtained, indicate" to be set" in the appropriate data field. No
hearing date may be scheduled earlier than 10 days from the date of service
of the NTA (to allow sufficient time to obtain counsel and prepare for the
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hearing), but the form includes a waiver that the alien may execute in order to
obtain an earlier hearing date. Fill in the appropriate address and room
number for the Immigration Court where the alien is to appear. On the
reverse of the Form 1-862 is critical information concerning representation,
conduct of removal proceedings and the consequences of failure to appear at
the scheduled hearing. These should be specifically explained to the alien in
a language the alien understands.
The NTA must be served on the alien within 24 hours of issuance where DHS
proposes to set bond or detain the alien. Have the alien sign the original,
place the original and a copy in the A file, and serve the alien a copy. If the
file contains a Form G-28, Notice of Entry of Appearance as Attorney or
Representative, the alien's counsel must also be sent a copy of the Form
1-862. The officer serving the NTA must execute the Certificate of Service
block.
(xi) Provide the alien with a current list of organizations and programs
prescribed in 8 CFR 292 that provides free legal services.
(xii)
If the alien is to be detained, prepare a Form 1-200, Warrant for
Arrest of Alien, for the authorizing official to sign. A Warrant for Arrest of
Alien may be issued only by those officers listed in 8 CFR 287.5(e)(2) (limited
to Port Directors and Area Port Directors) and may be served only by those
officers listed in 8 CFR 287.5(e)(3) (includes CBP Officers). A Warrant for
Arrest of Alien shall be prepared in the name of and signed by the authorizing
official. Follow the local procedures for authorization and arranging of
detention.
(xiii)
Consult 8 CFR 236.1 (e) to ensure that the appropriate consular
official is immediately notified of the alien's detention, even if the alien
requests that this not be done. Notify the alien that he or she may
communicate with a consular official.
(xiv)
If qualified, the alien may be released on his or her own
recognizance from custody or under bond, as a matter of discretion, pending
a removal hearing. Such discretion should be applied only if the alien does
not pose a danger to the public and is likely to comply with the terms of the
exercise of discretion, or in accordance with detention priorities. Prepare a
Form 1-286, Notice of Custody Determination, with such conditions as the
Director or the Director's designated representative may establish. If
releasing the alien on his or her own recognizance, complete Form 1-220A. If
a bond is required, the amount can be no less than $1500.00. Consult local
ICE ORO for bond procedures. Provide alien with a copy of Form 1-830,
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Notice to EOIR: Alien Address.
(xv)
Photograph and fingerprint the alien on FD-249 fingerprint cards
(two sets) either manually or through IAFIS, if available. Note the FINS
number under Miscellaneous Numbers on back of FD-249. Code the
fingerprint cards with the proper United States Code citation. A third copy
may be kept at the port.
(xvi)

Complete Form R-84.

(xvii)
Complete Form 1-217, Information for Travel Document or Passport
and place in the A file.
(xviii)
Coordinate with ICE/DRO, ICE Counsel, and Records for
disposition of the A file.
b. Voluntary departure
DHS may permit an alien to voluntarily depart the United States at the alien's
own expense in lieu of being subject to section 240 proceedings or before
initiation of such proceedings, if the alien is not deportable under section
237(a)(2)(A)(iii) or section 237(a)(4)(B) of the Act. If the alien is granted
voluntary departure with safeguards, he or she must depart immediately and
under the direct observation of DHS and is not permitted to be out of DHS
custody. Since an alien being returned from Canada pursuant to the Agreement
may not be granted voluntary departure to Canada and has indicated an
intention to seek asylum, voluntary departure will not normally be considered in
these situations, except in extraordinary circumstances.
In accordance with 8 CFR 240.25, only district director (CBP Directors of Field
Operations) are authorized to grant voluntary departure as a matter of discretion.
The processing officer must weigh favorable and unfavorable factors before
deciding to offer the option of voluntary departure in each case. Among the
factors to be considered include previous immigration violations, age, infirmity,
and indications for stricter enforcement policies at a particular location or during
a particular time period. The processing officer must be satisfied that the alien
has the means to immediately depart the United States at his or her own
expense. See Chapter 13 of the Detention and Deportation Officer's Manual for
information on voluntary departure.
(i) Once having decided to permit voluntary departure, the processing officer
must make sure the alien understands his or her rights contained in the Form
1-826. Have the alien initial the block indicating his or her wish to depart the
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United States voluntarily. The officer serving the Form 1-826 must execute
the Certificate of Service block. Give a copy of the form to the alien.

(ii) If the alien elects to waive his or her right to a hearing before an
immigration judge, complete the Form 1-213 in ENFORCE, using the Full VR
module.
(iii) If applicable, cancel the alien's nonimmigrant visa pursuant to 22 CFR
41.122(h)(5) which provides that the nonimmigrant visa should be canceled if
an alien is in violation of his or her status.
c. Aliens not entitled to a removal hearing upon being returned from Canada.
Certain aliens are not entitled to formal removal proceedings under section 240
of the Act. The procedures for processing these aliens are described below.
(i) Previously Admitted CrewmemberNiolator Returned From Canada.
Crewmembers are not entitled to a hearing before an immigration judge,
except for the purpose of resolving an asylum claim. In the case where a
crewmember does not wish to apply for asylum in the United States and his
vessel or aircraft remains in the United States, he or she may be issued a
Form 1-99, Notice of Revocation, and returned to the vessel or aircraft for
removal. If the vessel or aircraft has departed the United States, the
crewmember may be ordered removed by issuing a Form 1-259, Notice to
Detain, Remove or Present Alien, to the transportation line or agency
representing the transportation line on which the alien served. Procedures
for removal of crewmembers are described in Chapter 23.10.
If removal occurs within 5 years of the crewmember's landing in the United
States, the carrier is liable for the costs of removal. When carrier liability
exists, complete and serve a Notice to Transportation Line Regarding Alien
Removal Expenses, Form 1-288. Expenses billable to a carrier may be
tracked and recorded on a Record of Expenses Billable to Transportation
Company, Form 1-380. Coordinate removal and service upon carrier with
ICE/ORO.
If such crewmember wishes to apply for asylum, use the Form 1-863, check
Box #3 and the appropriate box indicating the status of the crewmember
before serving, and forward the form to the appropriate Immigration Court.
Crewmembers may be detained if they present a danger to the public or a
risk of absconding. In the absence of these adverse factors, they may be
released on bond as a matter of discretion. Crewmembers who were present
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in the United States before April 1, 1997, are an exception and must be
placed into removal proceedings under section 240 of the Act.

(ii) Visa Waiver Program (VWP) Violators Returned From Canada.
Aliens who were admitted under the VWP pursuant to section 217 of the Act
and who violated their status or stayed beyond the 90-day admission period
permitted by statute are not eligible for a hearing, except in cases involving
an asylum claim. In the case where there is no asylum claim or the asylum
claim is denied, such alien may be ordered removed by means of a letter
from the Port Director. This letter should advise the alien of the
determination that he or she violated the conditions of admission under the
VWP and that he or she is being removed from the United States without a
hearing before an immigration judge. Sample language to be used may be
found in Appendix 14-2 of the Detention and Deportation Officer's Field
Manual.
Coordinate with local ICE/ORO concerning detention or release of the VWP
violator and the service of the Form 1-288, Notice to Transportation Line
Regarding Alien Removal Expenses, and the Form 1-259 on the carrier that
brought the alien into the United States, if the alien originally arrived by air.
See IFM Chapter 15.7 (g)(6), VWP Removal Procedures, for detailed
instructions on processing procedures.
In the case where an alien wishes to apply for asylum, complete Forms 1-863,
check Box #3 and the appropriate category within that paragraph, and refer
the alien to the Immigration Court for the asylum hearing in accordance with
IFM Chapter 15.7(g)(4), VWP Asylum Requests and Procedures.
In situations where a removal order under section 217 has been issued and
there is limited detention availability, Form 1-220B, Order of Supervision may
be issued by ICE/ORO to allow the alien to voluntarily report to a ORO office
for verification of departure.
d. Aliens previously ordered removed, who reentered the United States and are
not admitted to Canada after applying for asylum there.
Section 241 (a)(5) of the Act provides that the Attorney General [now the
Secretary of Homeland Security] shall reinstate, without referral to an
Immigration Court, a prior order against an alien who illegally reentered the
United States after having been deported, excluded or removed, regardless of
the date that the previous order was entered. An alien who voluntarily departed
the United States wrlile under a final order of exclusion, deportation or removal,
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and then illegally reentered the United States is also subject to this provision.

Reinstatement is not applicable to an alien who was granted voluntary departure
by an immigration judge and left the United States in compliance with the terms
of that grant. These aliens are subject to the removal provisions under section
240 of the Act. If, however, the alien stayed beyond the period authorized for
voluntary departure, or left of his or her own volition while a final order was
outstanding (i.e., the alien "self-deported"), the alien is subject to reinstatement.
Before processing the alien for reinstatement, you must verify the facts relevant
to reinstatement of a previous order. Regulations at 8 CFR 241.8 require that
the officer must establish: whether the alien was subject to a prior order; the
identity of the alien, that is, whether the alien is in fact an alien who was
previously removed; and whether the alien unlawfully reentered the United
States. You must obtain evidence of the prior removal order, which may be
faxed from the National Records Center or the office currently holding the file. In
cases of disputed identity, verify identity through fingerprint comparison.
Consider all relevant evidence, including alien's statements, other evidence in
alien's possession, and database checks to determine whether last entry was
lawful. In any case in which you are not able to satisfactorily establish the facts,
the previous order cannot be reinstated, and the alien must be processed for
removal through other applicable procedures, such as removal proceedings
under section 240 of the Act.
On November 18, 2004, the 9th Circuit Court of Appeals ruled in
Morales-Izquierdo v. Ashcroft that the reinstatement provisions in 8 CFR 241.8
violate the statutory requirement that removal determinations may be made only
by immigration judges. Therefore, in processing aliens returned pursuant to the
Agreement at Canadian land border ports of entry, the reinstatement provisions
may not be applied in the states of Washington, Idaho, Montana, and Alaska.
In preparing cases for aliens who are subject to reinstatement, officers should
use the following procedure. See Chapter 14.8 of the Detention and Deportation
Officers Field Manual for additional information.
(i) Create a work folder and obtain database printouts containing the
previous order. Track the work folder in NFTS.
(ii) Complete the Form 1-213 through the Reinstate Deport with 1-217 module
in ENFORCE. If the alien admits to being previously ordered removed or
granted voluntary departure, the Form 1-213 must so indicate. If a fingerprint
hit verifies such previous adverse action, include that information on the Form
1-213. If the alien disputes the fact that he or she was previously removed,
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the alien's fingerprints must be compared with those in the A file documenting
the previous removal to affirm positively the alien's identity. The fingerprint
comparison must be completed by a locally available expert or by the
Forensic Document Laboratory via electronic means.
(iii) Take a complete sworn statement from the alien using Form 1-877,
concernillg all pertinent facts. Use Form 1-263A, Record of Sworn Statement,
as a jurat to close the statement. The record of sworn statement must
document admissions, if any, relevant to determining whether the alien is
subject to reinstatement, and whether the alien expressed a fear of
persecution or torture if returned on the reinstated order. The sworn
statement must include the following question and the alien's response
thereto: "Do you have any fear of persecution or torture should you be
removed from the United States?" If the alien expresses a fear of
persecution or torture, once detained, ICE Office of Detention and Removal
Operations will refer him or her to an asylum officer who will determine
whether he or she has a reasonable fear of persecution or torture. Provide a
copy of the statement to the alien and retain copies for the file.
(iv) Complete the Form 1-871, Notice of Intent/Decision to Reinstate Prior
Order. Sign the top portion of the form, provide a copy to the alien, and
retain the original for the file. You must read, or have read, the notice to the
alien in a language the alien understands. The alien signs the second box of
the file copy and indicates whether he or she intends to rebut the officer's
determination. In the event that the alien declines to sign the form, note the
block that a copy of the form was provided and the alien declined to
acknowledge receipt or provide any response.
(v) Execute Form 1-205, Warrant of Removal/Deportation.
(vi)AII reinstatement cases must be detained. Follow the local procedures for
authorization and arranging of detention of the alien so that ICE/ORO may
complete the reinstatement of a final order.
e. Aliens who have been ordered removed from Canada, are transiting the
United States pursuant to that removal, and claim asylum.
CBP may parole an alien deportee from Canada through the United States, in
accordance with section 212(d)(5)(A) of the Act. These aliens will be escorted
by Canadian officials. Pursuant to the Agreement, if the alien deportee claims
asylum while transiting the United States, he or she shall be returned to Canada
for consideration of the claim.

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In practice, most of these cases would have been paroled by CBP through a
preclearance airport in Canada. As these flights normally arrive at domestic
gates of an airport in the interior of the United States, CBP will not have direct
contact with the alien. However, the alien may make his asylum claim to the
escorting Canadian officers, airline employees, or other officials and may be
brought to the CBP offices in the airport. In these cases, parole status will be
terminated and the alien deportee will be placed in expedited removal
proceedings and referred to an asylum officer for a credible fear interview, where
the alien will first receive a threshold screening determination. The alien should
be given the Information About Threshold Screening Interview along with the
Form M-444. After processing, DHS will return the alien to Canada. This
process should be coordinated with ICE ORO as it will require detention.
(e) Dispute Resolution Under the Safe Third Country Agreement
The Agreement provides that procedures must include mechanisms for resolving
differences in interpretation and implementation of the terms of the Agreement. There
may be situations where the alien, upon return to the United States, claims that there is
new material evidence that was not reasonably available to Canadian officials, or the
alien alleges that Canadian officials did not consider all evidence, or the alien's true
identity is discovered upon return to the United States. While CBP Officers should not
attempt to act as advocates for the alien,they may request a reconsideration of the
decision if warranted.
(1) The CBP Port Director may contact the CIC manager in writing, providing the
name and FOSS 10 number of the alien and a summary of the new material
evidence to be considered along with any supporting documentation.
(2) A CIC officer will review the case and determine if the evidence was considered
at the time of the interview. If the evidence was already considered, the information
will be provided to the CBP Port Director with confirmation that the case will not be
redetermined. If the CIC officer requires clarification from the claimant, contact will
be by telephone. If it is determined that the applicant is eligible to make a refugee
claim in Canada, the CIC manager will request the return of the applicant.
(3) Any further disputes that cannot be resolved at the local level should be referred
through the DFO to CBP HQ Immigration Policy and Programs (IPP). IPP will
forward the information to the USCIS Asylum Division Director for resolution.
(4) If Canadian officers have similar concerns about an alien returned to Canada
under the Agreement, they must contact the Deputy Director of Asylum at USCIS
Headquarters.

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17.12 Bonds.
Whenever an alien for whom a bond has been posted is admitted, endorse the reverse of the
arrival portion of the 1-94 with the "A" number, FCO code and the word "Bond". When a bond
has been pre-posted as a condition of visa issuance, the nonimmigrant visa will be so noted by
the consular officer.

17.13 Visa Waiver Program Cases. (Revised INOI-04)
See discussion in Chapter 15.7 concerning VWP refusals and limitations on removal hearings.
A VWP applicant who claims asylum may be accorded a limited removal hearing , but such a
hearing is limited solely to the issue of asylum or withholding of removal, in accordance with 8
CFR 208.2(b). In such a situation, process the applicant using Form 1-863, Notice of Referral to
Immigration Judge.

17.14 Lookout Intercepts.
See Chapter 31.6.

17.15 Expedited Removal.
(a) Inadmissibility. Section 302 of the Illegal Immigration Reform and Immigrant
Responsibility Act (IIRIRA) amended section 235(b) of the Immigration and Nationality
Act (Act) to authorize the Attorney General (now the Secretary of the Department of
Homeland Security (DHS)) to remove without a hearing before an immigration judge
aliens arriving in the United States who are inadmissible under section 212(a)(6)(C) or
212(a)(7) of the Act. Under these expedited removal provisions, aliens who indicate an
intention to apply for asylum or who assert a fear of persecution or torture are referred
to an asylum officer for a credible fear interview. Those who are found to have a
credible fear by the asylum officer are referred to an immigration judge for a full removal
hearing on the merits of their claim or claims.
The expedited removal provisions became effective April 1, 1997. Under section
235(b)(1) of the Act, expedited removal proceedings may be applied to two categories
of aliens.
First, section 235(b)(1 )(A)(i) of the Act permits expedited removal proceedings for aliens
who are arriving in the United States. 8 CFR 1.1 (q) defines the term "arriving alien."
Refer to section (a)(1) of this chapter for the meaning of "arriving alien." Pursuant to
section 235(b)(1 )(F) of the Act, Cuban nationals who arrive at U.S. ports-of-entry
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Inspector's Field Manual
(POEs) by aircraft are exempt from expedited removal proceedings.
Second, section 235(b)(1 )(A)(iii) of the Act provides the Attorney General (now the
Secretary of DHS) the discretion to designate certain other aliens to whom the
expedited removal proceedings may be applied, even though they are not arriving in the
United States. This provision permits application of the expedited removal proceedings
to any or all aliens who have not been admitted or paroled into the United States and
who have not been physically present in the United States continuously for the two-year
period prior to a determination of inadmissibility by an immigration officer. The Attorney
General delegated this authority to designate classes of aliens to the Commissioner of
the Immigration and Naturalization Service, and this has since been delegated to the
Commissioner of CBP and the Under Secretary of Immigration and Customs
Enforcement (ICE). Pursuant to 8 CFR 235.3(b)(1 )(ii), the designation may become
effective upon publication of a notice in the Federal Register.
On November 13, 2002, the INS published in the Federal Register a notice designating
an additional class of aliens who may be placed in expedited removal proceedings aliens who arrive in the United States by sea, who are not admitted or paroled, and who
have not been physically present in the United States continuously for the two-year
period immediately preceding the determination of inadmissibility. Aliens falling within
this newly designated class will be detained at the discretion of the government during
the course of immigration proceedings. This newly designated class does not include
Cuban nationals, crewmen, or stowaways.
(1) Arriving Aliens. For an alien to be subject to the expedited removal provisions at
a POE, the alien must first meet the definition of "arriving alien." The term "arriving
alien" as defined in 8 CFR 1.1 (q) means an applicant for admission coming or
attempting to come into the United States at a POE, or an alien seeking transit
through the United States at a POE, or an alien interdicted in international or U.S.
waters and brought into the United States by any means, whether or not to a
designated POE, and regardless of the means of transportation. An arriving alien
remains such even if paroled pursuant to section 212(d)(5) of the Act, except that an
alien who was paroled before April 1, 1999, or an alien granted parole which the
alien applied for and obtained in the United States prior to the alien's departure from
and return to the United States shall not be considered an arriving alien for
purposes of section 235(b)(1 )(A)(i) the Act.
Aliens who entered the United States without inspection; aliens apprehended in the
United States without legal status; and aliens who have departed the United States,
are refused admission into another country and are thereafter returned back to the
United States do not fall within the definition of arriving aliens. Alien stowaways on
arriving vessels, lawful permanent resident aliens of the United States, or applicants
under the Visa Waiver Program may be considered arriving aliens for other
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Inspector's Field Manual
purposes under the Act, but are not subject to the expedited removal provisions.

It is the responsibility of the officer to determine whether the alien is an arriving alien
subject to being placed in expedited removal proceedings. Also see Chapter 17.11
for processing alien applicants for admission who claim asylum at ports-of-entry.
(2) Applicability. In general, arriving aliens who are inadmissible under section
212(a)(6)(C) and/or (7) are subject to expedited removal under section 235(b)(1) of
the Act. Officers should only charge those grounds of inadmissibility that can be fully
supported by the evidence and that will withstand any further scrutiny. Officers may,
but need not, charge more than one ground of inadmissibility. If 212(a)(6)(C) and/or
212(a)(7) are the only charges lodged, the alien must be processed under expedited
removal and may not be referred for an immigration hearing under section 240. If
additional charges are lodged, the alien may be referred for a section 240 hearing,
but this should only occur in extraordinary circumstances. Generally speaking, if an
alien is inadmissible under 212(a)(6)(C) and/or (7), additional charges should not be
brought and the alien should be placed in expedited removal. There will be very few
instances where it will be advantageous to the government to lodge additional
charges and institute section 240 removal proceedings if a solid expedited removal
proceeding can be concluded. Even in criminal cases, an expedited removal
proceeding will normally be the preferred option.

DHS retains the discretion to permit withdrawal of application for admission in lieu of
issuing an expedited removal order (see Chapter 17.2). Provisions for withdrawal
are contained in both statute and regulation, with specific guidance in the IFM, and
should be followed by all officers with authority to permit withdrawals. As an
example, in cases where a lack of proper documents is the result of inadvertent
error, misinformation, or where no fraud was intended (e.g. an expired nonimmigrant
visa), officers may consider, on a case-by-case basis and at the discretion of the
government, any appropriate waivers, withdrawal of application for admission, or
deferred inspection to resolve the ground of inadmissibility rather than issue an
expedited removal order.
The authority to formally order an alien removed from the United States without a
hearing or review, carries with it the responsibility to accurately and properly apply
the grounds of inadmissibility.
(3) Grounds of Inadmissibility. All officers should be aware of precedent decisions
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Inspector's Field Manual
and policies relating to the relevant grounds of inadmissibility. Section 212(a)(6)(C)
is an especially difficult charge to sustain unless the case involves obviously
fraudulent or counterfeit documents. Misrepresentation is even more difficult to
determine. Also keep in mind that an alien who is determined to be inadmissible for
fraud or misrepresentation is barred forever from the United States, with few waivers
available. Anyone or several of the following points should be considered in
determining if an alien has committed fraud or misrepresentation.
•

To support a charge of having procured a document by fraud or
misrepresentation, the procuring must have been done from a government
official, not from a counterfeiter, and any misrepresentation must have been
practiced on a U.S. Government official.

•

The procurement by fraud must relate to a person who has done so to obtain his
or her own admission, not someone else's.

•

The fraud or misrepresentation must be material, i.e., the alien is inadmissible on
the true facts, or the misrepresentation tends to shut off a relevant line of inquiry
that might have resulted in a determination of inadmissibility.

•

In general, an alien should not be charged with misrepresentation if he or she
makes a timely retraction of the misrepresentation, in most cases at the first
opportunity.

•

Silence or failure to volunteer information does not in itself constitute a
misrepresentation.

•

Aliens who are determined to be mentally incompetent and small children judged
to be incapable of independently forming an intent to defraud should not be
ordered removed using section 212(a)(6)(C)(i) as the inadmissibility charge. The
preferred charge in such cases would be section 212(a)(7)(A).

•

Section 344 of IIRIRA did not create any waiver for immigrants found
inadmissible under section 212(a)(6)(C)(ii) relating to false claims to U.S.
citizenship. Therefore,
immigrants found
inadmissible under section
212(a)(6)(C)(ii) are permanently barred from the United States.

(4) Supervisory approval of removal orders. All expedited removal orders require
supervisory approval before service upon the alien. By regulation, this approval
authority is not to be delegated below the level of a second-line supervisor. Each
field office may determine at what level (second-line supervisor or above) this review
authority should be delegated.
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Inspector's Field Manual
The expedited removal provisions are not applicable in pre-clearance or
pre-inspection operations. If DHS wishes to proceed with expedited removal of an
alien inspected during an en route inspection of a vessel, action on the case will be
deferred until the vessel has arrived in the United States. The alien may then be
processed as an expedited removal case.
Port directors are responsible for ensuring that all officers conducting expedited
removal proceedings, and supervisors approving expedited removal orders, are
properly trained in the expedited removal provisions.
See Appendix 17-3 for a flow chart mapping the entire expedited removal process.
(Paragraph (a) amended 8/21/97; IN97-05)
(5)Aliens seeking asylum at land border ports of entry. Section 235(b) of the INA
does not provide for an affirmative asylum application process at a port of entry.
Therefore, an officer should consider an alien who arrives at a land border
port-of-entry and seeks asylum to be an applicant for admission by operation of law.
The alien will most likely be inadmissible under section 212(a)(7)(A)(i) of the INA as
an intending immigrant without proper documentation or under section 212(a)(6)(C)
of the INA as an immigration violator with fraudulent documents. As a result, he or
she will be subject to expedited removal proceedings.
Except as noted below, the alien, if otherwise subject, should be placed in expedited
removal proceedings, referred for a credible fear interview, and detained pending a
final determination of a credible fear of persecution or torture. See INA §
235(b)(l)(B)(iii)(IV); 8 CFR § 235.3(b)(4)(ii). Once it has been determined that an
alien has a credible fear of persecution or torture, DHS may continue to detain the
alien or parole the alien from custody, as appropriate.
(Paragraph (a)(5) added 11-1-05; CBP 12-06)
(6) Cuban asylum seekers at land border ports-of-entry. Natives or citizens of Cuba
arriving at land border ports of entry, whose immediate removal from the United States is
highly unlikely, should be placed directly into section 240 proceedings in lieu of
expedited removal, without lodging additional charges. These aliens may be paroled
directly from the port of entry while awaiting removal proceedings if identity is firmly
established, all available background checks are conducted, and the alien does not pose
any terrorist or criminal threat. Pursuant to section 235(b)(2)(C) of the INA, they may
also be returned to contiguous territory pending removal proceedings under section 240 of
the INA. This option should only be considered if the alien is not eligible for the exercise
of parole discretion, the alien has valid status in Canada or Mexico, Canadian or Mexican
border officials are willing to accept the alien back, and the claim of fear of persecution is
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Inspector's Field Manual
unrelated to Canada or Mexico.
An officer should not parole a native or citizen of Cuba from a land border port of entry
for the sole purpose of allowing the alien to apply for adjustment under the Cuban
Adjustment Act of 1966, Pub. L. 89-732, 80 Stat. 1161 (1966), without initiating section
240 proceedings. The Cuban Adjustment Act (CAA) provides that any native or citizen
of Cuba who has been admitted or paroled into the United States, and who is otherwise
admissible as an immigrant, may adjust status to that of a lawful permanent resident after
being physically present in the United States for at least one year. It does not, however,
require an officer to parole a native or citizen of Cuba at a port of entry without regard to
public safety. Therefore, an officer should grant parole to a native or citizen of Cuba only
if the alien does not pose a criminal or terrorist threat to the United States.
(Paragraph (a)(6) added 11-1-05; CBP 12-06)
(b) Preparing a case. The expedited removal proceedings give officers a great deal of
authority over removal of aliens and will remain subject to serious scrutiny by the public,
advocate groups, and Congress. All officers should be especially careful to exercise
objectivity and professionalism when processing aliens under this provision. Because of
the sensitivity of the program and the potential consequences of a summary removal,
you must take special care to ensure that the basic rights of all aliens are preserved,
and that aliens who fear removal from the United States are given every opportunity to
express any concerns at any point during the process. This includes conducting
interviews in an area that affords sufficient privacy, whenever feasible. Since a removal
order under this process is subject to very limited review, you must be absolutely certain
that all required procedures have been adhered to and that the alien has understood
the proceedings against him or her.
The steps to be taken in the expedited removal proceedings differ somewhat from
those in which an alien is referred for a removal hearing before an immigration judge. It
is important that a complete, accurate record of removal be created, and that any
expedited removal be justifiable and non-arbitrary. The following steps must be taken
in each case in which an order of expedited removal is contemplated or entered against
an alien:
(1) Use of Form 1-867A&B. Clearly explain to the alien, in a language he or she
understands, the serious nature and impact of the expedited removal process, as
noted on the Form 1-867A&B. Officers must use an interpreter, when needed, to
assist in the expedited removal process. Refer to Chapter 17.18 for Guidance on the
Use of Interpreters and Interpreter Services.
Read the statement of rights and consequences contained on the first page of Form
1-867A, Record of Sworn Statement in Proceedings under Section 235(b)(1) of the
Act, to the alien. Explain that you will be taking a statement from him or her, and
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Inspector's Field Manual
that any information given or discovered will be used in making a decision on the
case and may result in his or her prompt removal. Advise the alien that if he or she
is found to be inadmissible and a decision is made to order the alien removed, he or
she will be immediately removed from the United States. Explain that there is no
appeal to this decision and explain that this will be his or her only opportunity to
provide any information or state any fear of return or removal that he or she may
have.

In every expedited removal case, you must use the Form 1-867A&B to take a
complete sworn statement from the alien concerning all pertinent facts. If the case
did not initially appear to involve inadmissibility and removal under the expedited
removal proceedings, and the sworn statement was begun using other forms, you
must immediately advise the alien of the rights and warnings on Form 1-867A once
you determine that the expedited removal proceedings will apply. The officer sl1all
note either on the Forms 1-867A&B or in a memorandum, explaining why those other
forms are included.
The sworn statement will be done in question and answer format. Form 1-831,
Continuation Sheet, or a blank page may be used for the body of the statement. The
sworn statement must cover several general areas of inquiry:
•

Identity - include true name, aliases, date and place of birth and other
biographical data.

•

Alienage - determine citizenship, nationality, and residence. Cover any possible
claim to U.S. citizenship through parents.

•

Inadmissibility - questions should cover the alien's reason for coming to the
United States, information about the specific facts of the case and the specific
suspected grounds of inadmissibility.

•

Fear of persecution or torture - if the alien indicates in any fashion or at any time
during the inspections process, that he or she has a fear of persecution, or that
he or she has suffered or may suffer torture, you are required to refer the alien to
an asylum officer for a credible fear determination. One of the significant
differences between expedited removal proceedings and regular removal
proceedings is that the inspecting officer has a responsibility to ensure that
anyone who indicates a fear of persecution or intent to apply for asylum in the
United States is referred to an asylum officer for a credible fear determination.
Inspectors should consider verbal as well as non-verbal cues given by the alien.
The obligatory questions on the Form 1-867B are designed to help in determining
whether the alien has such fear. Ask the questions as they appear on the Form
1-867B at the end of the sworn statement. If the alien indicates an intention to
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Inspector's Field Manual
apply for asylum or a fear of harm or concern about returning home, or makes
any such statements or comments at any time during the inspections process,
the inspector may ask a few additional follow-up questions to ascertain the
general nature of the fear or concern. Any comments of concern made by the
applicant must be recorded in the sworn statement, including any indications
made by the alien prior to the secondary interview.
Do not ask detailed questions on the nature of the alien's fear of persecution or
torture: leave that for the asylum officer. In determining whether to refer the
alien, inspectors should not make eligibility determinations or weigh the strength
of the claims, nor should they make credibility determinations concerning the
alien's statements. The inspector should err on the side of caution, apply the
criteria generously, and refer to the asylum officer any questionable cases,
including cases that might raise a question about whether the alien faces
persecution or torture. Do not make any evaluation as to the merits of such fear;
that is the responsibility of the asylum officer. Officers processing aliens for
expedited removal may contact the Asylum office point(s) of contact when
necessary to obtain guidance on whether to refer questionable cases involving
an expression of fear or a potential asylum claim.
See paragraph (d) of this
chapter for more detailed information regarding credible fear referrals.
•

Impact of decision - once you have gathered all the facts, you will decide, in
consultation with a supervisor, the best course of action. Depending on the
circumstances, you may admit the alien, allow the alien to apply for any
applicable waivers, defer the inspection or otherwise parole the alien, permit the
alien to withdraw his or her application for admission, issue an expedited
removal order, or refer the alien for a credible fear determination. Whatever
decision is made, clearly advise the alien of the impact and consequences of the
determination and record this in the sworn statement.

You must use the Form 1-867B as the final page of the sworn statement and jurat.
Be sure to obtain responses from the alien regarding the mandatory closing
questions contained on the form. If the alien in any way indicates a fear of removal
or return, follow the procedures in paragraph (d) of this section. Collect any
additional evidence relevant to the case that is discovered during the inspections
process.
After the sworn statement is completed, have the alien read the statement, or have
it read to him or her in a language the alien understands. Use an interpreter if
necessary. Make any necessary corrections or additions. Have the alien initial each
page and each correction. Provide a copy of the completed statement, upon
signature, to the alien. Retain a copy for the A file and a copy for the port file, if one
is created
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If at any time you feel that an amendment to the initial sworn statement is needed,
you may complete a second sworn statement during the inspections process. An
incident may also take place after you have completed the initial sworn statement,
but before the alien is removed from the United States, where a second sworn
statement may be helpful. Ask the alien enough questions under oath to address all
concerns that may have arisen during the process.
The statement must be signed by the alien and by the officer taking the statement,
as well as by a witness. An alien cannot avoid expedited removal by refusing to sign
the statement or answer the questions. If the alien will not sign, write "Subject
refused to sign" on the signature line. If the alien will not answer any questions, take
a skeleton sworn statement, listing all pertinent questions, and writing after each
"Subject refused to answer". An expedited removal order may still be issued,
provided the removal is otherwise substantiated (e.g., if the alien presented a
fraudulent document), and is not dependent solely on the alien's statements.
(2) Form 1-860, Notice and Order of Expedited Removal. Prepare three copies of
Form 1-860. Check the appropriate ground(s) of inadmissibility under which the alien
is being charged (e.g. 212(a)(6)(C)(i)), and insert a narrative description of each
charge and the violation committed. Read and explain the charges to the alien in the
alien's native language or in a language the alien can understand. An interpreter
may be required to ensure that the alien understands the allegations and the
removal order. Interpreters may not be used if they are employees of the
government of the alien's home country, such as an employee of a
government-owned airline, except for the most routine questioning. Never use an
employee of a foreign government if there is any possibility of sensitive areas (e.g.,
persecution or torture) being discussed. The alien should be given an opportunity to
respond to the charges, and any response must be recorded in either the sworn
statement or an addendum to the statement. Expedited removal forms exist in other
languages. If a form in the alien's native language or in a language the alien
understands is used, place only the English version in the file and give the
translated version to the alien.
After all statements are taken and other paperwork is complete, present it through
your chain of command to the appropriate supervisor (not to be delegated below the
second-line supervisor) or a person officially acting in that capacity for review and
approval. If the appropriate supervisor is not present at the port, the supervisory
review and approval may be obtained telephonically, by fax, or by other means. The
approving authority must be properly advised of all facts in the case in order to make
an informed decision. Print the name and title of the supervisor approving the order,
and check the box on the form indicating that concurrence was obtained
telephonically or by other means. The Form 1-860 must be signed legibly by the
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statements.
(2) Form 1-860, Notice and Order of Expedited Removal. prepare three copies of Form 1-860. Check the appropriate ground(s) of
inadmissibility under which the alien is being charged (e.g. 212(a)(6)(C)(i», and insert a narrative description of each charge
and the violation committed. Read and explain the charges to the alien in the alien's native language or in a language the alien
can understand. An interpreter may be required to ensure that the alien understands the allegations and the removal order.
Interpreters may not be used if they are employees of the government of the alien's home country, such as an employee of a
government-owned airline, except for the most routine questioning. Never use an employee of a foreign government if there is
any possibility of sensitive areas (e.g., persecution or torture) being discussed. The alien should be given an opportunity to
respond to the charges, and any response must be recorded in either the sworn statement or an addendum to the statement.
Expedited removal forms exist in other languages. If a form in the alien's native language or in a language the alien understands
is used, place only the English version in the file and give the translated version to the alien.
After all statements are taken and other paperwork is complete, present it through your chain of command to the appropriate
supervisor (not to be delegated below the second-line supervisor) or a person officially acting in that capacity for review and
approval. If the appropriate supervisor is not present at the port, the supervisory review and approval may be obtained
telephonically, by fax, or by other means. The approving authority must be properly advised of all facts in the case in order to
make an informed decision. Print the name and title of the supervisor approving the order, and check the box on the form
indicating that concurrence was obtained telephonically or by other means. The Form 1-860 must be signed legibly by the
preparing officer.

dS

,

(3) Photographing and fingerprinting. Enroll the alien in
ake the alien's photograph
and fingerprint the alien on FD-249 fingerprint cards (three sets-see chapter lS.9(e) for distribution), or electronically, if
d
:
3 i
re available at the port. Be sure to complete the entire form and properly code the
fingerprint cards with the proper U.S. Code citation, since the FBI will not clear cards without such codes. Following are examples
of codes that may be used:
18 U.S.c. 1544

Photo substitutions

•

18 U.S.c. 1546

Counterfeit immigrant visa

•

8 U.S.c. 1306

Counterfeit immigration documents, such as alien registration

•

18 U.S.c. 911

False claims to U.S. citizenship (imposters, photo substitution of U.S. passport)

•

18 U.S.c. 1001

Other (fraudulent documents, false statements, imposter, etc.)

(4) Forensic Document Lab (FDU analysis. Obtain forensic analysis, if appropriate. In cases involving fraudulent documents, if the
sworn statement includes an admission of the fraud, no forensic analysis may be required. For the expedited removal proceedings,
actual forensic examination of the document by the FDL may not be feasible. This does not mean that it is permissible to "rush to
judgement", or that it is permissible to expeditiously remove an alien based on incomplete evidence. If forensic analysis is
reqUired to establish that the alien is inadmissible, such analysis must be obtained before the Form 1-860 is executed. If
necessary, the alien should be detained until the analysis is performed, and then the Form 1-860 can be executed. (On the other
hand, if the alien's inadmissibility under section 212(a}(7) has been established, there is little or no reason to delay the
expedited removal process in order to also establish the 212(a)(6)(C) charge.) Offices with electronic devices for transmitting
quality images should use those technologies whenever possible or necessary. [See Chapter 32 for details on using FDL services
and for contributing documents or intelligence information concerning the fraud.]
(5) Tracking of ER cases. Unless an A number already exists for an alien placed into expedited removal, an A number must be

....-J-._

assigned to every expedited removal case at the POE in order to ensure proper tracking of the case from the onset.
Codes have been created for entry of expedited removal cases into the Central Index System (CIS). Those codes are:
•

ERF

~xpedited

•

ERP

~xpedited

ERR

~xpedited

Removal case has been initiated under section 235(b)(1) of the INA and a final decision is pending a
credible fear determination by an asylum officer or immigration judge.
Removal case has been initiated under section 235(b)(1) INA and a final decision is f.ending for reasons
other than referral for credible fear interview before an asylum officer.
Removal case has been initiated and alien has been Removed from the United States under that program.

Entry of cases into CIS should be accomplished as qUickly as possible in accordance with local policy. To ensure prompt data
entry, A files for expedited removal cases should be separated from other files and flagged as expedited removal cases.
Codes have also being created to designate expedited removal cases in the National Automated Immigration Lookout System
(NAILS) and the Interagency Border Inspection System (IBIS).
Search for existing records in CIS and other appropriate automated systems. If an A file exists, create a temporary file and
request the permanent file. After the file is received, update it with all relevant documents completed or collected during the
expedited removal process, and forward it to the proper files control office. If no previous file exists, create a new A file relating to
the alien.

INS

6) Consular notification of alien detention. Consult 8 CFR 236.1(e) to ensure that, if required, the appropriate consular official is
immediately notified of the alien's detention, even if the alien requests that this not be done. Notify the alien that he or she may
communicate with a consular official. These steps normally will only be necessary when removal of the alien cannot be accomplished
immediately and the alien must be placed in detention for longer than 24 hours. When you contact a consular official, never mention
any asylum claim which may have been filed, or give any indication that the alien has expressed a fear of persecution or torture.
(7) Criminal prosecution. Aliens arriving at the POEs who are subject to the expedited removal provisions may also be subject to

criminal prosecution. If criminal prosecution of the alien is contemplated in addition to expedited removal, the criminal action must
be completed before the alien is ordered removed. [See Chapter 18 for procedures for criminal prosecution]. Officers must give the
alien his/her Miranda warning and once the warning of rights has been given to the alien, questioning of the alien can only occur with
the alien's consent. If the alien refuses to provide a sworn statement, or if the U.S. Attorney's Office prohibits the officer from taking
any sworn statements or completing removal processing prior to the completion of the criminal proceedings, the administrative
process must be completed after the alien's criminal proceeding is concluded.
If the alien permits questioning and the U.S. Attorney's Office does not prohibit questioning and processing of the alien, complete the
sworn statement and the Form 1-860. Do not serve the Form 1-860 on the alien, but place it in the A file pending the criminal
processing. If the alien is to be turned over to another law enforcement agency, serve a Form 1-247, Immigration Detainer - Notice
of Action, on the other agency. Once the alien is returned to DHS custody, the Form 1-860 may be served and the alien removed
under the expedited removal order.
(8) Service of the Form 1-860. Serve the original Form 1-860 on the alien, unless the alien is to be deferred to an onward office, in
which case the service is accomplished by the onward office. If the alien is being prosecuted criminally, the Form 1-860 will be served
after the criminal conviction. Place a copy of the Form 1-860 in the A file. The third copy may be retained at the port.
(9) Form 1-296, Notice to Alien Ordered Removed/Departure Verification. Check the appropriate box to indicate the period during
which the alien must obtain permission to reenter: 5 years for the first removal; 20 years in the case of a second or subsequent
removal; at any time if the alien has been convicted of an aggravated felony (even though the alien is not being charged as an
aggravated felon in this proceeding). Do not check the 10-year box; that is for aliens removed under other provisions of the Act. At
the time of actual removal, a photograph and a pressed print of the alien's right index finger should be placed on a copy of the Form
1-296, the alien should sign the form, and the particulars of the departure should be entered on the form for retention in the file.
Serve the alien with a copy of the Form 1-296 before removal. The original form should remain in the A file.

1-275. Consular Notification. Cancel the alien's visa or border crossing card, if appropriate. Complete and distribute the
Form 1-275 as described in Chapter 17.2. Check all the boxes that apply, with a brief description of the denial and removal of the

(10) Form

alien. Note the passport with the file number and action taken, for example: "Ordered Removed 6/1/04 NYC/Section 212(a)(6)(C)
(i)". Forward a copy of the Form 1-860 with the Form 1-275 to the Department of State.
(11) Form 1-94. Arrival/Departure Document. Prepare a new Form 1-94. If the alien applied
the Form 1-94 to read: "Form 1-860 Removal Order issued pursuant to section 235(b)(1)
the alien applied for admission at an airport or seaport, use the parole stamp and endorse
United States by (carrier name). Form 1-860 Removal Order issued pursuant to section
(Officer)".

for admission at a land border, annotate
of the Act. (Date), (Place), (Officer)". If
the 1-94 to read: "For removal from the
235(b)(1) of the Act. (Date), (Place),

(12) Detention. Detain the alien as appropriate. Follow local procedures to obtain detention authorization and arrange for detention.
Aliens placed into expedited removal proceedings must be detained until removed from the United States. Parole may be permitted
only if there is a medical emergency or if it is necessary for legitimate law enforcement purposes, such as for criminal prosecution or
to testify in court. Refer to Chapter 17.8 for the CBP policy on the detention of aliens at POEs. Aliens subject to expedited removal
who claim a fear of persecution or torture must be detained pending a credible fear determination. Once an alien has established a
credible fear of persecution or is otherwise referred (as provided by regulation) for a full removal proceeding under section 240,

release of the alien may be considered under normal parole criteria. Aliens who make false claims to U.S. citizenship, or unverified
claims to lawful permanent resident, asylee, or refugee status, must be detained pending review of the removal order by the
immigration judge. Aliens arriving at a land border port-of-entry who do not claim lawful status in the United States or a fear of
persecution should normally be processed immediately and either returned to Canada or Mexico or detained until removed.
(13) Credible fear interview referral. See paragraph (d) of this chapter for detailed information on credible fear referrals. Credible
fear interviews will normally take place at DHS or contract detention facilities. Each POE and detention facility will be provided with a
point or points of contact at the Asylum office having responsibility for that geographical area. It is the responsibility of the referring
(Inspections) officer to provide the alien being referred for a credible fear interview with both a Form M-444, Information about
Credible Fear Interview, and a list of free legal services, as provided in 8 CFR part 292. It is generally the responsibility of the
detention and removal personnel to notify the appropriate Asylum office point of contact when an alien subject to the expedited
removal process is being detained in DHS custody pending this interview. That officer should also provide any additional information
or concerns of the alien, such as whether the alien requires an interpreter or other special requests and considerations. However, in
locations where the credible fear interview requires travel by the asylum officer, the referring officer should notify the Asylum office
when referring the alien in order to provide as much advance notice as possible. When aliens are detained in non-DHS facilities or at
remote locations, the referring officer must notify the appropriate Asylum office. If the alien is subsequently transferred to another
detention site, the detention or deportation officer must ensure that the appropriate Asylum office has been notified.

Normally the credible fear interview will not take place sooner than 48 hours after the alien arrives at the detention facility. If the
alien requests that the interview be conducted sooner, the referring officer, or any other officer to whom the alien makes the
request, should immediately convey that information to the appropriate Asylum office.
(14) Removal from the United States. Most aliens removed under the expedited removal provIsions will be promptly removed;
however, some aliens, such as those who claim asylum or LPR status, may be detained pending a decision on their claim. At the land
border, ensure the alien's departure to the contiguous foreign territory. At air and seaports, serve the carrier of arrival with the Form
1-259, Notice to Detain, Remove, or Present Aliens, and check the appropriate boxes to order the carrier to remove the alien when
the removal process is finished. If the case cannot be timely completed, advise the carrier of potential liability.

(15) Database entries. The expedited removal process continues to be the subject of extensive inquiry and reqUires appropriate
tracking of specific case data. Expedited removal cases will normally be processed through &
In addition, every case in
which an expedited removal order is issued must be entered into the Deportable Alien Control System (DACS) until that system is
Entry of data for those aliens detained by DHS will be handled by the Detention
replaced with the
and Removal personnel responsible for the detention facility. Entry of data for aliens who do not require detention and are removed
directly from the POEs is the responsibility of CBP. Cases initiated at the POEs and referred for removal proceedings under section
240 will continue to be entered into DACS by Detention and Removal. Complete appropriate closeouts in
"
(16) Form G-22.1, Inspections Summary Report. Consult G-23 Report of Field Operations Procedures for reporting gUidelines.

(c) Withdrawal of application for admission in lieu of an expedited removal order.
DHS has the discretion to allow an inadmissible alien to voluntarily withdraw his or her application for admission and to depart the United
States in accordance with section 23S(a)(4) of the INA. This discretion applies to aliens subject to expedited removal, and should be
applied carefUlly and consistently, since an officer's decision to allow withdrawal or issue a removal order is final. Officers should keep in
mind that an order of expedited removal carries with it all the penalties of an order of removal issued by an immigration judge (including
a bar to reentry of at least 5 years following removal pursuant to section 212(a)(9)(A)(i).
Follow the guidelines contained in Chapter 17.2 to determine whether an alien's withdrawal of an application for admission or asylum
claim best serves the interest of justice. An officer's decision to permit withdrawal of an application for admission must be properly
documented by means of a Form 1-275, Withdrawal of Application for Admission/Consular Notification, to include the facts surrounding
the voluntary withdrawal and the withdrawal of the asylum claim. In addition, an officer should prepare a new sworn statement, or an

addendum to the original sworn statement on Form I-867A&B, covering the facts pertaining to the alien's withdrawal of the asylum claim.

An alien may not be pressured into withdrawing his or her application for admission or asylum claim under any circumstances. An officer
must provide adequate interpretation to ensure that the alien understands the expedited removal process and the effects of Withdrawing
an application for admission or an asylum claim. Furthermore, an asylum officer must be consulted before an alien who has expressed a
fear of return to his or her home country may be permitted to withdraw an asylum claim.
If an officer permits an alien to withdraw his or her application for admission and elects to return the alien to Canada or Mexico, the Form
1-275 should indicate the alien's status in Canada or Mexico and the basis for determination of that status. This determination may be
based on contacts with Canadian or Mexican authorities, stamps in the alien's passport, or other available documentation. The narrative
on Form 1-275 should also indicate that the alien has not expressed concern about returning to Canada or Mexico.
If the alien expresses any concern or reluctance about returning to Canada or Mexico and wishes to pursue the asylum claim in the United States, the officer should
advise the alien that he or she will be placed in the expedited removal process, unless subject to section 240 proceedings by statute, regulation, or policy, and will be
detained pending the credible fear determination. Thealien should not be given the Form 1-589, Application for Asylum and for Withholding of Removal, nor should an
affirmative asylum interview be scheduled at the port of entry.
(Paragraph (c) revised II-I-OS; CBP 12-06)

(d) Fear of persecution or request for asylum. Aliens who indicate an intention to apply for asylum or a fear of persecution or torture may
not be ordered removed until an asylum officer has interviewed the alien to determine whether the alien has a credible fear of
persecution or torture and warrants a full asylum hearing before an immigration judge.
When questioning or taking a sworn statement from any alien subject to the expedited removal provisions, you need not directly solicit
an asylum claim. However, to ensure that an alien who may have a genuine fear of return to his or her country is not summarily ordered
removed without the opportunity to express his or her concerns, you should determine, in each case, whether the alien has any concern
about being returned to his or her country. Further, you should explore any statement or indications, verbal or non-verbal, that the alien
actually may have a fear of persecution or torture or return to his or her country. You must fully advise the alien of the process, as
indicated on the Form 1-867A, and of the opportunity to express any fears.
Keep in mind that the alien need not use the specific terms "asylum" or "persecution" to qualify for referral to an asylum officer, nor does
the fear of return have to relate specifically to one of the five grounds contained within the definition of refugee. The United States is
bound by both the Protocol on Refugees and the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or
Punishment and, except under extraordinary circumstances, may not return an alien to a country where he or she may face torture or
persecution.
The alien may convey a fear of violence or harm, a need for protection, an indication of harm to, or disappearance of, relatives or
aSSOCiates, or dangerous conditions in his or her country. Even disputes of a personal nature sometimes may relate to asylum, such as
domestic violence, sexual or child abuse, child custody problems, coercive marriage or family planning practices, or forced female genital
mutilation. All officers should recognize that sometimes unusual cases have been found eligible for asylum that may not have initially
appeared to relate to the five grounds contained in the definition of refugee, such as AIDS victims who face government persecution, land
or money disputes with wealthy persons or persons in power, whistle blowers, witnesses to crimes and even organized crime connections.
Harm sufficient for a credible fear ref raj can include

Do not make judgement decisions concerning any fear of persecution, torture, or return. Any alien who by any means indicates a fear of
persecution or return may not be removed from the United States unless the alien has been interviewed and a credible fear
determination been made by an asylum officer. An alien who does not indicate a fear of return but responds to one of the protection-

related questions by stating that he or she has
mentions a relative, friend or associate who has
questions to determine whether or not the alien
detailed questioning, the alien states that he or
referred for a credible fear interview.

applied for refugee or asylum status in the United States or elsewhere in the past, or
done so (even if such claims are still pending or were denied), should be asked further
is expressing a fear of return or an intention to apply for asylum indirectly. If, on more
she has no fear of return and no interest in applying for asylum, the case need not be

If the alien answers affirmatively to one the protection-related questions or requests asylum, and later changes the answer or asks to be
sent home, the officer should consult with the local Asylum office or refer the case. If an attorney, friend, or relative notifies any officer
that an individual in the expedited removal process is planning to apply for asylum or has a fear of return, that officer should notify the
port of entry. The officer responsible for the case should either consult with an asylum supervisor or refer the alien for a credible fear
interview, even if the alien does not express a fear directly. In the expedited removal process, an attorney, friend, or relative who acts as
a consultant to the alien need not file a Form G-28.
alien who exhibits any
.
- that alert the office to possible fear of harm shoul be referred. If an officer notices signs
. . . . . . . . . . . . . . .the officer should consult an asylum supervisor, or the app icant should be referred.
hould be noted in parentheses or brackets in the sworn statement or memo to file.

Considerations that should NOT affect the officer's decision to refer an alien for a credible fear interview include:

•
. The asylum officer will review the sworn statement and documents and ask the alien about any inconsistencies
and discrepancies. Only an asylum officer can make a credibility determination for purposes of deciding whether the alien has a
redible fear of persecution.

•

•

ould be referred, for example, if they claim
• • • or if for example, that they claim
Country of origin: No country should be considered safe - or dangerous- for all residents. However, knowledge of conditions in
the alien's home country may help alert an officer to non-verbal cues or confused or vague expressions of fear.

...__..-....._--_..._.__._-_.

•

Whether harm is on account of the alien's race, religion, political opinion, nationality or social group: Officers should not make a
determination on whether the harm feared is on account of the alien's race, religion, nationality, membership in a particular
social group or political opinion. Asylum law, and particularly the definition of a "social group" is evolving - cases involving
domestic violence, spousal abuse, sexual abuse of children, female genital mutilation, coercive family planning practices,
organized crime, whistleblowers on government corruption, homosexuality, and AIDS, and other unresolved legal areas should
be referred. An alien may also be offered protection from return under Article 3 of the Convention against Torture and Other
Cruel, Inhuman or Degrading Treatment or Punishment, when it is more likely than not that the alien would be tortured, even if
the motivation for the torture is not on account of the applicant's race, religion, nationality, social group or political opinion.
Mandatory Bars: The presence of a mandatory bar to asylum should not prevent referral. Referrals should occur even in cases
where, for example, the alien appears to be firmly resettled in a third country, transited through a third country, or when there
is information that appears to indicate that the alien is a criminal or a danger to national security.
Stated Preference to Apply for Asylum Elsewhere: If an alien expresses a fear of return, but states that he or she does not want
to apply for asylum in the United States because he or she plans to apply for asylum elsewhere, the alien should be referred.
Some applicants may not be aware that certain countries will not accept an asylum application from them if they have transited
through the United States.

•

•

The International Religious Freedom Act of 1998 (IRFA) was passed by Congress out of a growing concern about violations of religious
freedom in countries around the world. IRFA requires train ing for certain government employees on the nature of religious persecution
abroad. Violations of religious freedom can include prohibitions on, restrictions of, or punishment for:
•
•
•
•
•

Assembling for peaceful religious activities
Speaking freely about religious beliefs
Changing religious beliefs or affiliation
Possessing and distributing religious literature
Raising children in the religious practices and teachings of one's choice.

Any of the following acts are violations of religious freedom if committed on account of an individual's religious belief or practice:
•
•
•
•
•
•
•
•

Detention
Interrogation
Imposition of onerous financial penalties
Forced labor
Forced mass resettlement
Imprisonment
Forced religious conversion
Beating, torture, mutilation, rape, murder, enslavement, and execution

IRFA defines "particularly severe violations of religious freedom" as systematic, ongoing, egregious violations of religious freedom,
inclUding violations such as:
•
•
•
•

Torture or cruel, inhuman, or degrading treatment or pu nishment;
Prolonged detention without charges;
Causing the disappearance of persons by the abduction or clandestine detention of those persons; or
Other flagrant denial of the right to a person's life, liberty, or security.

Applicants who are questioned by officers in expedited removal proceedings may not understand that religious persecution is an issue they should reveal in
their interview. Sometimes an applicant will not indicate any past incidents of religious persecution, but you might become aware of it incidentally. Perhaps
you learn that the applicant is a Jehovah's Witness and realize he or she is from a country in which Jehovah's Witnesses are persecuted.

You might also come across customs and behavior that are new to you, for example, the wearing of scarves for religious reasons. In
talking with that person, you might learn that there is a fear of return, but the person did not realize that religion was a protected ground
for asylum at the time of inspection. Therefore, it is important to adhere to the procedural safeguards built into the expedited removal
process.
IRFA requires that the State Department annually publish a report on the condition of religious freedom in the world. Specifically, the
report describes the status of religious freedom in every foreign country. It also cites any violations of religious freedom or trends toward
improvement or deterioration in the respect and protection of religious freedom. There is an Executive Summary at the beginning of the
report, which highlights the report's findings. Each Asylum Office has bound copies of the report for reference. The report is also posted
every year on the State Department's web site.
IRFA does not change the legal standard for determining refugee or asylum eligibility. It also does not give preference to religious persecution. It does require
refugee and asylum officers to receive specialized training concerning religious persecution. When religious issues are involved, adjudicators must become
informed about conditions in the applicant's home country by referring to the annual report on religious freedom published by the Department of State.
However, a claim cannot be denied solely because an officer cannot find information in the report. As with every case, officers should consult a variety of
current and reliable sources for an accurate representation of country conditions. In certain unconventional cases, determining whether an applicant's unique
set of beliefs is a religion may require careful consideration and research, and when appropriate, consultation with proper DHS personnel.
While IRFA mandates that certain new processes be implemented, it does not change the basic job requirements.
•
•

IRFA does not authorize individuals housed in DHS facilities to do anything they wish under the guise of religious practice.
IRFA does not require officers to determine what a religion is or what constitutes religious persecution.
And while IRFA emphasizes issues of religious persecution, it does not imply that other types of persecution are any less important.

All officers must disregard their own religious convictions and beliefs evaluating an asylum or refugee claim. For example, you may be a Muslim officer
interviewing a non-Muslim asylum applicant who claims to be persecuted by Muslims on account of his religion. Upon hearing such claims, you may be
surprised, offended, disbelieving, or have other adverse personal reactions because of your own religious convictions and opinions. While it may be difficult,
you must evaluate such claims objectively and without personal bias.
If the alien indicates an intention to apply for asylum or asserts a fear of persecution or torture, and is being referred for a credible fear
interview with an asylum officer:

(1) Create an A file, if one does not already exist.
(2) Fully process the alien as an expedited removal case. Establishing inadmissibility cannot be left to the asylum officer. Record a
description of the particulars of the interview and the alien's initial claim to asylum or fear of return by means of a sworn statement
using Form 1-867A&B. Follow the instructions in paragraph (b)(l) above to ensure that the alien understands the proceedings.
Although you should not pursue the asylum claim in detail, enough information should be obtained to inform the asylum officer of the
alien's initial claim to asylum or fear of persecution or return. If the alien answers the closing questions on Form 1-867B in the
affirmative, several other questions may be necessary to determine the general nature of the fear or concern.
(3) Complete the Determination of Inadmissibility portion of the Form 1-860, including sufficient information to support the charges
of inadmissibility should the asylum officer find that alien does not have a credible fear of persecution. Sign only the Determination
portion of the form. The removal part of the order will be signed by the asylum officer only after it is determined that the alien does
not have a credible fear of persecution. Refer also to Chapter 43.3 for documenting any potential fines issues.
(4) Advise the alien of the purpose of the referral and that the alien may consult with a person or persons of his or her choosing, at
no expense to the government and without delaying the process, prior to the interview. The Form M-444, Information about
Credible Fear Interview, must be given to the alien and explained in a language the alien understands. The alien should sign two

copies, acknowledging receipt of the information. One copy should be placed in the A file, and the other retained by the alien. Give
the alien a current list of organizations and programs prescribed in 8 CFR 292 which provides free legal services.
(5) Arrange for detention of the alien according to local procedures. Although it is normally the responsibility of the detention and
removal personnel officer to notify the Asylum office, in some circumstances, you must advise the appropriate Asylum office that an
alien being detained requires a credible fear interview. The Asylum office should also be advised whether the alien requires an
interpreter and of any other special considerations. It may be helpful for the officer to prOVide the asylum officer with information on
the alien's gender, the language(s) the alien speaks, whether the alien is traveling with a spouse or children, and any special medical
needs or unusual behavior. Forward the A file to the location where the credible fear interview will take place. Prepare Form 1-259
and serve it on the affected carrier. Complete Form 1-94 for NIlS entry notated "Detained at
pending credible fear interview
pursuant to section 235(b)(1)(B} of the Act. (Date), (Place), (Officer)".
An asylum officer will conduct an interview to determine if the alien has a credible fear of persecution, either at the detention facility
or at a location arranged through the Asylum office having jurisdiction over the place of apprehension, depending on location. If the
alien is determined to have a credible fear of persecution or torture, the asylum officer will refer the alien before an immigration
judge for full consideration of the asylum and withholding of removal claim in proceedings under section 240 of the Act. If the alien
is found not to have a credible fear of persecution or torture, following review by a supervisory asylum officer, the asylum officer will
order the alien removed pursuant to section 235(b)(1), unless the alien requests that the determination of no credible fear be
reviewed by an immigration judge. If the alien makes such a request, the asylum officer will use Form 1-863, Notice of Referral to
Immigration Judge, checking box #1, to refer the alien to the immigration judge for review of the credible fear determination. If the
immigration judge determines that the alien does not have a credible fear of persecution, DHS will present the alien for removal to
the carrier on which he or she arrived. There may be some situations where the actual carrier of arrival and port of embarkation
cannot be ascertained. Such cases may require additional processing, including detention, in order to arrange for travel documents
and transportation at government expense (User Fee).
If an alien claims a fear or concern about possible harm, and later asks to be sent home, the officer should review the sworn
statement carefully with the alien to determine if there was a misunderstanding. If there was no misunderstanding, the officer should
prepare a second Form 1-867 A&B and note that the alien has changed his or her mind. The officer must consult with an asylum
supervisor before executing the decision. If the asylum supervisor concurs that it is appropriate to remove the applicant without a
credible fear interview, the name of the supervisor, and the date and time of concurrence should be noted in the A file. Both the
original and final Form I-867A&B must remain in the file.
If the alien maintains throughout the sworn statement that he or she has no fear of return and later claims a fear or a desire to apply
for asylum, the applicant should be referred for a credible fear interview. The officer should reinterview the alien and complete an
addendum to the statement, re-asking the fear questions. The officer should void the original Form 1-860 and complete an new

Determination of Inadmissibility. The Form 1-296 should be voided if the verification of removal section has already been completed,
and the officer should complete a memo to file, explaining the circumstances of the case.
(e) Claim to lawful permanent resident, asylee, or refugee status. or U.S. citizenship.

(1) An expedited removal case involving an alien who claims to be a U.S. citizen, to have been lawfully admitted for permanent
residence, to have been admitted as a refugee under section 207, or to have been granted asylum under section 208, should be
handled very cautiously to ensure that the rights of the individual are fully protected. The expedited removal authority provided by
IIRIRA is a powerful tool and there are grave consequences involved in incorrectly processing a bona fide citizen, LPR, refugee or
asylee for removal. You should be extremely aware of those consequences when you are using this tool. Although the statute and
regulations provide certain procedural protections to minimize the risk of such consequences, you should never process a case for
expedited removal which you would not feel satisfied processing for a hearing before an immigration judge.
If the alien falsely (or apparently falsely) claims to be a U.S. citizen, LPR, refugee, or asylee, and is not in possession of documents

to prove the claim, make every effort to verify the alien's claim prior to proceeding with the case. This can be accomplished through
a thorough check of the data systems, manual request to the Records Division, careful questioning of the alien, or prudent
examination of documents presented. Use whatever means at your disposal to verify or refute a claim to U.S. citizenship, including
verification of birth records with state authorities, etc.
(2) Verifiable claim. When inspecting an alien whose claim to LPR status has been verified, determine whether the alien is considered
to be making an application for admission within the meaning of section 101(a)(13)(C). [See discussion in Chapter 13.4.]
Although the LPR may not be considered to be seeking admission, he or she is nonetheless required to present proper documents to
establish his or her status as an LPR. If the claim is verified and the alien appears to be admissible except for lack of the required
documents, consider a waiver under section 211(b) for an LPR. When inspecting an alien who had previously been admitted as a
refugee or granted asylum status and who had departed the United States without having applied for a refugee travel document,
consider accepting an application for a refugee travel document in accordance with 8 CFR 223.2(b)(2)(ii) for a refugee or asylee.
Refer to Chapters 13.2 and 17.5 for a discussion of this and other options for admitting returning residents.
If the claim is verified, but a waiver is not available or is not clearly warranted, such as when fraud was committed in obtaining
status or upon entry, or in cases where the alien appears to have abandoned his or her residence, you may initiate removal
proceedings under section 240 of the Act. Procedures for preparing for removal hearings and processing inadmissible LPRs are
discussed in Chapters 17.6 and 17.10. Although the charging document, Form 1-862, Notice to Appear, is the same for both
inadmissible and deportable aliens, immigration officers performing inspections at a POE are authorized to issue a Notice to Appear
only to arriving aliens, as defined in 8 CFR 1.1(q). If an LPR is not considered to be seeking admission, he or she is not an arriving
alien. If a Notice to Appear is to be issued charging the returning resident as a deportable alien, the Notice to Appear must be issued
by one of the authorizing officers listed in 8 CFR 239.1, including port directors.

(3) Unverifiable Claim. If no record of the alien's lawful admission for permanent residence, grant of refugee status, admission as an
asylee, or citizenship can be found after a reasonably diligent search, advise the alien that you are placing him or her under oath, or
take a declaration as permitted in 28 U.S.C. 1746, and warn the alien of the penalties for perjury. Section 1746 of the Title 28 U.S.
Code reads as follows:
Wherever, under any law of the United States or under any rule, regulation, order, or requirement made pursuant to
law, any matter is required or permitted to be supported, evidenced, established, or proved by the sworn declaration,
verification, certificate, statement, oath, affidavit, in writing of the person making the same (other than a deposition,
or an oath of office, or an oath required to be taken before a specified official other than a notary public), such matter
may, with like force and effect, be supported, evidenced, established, or proved by the unsworn declaration, certificate,
verification, or statement, in writing of such person which is subscribed by him as true under penalty of perjury, and
dated, in substantially the follOWing form:
If executed without the United States: "I declare (or certify, verify, or state) under penalty of perjury under the laws of the
United States of America that the foregoing is true and correct. Executed on (date). (Signature)".
•

If executed within the United States, its territories, possessions, or commonwealths: "I declare (or certify, verify, or state)
under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature)".

The penalties for perjury contained in 18 U.S.C. 1621 (perjury generally) provide for fine and imprisonment of not more than 5
years, or both. The penalties for perjury contained in 18 U.S.c. 1546 (fraud and misuse of visas, permits, and other documents)
provide for fine and imprisonment of not more than 10 years, or both.
If the alien declares under oath, pursuant to the advice above, that he or she is a citizen, LPR, refugee, or asylee, order the alien
removed under section 235(b)(1)(A) and refer to the immigration judge for review of the order. Complete Form 1-860 after

completing all procedures in this chapter. Serve the Form 1-860 on the alien. Serve Form

-_••_--.&

1-259 on the affected carrier, if

------_.=----~~_

..

appropriate. Use Form 1-863, checking Box #4, to refer the removal order to the immigration judge for review. The alien should be
detained pending review of the order by the immigration judge. In the event an alien who has made a verbal claim to citizenship or
to LPR, refugee, or asylee status declines to make a sworn statement, conclude the expedited removal process in the same manner
as any other nonimmigrant in the same situation.
If the immigration judge determines that the individual is not a citizen or is an alien who has never been admitted as an LPR,
refugee, or asylee, the expedited removal order will be affirmed and the alien removed. There is no appeal from the decision of the
immigration judge. If the judge determines that the individual is a citizen, the process is terminated and the citizen is released. If the
judge determines that the alien was once admitted as an LPR, refugee, or asylee, and that status has not been terminated, the judge
will vacate the expedited removal order and the government may initiate removal proceedings under section 240.

(f) Special Treatment of Unaccompanied minors. When a minor (a person under the age of eighteen) who is unaccompanied and appears
to be inadmissible under section 212(a)(6)(C) or (7) of the Act, officers should first try to resolve the case under existing guidelines.
Existing guidelines permit granting a waiver, deferring the inspection, or employing other discretionary means, if applicable, including
withdrawal of an application for admission.
(1) Withdrawal of application for admission by minors. Whenever appropriate, officers should permit unaccompanied minors to
withdraw their application for admission rather than placing them in formal removal proceedings. In deciding whether to permit an
unaccompanied minor to withdraw his or her application for admission, every precaution should be taken to ensure the minor's
safety and well-being. Factors to be considered include the seriousness of the offense in seeking admission, previous findings of
inadmissibility against the minor, and any intent by the minor to knowingly violate the law.
Before permitting a minor to withdraw his or her application for admission, the officer must be satisfied either that the minor is
capable of understanding the withdrawal process, or that a responsible adult (relative, guardian, or in cases where a relative or
guardian is not available, a consular officer) is aware of the actions taken and the minor's impending return. Officers must attempt to
contact a relative or guardian either in the United States or in another country regarding the minor's inadmissibility whenever
possible. A minor brought to the United States by a smuggler is to be considered an unaccompanied minor, unless the smuggler is an
adult relative (parent, brother, sister, aunt, uncle, or grandparent) or legal guardian. If the smuggler is not a relative or guardian, he
or she should not be consulted concerning the disposition of the minor's case.
The true nationality of the minor must be ascertained before permitting the minor to withdraw. Another factor to consider is whether
the port of embarkation to which the minor will be returned is the country of citizenship of the minor. A minor may not be returned
to or be required to transit through a country which may not be willing or obligated to accept him or her. If the minor is being
returned to a third country through a transit point, officers must ensure that an immediate and continuous transit will be permitted.
When deciding whether to permit the minor to withdraw his or her application for admission, officers must also make every effort to
determine whether the minor has a fear of persecution or return to his or her country. If the minor indicates a fear of persecution or
intention to apply for asylum, or if there is any doubt, especially in the case of countries with known human rights abuses or where
turmoil exists, the minor should be placed in removal proceedings under section 240 of the Act. If there is no possibility of a fear of
persecution or return and the INS permits the minor to withdraw his or her application for admission, the consular or diplomatic
officials of the country to which the minor is being returned must be notified. Safe passage can then be arranged, and after all
notifications to family members and government officials have been made, the minor may be permitted to withdraw.
(2) Minors referred for section 240 proceedings. Except as noted below, if a decision is made to pursue formal removal charges
against the unaccompanied minor, the minor will normally be placed in removal proceedings under section 240 of the Act rather
than expedited removal. The unaccompanied minor will be charged under both section 212(a)(7)(A)(i)(I) of the Act as an alien
not in possession of proper entry documents and section 212(a)(4) of the Act as an alien likely to become a public charge. This
additional charge renders the minor subject to removal proceedings under section 240 of the Act. Other charges may also be lodged,
as appropriate. As a general rule, minors should not be charged with section 212(a)(6)(C) of the Act, unless circumstances indicate
that the alien clearly understood that he or she was committing fraud or that the minor is knowingly involved in criminal activity

"-."1--__1....,••_--••_-._....-_-_11I

relating to fraud.
Minors who are placed in section 240 proceedings and who are not in expedited removal may either be released in accordance with
the parole provisions, or placed in a DHS-approved juvenile facility, shelter, or foster care in accordance with existing juvenile
detention policies and the Flores v. Reno settlement. At all stages of the inspections and removal process, officers should take every
precaution to ensure that the minor's rights are protected and that he or she is treated with respect and concern. [See AppendiX
17-4, policy memorandum discussing the Flores settlement.]
(3) Expedited removal of minors. Under limited circumstances, an unaccompanied minor may be placed in expedited removal
proceedings. The minor may be removed under the expedited removal provisions only if the minor:
•

has, in the presence of a DHS officer, engaged in criminal activity that would qualify as an aggravated felony if committed by an
adult; or

•

has been convicted or adjudicated delinquent of an aggravated felony within the United States or another country, and the
inspecting officer has confirmation of that order; or

•

has previously been formally removed, excluded, or deported from the United States.

If an unaccompanied minor is placed in expedited removal proceedings, the removal order must be reviewed and approved by the
director of field operations, or person officially acting in that capacity, before the minor is removed from the United States. This is in
addition to the normal supervisory approval required of all expedited removal cases.
(4)
Treatment of Minors during Processing. Officers should treat all minors with dignity and sensitivity to their age and
vulnerability. Processing of minors should be accomplished as qUickly as possible. Like all persons being detained at POEs, officers
must provide the minors access to toilets, sinks, drinking water, food, and medical assistance if needed. Minors may not be placed in
short-term hold rooms, nor may they be restrained, unless they have shown or threatened violent behavior, they have a history of
criminal activity, or there is a likelihood the juvenile may attempt to escape. Unaccompanied minors should not be held with
unrelated adults. Any detention following processing at the POE must be in accordance with the Flores v. Reno settlement.
(Paragraph (f) added 8/21/97; IN97-Q5)
(g) Minors accompanied by relatives or guardians. If formal proceedings are initiated against an accompanying adult relative or legal
guardian, the minor should be placed in the same type of proceeding (Le. expedited removal or 240 proceedings) as the adult. However,
withdrawal of application for admission by the minor should be considered whenever appropriate, even though the relative or guardian
may remain subject to formal removal proceedings.
(h) United Nations High Commissioner for Refugees monitoring gUidelines. The United States has signed various international agreements
accepting an obligation to protect refugees and asylum-seekers from return to persecution or torture, and to follow certain international
standards in processing those needing protection. The organization that monitors compliance with these agreements and provides
guidance on their implementation is the United Nations High Commissioner for Refugees (UNHCR). As such, the United States has a
responsibility to cooperate with UNHCR's requests for access to processes involving those needing protection. Therefore, DHS believes it
is appropriate for the UNHCR to observe, to the extent within the resources available to the UNHCR, the expedited removal process to
make a fair and impartial assessment of the process.
For these reasons, full cooperation with visiting UNHCR delegations is essential. Below are general guidelines and procedures to follow
regarding a visit from the UNHCR. While the guidelines concentrate on the limits of the UNHCR's access and potential problem areas, in
our experience the UNHCR has approached site visits professionally and responsibly, providing us with positive comments and useful
feedback, and problems are unlikely to arise during its site visits.

(1) UNHCR requests. The UNHCR has agreed to make all requests to observe the expedited removal process at POEs or the credible
fear interview at detention facilities in writing to the Office of Field Operations. If any field office receives a request for access to the
expedited removal process from a representative of the UNHCR, the field office should advise the representative to make the request
to the Office of Field Operations.
Written requests from UNHCR to conduct a site visit must be received a minimum of two weeks in advance. CBP will consider written
requests submitted less than two weeks in advance for only exceptional circumstances. The request will include the purpose and site
(s) of the visit, the duration of the visit, the complete list of names of the UNHCR staff on the delegation, the title and official
responsibilities of everyone on the delegation, the information about the person leading the delegation, and any special needs or
requests. The Office of Field Operations will evaluate the request in consultation with the field and make a decision as quickly as
possible.
Should there be a need to clarify or confirm the identities of visiting team members, local CBP staff will call the Office of Field
Operations.
(2) Scope of UNHCR's access to secondary inspection processing. The UNHCR has agreed to maintain the confidentiality of any
information to which it has access such as training materials and procedures manuals. Therefore, it can be given full access to tour
the primary and secondary inspection areas, holding cells, food storage facilities, and other areas related to processing of expedited
removal cases. While at the port, UNHCR representatives should be accompanied by a CBP officer, unless CBP has arranged for the
representatives to talk confidentially with an alien. For safety reasons, the representatives will not be allowed to participate or be
used as witnesses in baggage and personal effects search or body-pat-down search. Viewing of the baggage search may be allowed
if there is no safety concern or threat to the representatives. The representatives should not be given access to computer databases
or programs containing sensitive law enforcement information, but may be given a demonstration of certain programs in relation to
the expedited removal process. The representatives may ask questions about the process, so long as their movements and the
timing of their questions do not impede the processing of cases.
The port will designate a supervisor on the shift to whom the UNHCR team may direct questions about the processing. As time
permits, the supervisor may arrange for the representatives to talk directly with line officers. During a secondary inspection, when
possible, the representatives should be allowed to view the secondary inspection from an area (seated or standing) that would
enable them to hear and see all participants.
The port will designate one or more secondary and primary officers on the shift to whom the UNHCR representatives may direct
questions. Designation of these officers should be initially on a voluntary basis.
(3) Interactions between UNHCR and aliens in secondary inspection. If UNHCR representatives ask to sit in on interviews of either
specific aliens or a random sample of aliens in secondary, the CBP officer should explain to the alien that the UNHCR representatives
do not work for the U.S. Government, but work for the United Nations, and have asked to observe some interviews to understand
the U.S. process. No more than two representatives may be present during the interview, and business cards will be prOVided to the
alien after the interview is completed. The officer should explain that it is the alien's decision whether the UNHCR representatives are
allowed to observe the interview or not, and that CBP will ask the same questions and follow the same procedures either way. If the
alien does not want the UNHCR representatives to sit in on the interview, his or her wish should be respected. If the applicant
requests to talk briefly and confidentially with the UNHCR representatives, he or she may do so after the officer finishes the
secondary interview and process.

If the alien indicates that he or she does not want the presence of the representatives, and the representatives appear to be
questioning that decision, a supervisor should be notified immediately and should support the alien's decision to be interviewed
without UNHCR observers with no further discussion. The CBP supervisor will provide an explanation to the UNHCR delegation lead
official that the interview will not continue with their participation. Additionally, the supervisor reserves the right to terminate the
entire site visit, any part of an interview, or a particular portion of the site visit. A reason must be prOVided to the lead UNHCR official
at the time of the termination. Prior to a decision to terminate the entire site visit, the supervisor must immediately advise the

••d.?----"

~-_.Q_."-"_--."-_

b~

Headquarters Field Operations point-of-contact through appropriate channels. The alien's agreement or refusal to have a UNHCR
presence at the interview should not be factored into the officer's decision to refer a case for a credible fear interview.

If an alien agrees to be interviewed with the UNHCR representatives present, the UNHCR representatives may observe the interview,
and will be given a few minutes at the end of the interview to communicate directly with the applicant. In general, the UNHCR
representatives should not ask questions or make comments during the interview. The CBP officer may, however, at his or her
discretion, allow the representatives to make a comment or ask a question if the officer believes that it is facilitating the progress of
the interview. Any interruptions of the interview will be recorded in the sworn statement.
CBP is not responsible for interpreting the interview verbatim or locating an interpreter to provide a verbatim interpretation in such
circumstances. If the CBP officer and the alien are communicating in a language other than English without the assistance of an
interpreter, and the representatives do not understand the language, the officer should explain what is being stated or asked.
When the interview is concluded, the UNHCR representatives should be invited to communicate briefly with the applicant. Any
questions or statements asked by the representatives or the applicant, and any responses, will be recorded in the sworn statement.

If the UNHCR team or the alien requests a brief private discussion, the request should be accommodated within the constraints of the
facility. Normally the issues aliens bring up with the UNHCR are the same like those they bring up during secondary inspections, e.g.:
when can they call a relative, how long does the process take, and so forth. This request should be noted on the sworn statement.
Generally, the meeting should take place out of hearing, but not out of sight, of CBP staff. If the UNHCR team requires translation
and is not able to locate its own telephonic interpreter quickly, an interpreter should be provided when feasible. The local Asylum
office will have been notified that the UNHCR is conducting a site visit and can cover the cost of interpretation using a commercial
interpreter service if necessary. However, if an interpreter cannot be located quickly and there are time constraints (such as finishing
in time to put an applicant on a scheduled plane), the officer should consult with his or her supervisor to decide whether there are
compelling reasons for delaying the process to provide the representatives time to obtain an interpreter.
If the UNHCR team reports back to the CBP officer, after a private conference, that the alien alleged abusive treatment, either by
CBP, an airline employee, or a smuggler, a supervisor should be notified immediately and the alien should be asked further questions
in the representatives' presence. If the UNHCR team indicates that the alien has expressed a fear during the private conference
which was not expressed during the interview with the CBP officer, the officer should ask the alien, in the representatives' presence,
whether the alien is afraid of or concerned about return and would like to discuss his or her situation privately with an asylum officer.
The alien's answer to the above questions should be recorded in the sworn statement or in a memo to file.

If the alien appears unwilling to discuss the alleged claim of fear with the CBP officer, states that the UNHCR representatives
misunderstood, or does not want to be detained for a credible fear interview, the officer should call the local Asylum office for
guidance on whether to refer the alien for a credible fear interview.
(4) Follow-up. If serious problems or misunderstandings arise during the UNHCR site visit, a CBP supervisor should immediately
contact the Headquarters Field Operations representative who set up the meeting. After the UNHCR visit is completed, the field office
will provide the Office of Field Operations feedback on how the visit went and alert it to any issues which the UNHCR representative
(s) might raise.
(Added IN 00-22.)
(h) Non-governmental organizations secondary insoection access guidelines.
Since the implementation of expedited removal, many non-governmental organizations (NGOs) have requested access to observe and
monitor this process at POEs. It is the DHS policy to promote a fair and open process by granting such requests for access to the extent
that the visits do not compromise fundamental law enforcement interests and confidentiality as well as privacy rights. The aim of this
policy is to achieve a reasonable balance between providing access to government information and protecting fundamental law

enforcement obligations and the individual interests of arriving aliens. The following guidelines provide the procedures and practices to be
followed by field offices and POEs receiving requests for visits or tours of CBP inspection facilities and operations by NGOs. An NGO may
be generally defined as a group of individuals outside of the public and for-profit sectors, usually established to serve the interests of
their communities, of a particular target group, or the common good. This definition should be interpreted broadly, and may include local
and international organizations, business and professional associations, chambers of commerce, and policy development and research
institutes. It is not intended to include the media or persons or organizations whose intent is to provide legal representation to individuals
during secondary inspection processing at the time of their visit.
(1) Requests for visits.
•

Any request to visit an inspection facility or observe secondary immigration inspection processing must be made in writing to the
director of field operations having jurisdiction over the POE to be visited. The request must be made sufficiently in advance of
the proposed visit, normally at least two weeks, to allow coordination with all affected parties, including facility operators and
other agencies as appropriate. Special tours by visiting dignitaries or other special interest groups may be arranged at the
discretion of the director of field operations, or at the request of headquarters offices.

•

The request will include the proposed purpose and site(s) of the visit, the duration of the visit, the full names of the organization
and the proposed visitors, whether they will have any special needs or requests, and point of contact. The field office receiving
the request, in consultation with the site to be visited, will make a prompt decision and notify the interested party either in
writing or telephonically of that decision. Whenever possible, visitors should be provided with a copy of these gUidelines prior to
their arrival at the POE.
The size of the group and the number and duration of visits permitted are to be determined by the director of field operations,
based on operational and resource considerations. If the director of field operations, port director, or other official determines
that the visit will have an adverse effect on port operations, staffing resources, or the confidentiality or integrity of the
inspection process, the request may be denied, the visit postponed, or the terms of the visit limited in a way appropriate to the
potential adverse effects. If the director of field operations feels that an excessive number of requests would have an adverse
impact on operations, he or she may ask the NGOs to consolidate their requests for visits. The director of field operations may
also deny, limit, or terminate a visit based on particular law enforcement or security concerns, but should not deny such
requests as a routine matter.

•

If the director of field operations denies the request, the requesting party will be notified, in writing, of the specific reasons for
the denial.
The field office will retain a record of all POE visit requests. The record will include, at a minimum, the number of requests made,
the disposition of each request, the name of the organization and the number of participants in each visit, and the date on which
each visit occurred. Field offices may include comments on significant incidents, impact on operations, or other relevant
information.

(2) Scope of access.
•

Visitors will be escorted through the facility at all times. They may be present only in parts of the inspection area that are
authorized by the official escorting them. For safety concerns, they will not be allowed to participate in baggage searches or be
used as witnesses in baggage or body searches. They may be permitted to view a baggage search, with the consent of the alien,
unless the officer determines there may be a safety concern or threat.
Visitors may be permitted to observe the overall immigration inspections process, both primary and secondary, in such a way
that it does not interfere with port operations. The port director may designate a supervisor or officer to whom the visitor may
direct questions about the processing. As time and circumstances permit, the port official may arrange for visitors to talk directly

to officers.
Visitors may observe individual immigration secondary inspections of applicants for admission only with the consent of the
applicant and the port officials. The port official will explain to the alien who the visitor is and what he or she wishes to observe.
The alien's consent must be entirely voluntary, and should be noted in the sworn statement, if taken, or otherwise in the file.
Visitors may not interfere with or interrupt the inspection or question applicants for admission. They may ask the inspector
questions about the case being processed only when the alien is not present. Inspectors must not divulge any information about
any secondary case that may compromise law enforcement confidentiality or the privacy of any alien. Visitors may not speak
confidentially to an alien during the inspection process or while the alien is in CBP custody at the POE.
CBP is not responsible for interpreting the interview verbatim for visitors or locating an interpreter to provide a verbatim
interpretation in cases where the CBP officer and the alien are communicating without the assistance of an interpreter in a
language other than English.
•

Visitors may not have access to computer databases or programs containing sensitive law enforcement nature of the
information, but may be given a demonstration of programs that are not law enforcement sensitive. They may not observe video
display monitor outputs of systems data on screen or in print relating to specific applicants for admission.
Visitors may not film, photograph, videotape, or audiotape POE operations, inspectors, or applicants for admission.
CBP reserves the right to terminate the entire site visit, a pa rticular portion of the site Visit, or access to any part of an
interview, if it determines that the visit has become disruptive to port operations or may in any way compromise the integrity of
the inspection process. For safety reasons, port officials may remove visitors from the inspection area or terminate the visit if
any visitor or applicant for admission becomes unruly or Violent, or if any other safety hazard becomes apparent.
Any violations of this policy by visitors to POEs will be documented in writing, and any significant incidents or interruptions will
be reported to Headquarters Office of Field Operations through the chain of command.

17.16 Members and Representatives of Terrorist Organizations. (Added IN98-04)
(a) General. Section 212(a)(3)(8) of the INA, as amended by the Anti-Terrorism and Effective Death Penalty Act
of 1996, Pub. L.104-132 and the Illegal Immigration Reform and Immigrant Responsibility Act of 1996, Pub. L.
104-208, added new grounds of inadmissibility applicable to members and representatives of terrorist
organizations. Section 219 of the Act provides authority for the Secretary of State to compile and publish an
official list of organizations whose members and representatives are subject to this ground of inadmissibility.
The official list was published in the Federal Register on October 8,1997. [See Appendix 17-5 of this manual.]
These new procedures are extremely important enforcement tools designed to keep such aliens out of the U.S.
and prevent domestic terrorism. Some members and representatives of designated terrorist organizations may
possess a visa issued prior to publication of the list of terrorist organizations. Such aliens are nonetheless
inadmissible if they fall within the descriptions discussed above.
(b) Definitions.
(1) Representatives. Under Section 212(a)(3)(B)(i)(IV) of the Act, an alien who is a "representative" of a
designated terrorist organization is inadmissible. Section 212(a)(3)(B)(iv) of the Act states that the
term"representative" includes: an officer, official or spokesman of an organization, and any person who directs,
counsels, commands or induces an organization or its members to engage in terrorist activity.
If an alien falls within this definition, he or she is inadmissible. Evidence of past representative status is a highly
probative, although not dispositive, factor which should be considered when determining if current
representative status exists.
(2) Members. Under Section 212(a)(3)(B)(i)(V) of the Act, an alien who is a member of a designated terrorist
organization is inadmissible if the alien "knows or should have known" the organization is a terrorist
organization. The statute does not define "member." However, membership does not require actual participation
in terrorist activities. Some organizations require that an individual take an oath or perform an act that is a
prerequisite of membership, but some do not. The Service must determine whether an alien is member of a
designated organization on a case-by-case basis. Factor relevant to determining membership include but are
not limited to the following:
Past membership without evidence that the alien terminated membership
AcknoWledgment of membership by the organization, by other members, or by the alien
Actively working to further the organization's aims and methods
Occupying a position of trust in the organization, either past or present

Receiving financial support from the organization, such as a scholarship, salary or pensions
Contributing money or other items of value to the organization
Frequent association with other members
Participation in the organization's activities, even if lawful
Voluntarily displaying symbols of the group
Receiving honors and awards given by the group
Determination of membership by a competent court
These factors must be considered in their entirety, and some may not be sufficient in isolation to support a
finding of membership. For example, while contributing money to an organization in itself does not necessarily
indicate membership, it may indicate membership in certain situations, depending on the nature of the
organization.
To make a finding of inadmissibility, the Service must determine that an alien is not only a "member" of a
designated organization, but additionally, that the alien "knows or should have known" that the organization is a
terrorist organization. This "mens rea" or "state of mind" determination should also be made on a case-by-case
basis. Factors relevant to this determination are: the specific organization involved; classified or unclassified
information regarding the alien's participation in the organization, including the alien's statement; and any other
relevant information.
(c) Procedures. In order to implement these provisions, the following procedures must be strictly followed:
(1) The list of terrorist organizations will be distributed to all ports-of-entry and included in the Inspector's Field
Manual. Port directors will ensure that all inspectors and other officers are familiar with and have ready access
to the list at both primary and secondary inspection booths.
(2) Immigration inspectors who have reason to believe an applicant for admission may be a member or
representative of an organization on the list must refer the applicant for secondary inspection. Inspectors may
develop a suspicion concerning such membership as a result of questioning during primary inspection or as a
result of lookout information or other intelligence. In any case where the secondary officer establishes
inadmissibility under this provision, he or she must take a sworn statement addressing the factors described in
paragraph (b).
(3) If the inspecting officer concludes that the alien is inadmissible, the officer must inform the alien that he or

she is inadmissible to the United States and complete processing for a removal hearing, withdrawal, or
temporary removal, as appropriate and in accordance with outstanding instructions. [See Chapters 17.2, 16.6
and 17.7 of this manual.] The type of removal proceeding will depend on the alien's status and whether the
evidence is classified or unclassified.
(4) Forward copies of all sworn statements and other relevant documentation to Headquarters, Office of Field
Operations, attention: Counterterrorism Coordinator.
(5) The Counterterrorism Coordinator will take appropriate action, which may include consultation with other
agencies, such as the Federal Bureau of investigation and the Department of State.

17.17 Technical Notes. (Redesignated as 17.17, previously 17.16; IN98-04)
(a) [Reserved] (Removed by CBP 3-04)
(b) Inadmissibility after Alien Leaves Primary but Remains in Inspectional Area. There are occasions when an alien, after completing
primary inspection, is intercepted by another CBP officer and is found to be inadmissible. Such alien may be held for removal proceedings
if he or she has not left the confines of the federal inspection area, regardless of the fact that the passport may have been stamped
"Admitted" and an 1-94 issued. Case law has made it clear that an alien does not effect an "entry" into the United States for immigration
purposes unless all of the following elements are present: (1) the alien is physically present in the territory of the United States; (2) the
alien has been inspected and admitted for immigration purposes or the alien has actually and intentionally evaded inspection; and (3) the
alien is free from official restraint. Correa v. Thornburgh, 901 F.2d 1166 (2d Cir. 1990); In re Dubbiosi, 191 F. Supp. 65 (E.D. Va. 1961);
Matter of Pierre, 14 I & N Dec. 467 (BIA 1973) [See also General Counsel Opinion 91-37.]. Although the definition of "entry" is no
longer defined in the INA, and has been replaced by the definition of "admission" and "admitted" in section 101(a)(13), the general
provisions still apply in this context. (Revised by CBP 3-04)

17.18 Use of Interpreters and Interpreter Services.
(a) General. In the inspections process, an interpreter may be required to ensure that an alien being interviewed understands the
process. The alien needs to be given an opportunity to respond to questions during a sworn statement and to be able to understand and
respond to any charges and allegations brought against him or her. It is the responsibility of the officer to read and explain to the alien,
in the alien's native language or in a language the alien understands, any determination regarding admissibility and/or removal from the
United States. In an interview requiring an interpreter, the role of the interpreter is crucial and any misinterpretation can lead to an
incorrect determination of an alien's admissibility.
During the expedited removal process, an interpreter may be required to ensure that the alien understands the allegations and the
removal order. As part of the process, the applicant for admission is questioned and a sworn statement taken to establish inadmissibility
and to ascertain that the alien has no fears or concerns about being returned to his or her home country or country of last residence. The
officer needs to be aware of whether the alien requires an interpreter to convey any concerns or fears he or she may have. Any alien who
indicates an intention to apply for asylum or a fear of persecution or torture may not be removed until an asylum officer interviews the
alien to determine whether he or she has a credible fear of persecution or torture and warrants a full asylum hearing before an
immigration judge.
The International Religious Freedom Act of 1998 (IRFA), PL 105-292, 112 Stat. 2787, section 603, seeks to safeguard aliens against the
inadvertent use of interpreters who may have hostile biases. In particular, when interviewing possible asylum applicants, inspectors are

prohibited from using airline personnel or other interpreters provided by the airline if the airline is owned by a government that is "known
to be involved in practices which would meet the definition of persecution under international refugee law." Since an inspector may not
actually know which foreign carriers are privately owned and which are state owned, inspectors should use other officers or commercial
interpreters whenever possible.
(b) Interpretations and Translations. Ports of entry (POEs) should accommodate, whenever possible, special requests from an alien, such
as a request for a male or female interpreter or request for an interpreter with a specific dialect or from a specific part of the country.
Officers are to monitor the quality of interpretation the alien and the translation. If a problem with the interpretation/translation persists,
a new interpreter shall be obtained.
Officers are also responsible for informing the interpreter of their role in the process. Below are some guidelines to be aware of when
using interpreters.
(1) Interpreters and Translators. If the alien being inspected cannot speak English well enough to fully understand the questions and
answer them without difficulty, the alien must be provided with an interpreter. While some aliens can speak and understand English well
enough to be interviewed without an interpreter, many aliens may feel more comfortable with an interpreter during the interview.
It is important to know who is qualified to serve as an interpreter and who is not. Officers may use another officer who is fluent in the
alien's language, a commercial interpreter services company, a family member, another passenger, an employee or representative from
an airline that is not foreign-owned, or on a limited basis, the legacy Immigration and Naturalization Service (INS) New York Interpreters
Unit. In sensitive cases, particularly those involving expedited removal, officers should use professionally trained and certified
interpreters, rather than family members, other passengers, or airline employees.

(2) Beginning the Interview. Before an interview with an alien, the officer shall emphasize to the interpreter (whether it be another
officer, contract interpreter, family member, airline employee, or other individual) the importance of interpreting verbatim, without
adding or omitting any information. If a translation of a form(s) in the alien's language is needed, the officer will provide the interpreter
with a copy of the form(s), either by physically handing the form to the interpreter, or by faxing a copy of the form(s) to the interpreter
before the interview takes place, if the interpretation is being conducted telephonically.
Officers .should stress to interpreters the confidentiality of all information discussed, and that the interpreter must remain neutral and
objective throughout the interview. The interpreter should also be told that the interviewer or alien may ask for clarification whenever
necessary.
(3) Interpreter's Certification. Currently there is no standardized interpreter's certification form. Therefore, a statement must be added at
the bottom of the sworn statement. With an expedited removal case, an interpreter's certification may be added at the bottom of the
Form 1-8676 (i.e.; " I
certify that I have literally and fully translated the questions asked by the officer into the
_
language and that I truthfully, literally and fully translated the answers to such questions into English .").
(4) Role of the Interpreter. The role of the interpreter is an important one. Interpreters allow the two parties to communicate with each
other. Any misinterpretation may result in the applicant for admission being admitted, detained or removed in error. The fundamental
role of the interpreter is to faithfully translate everything that is said, and nothing else. The interpreter guidelines specified below do not
constitute an exhaustive list but are considered basic interpreter requirements.
•

The interpreter must be fluent in both English and a language the alien fully understands

The interpreter is to remain neutral and impartial.
The interpreter must not engage in conversation with the alien during the interview .

...._.•

-.~_._-----

--_.~

Inspector's Field Manual
•
•

•
•
•

interview.
The interpreter must interpret verbatim using the officer and alien's choice of
words, rather than the interpreter's choice of words.
The interpreter should advise the officer if certain terminology cannot be
interpreted verbatim and that an interpretation that will accurately convey the
meaning of what is being said will be used instead.
The interpreter should not to try to resolve ambiguities or to paraphrase or
summarize the exchange with the alien.
The interpreter should use the same grammatical voice as the speaker (e.g., "I
came to visit my family" rather than "He says he came to visit his family").
The interpreter is not to adopt the role of inspector or take on a primary
questioning role, or to indicate in any way his or her opinion of what the alien is
saying.

(5) Competency of the Interpreter. Competency of the interpreter is not always easy to
determine. There are a number of signs that indicate that there may be
miscommunication or that the interpreter is having difficulty interpreting. The alien may
indicate non-verbally that he or she is confused or does not understand. It is important
that the officer look for signs of miscommunication between the alien and the
interpreter. Below are some indications that misinterpretation exists:
•
•
•
•
•
•

Response to the officer's question does not answer the question or only partially
answers the question.
Officer recognizes words not being interpreted.
Interpreter uses many more words to interpret the question than the question
appears to have.
Lengthy response from the alien is interpreted from the interpreter as a very brief
response.
There is back-and-forth dialogue between the interpreter and the alien.
The alien indicates non-verbally that he or she is confused, concerned, or does
not understand.

If the officer notices any indication that the alien and/or interpreter do not fully
understand each other, or if the officer and interpreter do not fully understand each
other, the officer must stop the interview and contact another interpreter as soon as
possible. The officer will note on the sworn statement or in a memo to the file that a
second interpreter was obtained and include the reason. The officer, in consultation
with the supervisor, has the discretion to obtain another interpreter for the interview. A
statement/question should be added to the sworn statement to verify that the alien fully
understands and feels comfortable with the interpreter (i.e.; "Do you understand and
are you satisfied with the translation provided to you?")
(6) Factors Affecting the Accuracy of the Interpretation.
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The interpreter may not be sufficiently competent in English or the other
language.
The interpreter may have biases.
The interpreter may have difficulties interpreting from one language to another.
The alien and interpreter may be communicating through a second language.
The alien and interpreter may speak different versions of a language.
Either the interpreter or the alien may exhibit unprofessional behavior.
The alien may not know how to best communicate through an interpreter.
There may be cultural differences between interpreter and alien.
The disposition of the interpreter may not foster good communication.

(7) Ways to Facilitate the Interpretation Through an Interpreter.
•
Address the alien directly, not the interpreter.
•
Avoid conversations with the interpreter in front of the alien that are not
interpreted to the alien.
•
Be conscious of your speech patterns.
•
Choose your words carefully and avoid idioms.
•
Be conscious of the use of certain pronouns and avoid them if possible (i.e.; he,
she, they). It is better to use words that denote relationship or refer specifically to
an individual (by using name, position, etc.) rather than certain pronouns.
•
Speak clearly, and when necessary, speak slowly.
•
Ask straightforward questions and avoid making statements disguised as
questions.
•
Keep questions clear and simple, asking specific questions one at a time.
•
Break down what is to be said into reasonable amounts of information.
•
Ask the alien to break his or her statements into short segments so the
interpreter can interpret accurately.
•
Repeat the question/statement slowly or rephrase it if the interpreter does not
appear to understand.
Check with the interpreter to be sure that l1e or she understands what is being
said, particularly at the beginning of the interview.
•
Speak with both the interpreter and alien as soon as it appears that there is a
problem in interpretation.
•
Remind the interpreter of his or her role when necessary during the interview.
(8) Ending the interview. Before ending the interview with the alien and the interpreter,
the officer shall stress to the alien the need for any information relevant to the case and
address the alien's questions and concerns. With an expedited removal case, the
mandatory closing questions on the Form 1-867B must be asked. An interpreter's
certification statement should be added at the bottom of the Form 1- 867B (see
subsection "(c)" above, "Interpreter's Certification"). The sworn statement must be read
back to the alien, and a copy of the statement given to the alien after the alien and the
officer(s) sign it. If the alien is being referred for a credible fear interview, the officer
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must provide the alien with the Form M-444, Information About Credible Fear Interview.
This information should be provided while the interpreter is available, in order to ensure
that the alien understands the information and to address any questions the alien may
have. The 3/22/99 revision of Form M-444 has been translated into Mandarin, Arabic,
Haitian Creole, French, and Albanian. If available, the officer should provide the alien
with a Form M-444 in the language the alien understands. The officer must make sure
that all needed interpretations and translations are completed before dismissing the
interpreter/translator.
(c) InterpretationlTranslation Services. When the officer cannot find an interpreter /
translator at the POE, he or she should use an interpreter service. Each field office
should have arrangements with one or more commercial interpreter services for
telephonic interpretations 24 hours a day, 7 days a week. These services either have a
contract with the agency or accept payment with a government credit card. Certified
interpreters may also be available on a limited basis through the legacy INS's New York
Interpreters Unit.
Following is a list of available commercial interpreter services. Others companies may
also be available.
AT&T Language Line Services

(800) 419-9206

CyraCom International

(800) 713-4950

Language Learning Enterprises

(800) 234-0780

Language Line Services

(800) 874-9426

Language Services Associates

(800) 305- 9673

TransPerfect Translations:

(520) 745-9447

(800) 523-1786

(212) 689-5555

Chapter 18: Criminal Prosecution (Added INS - TM2)
18.1
18.2
18.3
18.4
18.5
18.6
18.7
18.8

General
Criminal Offenses Under the INA
Types of Arrest
Arrest Authority
Arrests Based on IBIS or National Crime Information Center (NCIC)
Warrantless Searches and Seizures
Degrees of Suspicion
Criminal Action Procedures

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18.9
18.10
18.11
18.12
18.13

Procedures After the Arrest
Jurisdiction and Venue
Case Presentation
General Rules of Evidence
Definitions

References:
INA:

Sections 235, 252, 287.

Other:

Title 18 U.S.C;and Form 1\11-69, The Law of Search and Seizure for Immigration
Officers,

18.1 General.
Every criminal prosecution originates from the commission of an offense, which for the
purposes of this text, generally occurs during the primary or secondary inspection process.
This is also the case with administrative proceedings. Development of the investigation of
either type is basically the same. The issues must be determined, all essential elements of
the violation established, witnesses located and interviewed, and supporting evidence
gathered.
The difference between the two types of investigations is the adherence or non- adherence
to a strict application of the rules of evidence in the resulting administrative or court
proceedings. Any evidence that is relevant may be accepted in an administrative hearing.
The immigration judge (lJ) has wide discretionary latitude about what is acceptable as
evidence in a hearing. The case can be continued or can be reopened upon discovery of
more or better evidence. During criminal proceedings, however, a strict application of the
rules of evidence holds true in the Federal Courts. A lost case is irretrievable. The case
can not be reopened and the finding of better or more evidence will not allow for a retrial.
Moreover, a lost case may have lasting negative impact on all future similar cases within
that judicial district.
Although most investigations will be conducted at the port-of-entry, nothing in this chapter
should be construed as restricting case development strictly to the confines of a port for
port-related case development. The gathering of evidence, interviewing and locating
witnesses, and executing requests from Assistant United States Attorneys are some
examples where this may be applicable.
Typically, senior immigration inspectors are tasked with conducting investigations upon
which criminal prosecution proceedings are based for port related cases, but this is not
necessarily the case at all ports.
Text within this chapter is meant to familiarize officers with useful material and references
for development of criminal cases for prosecution.

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18.2 Criminal Offenses Under the INA.
A chart of the criminal offenses within the purview of this chapter will be found in Appendix
18-1. The description of a criminal offense is abbreviated; therefore, officers should
become familiar with the complete section of the INA and the United States Criminal Code.
A criminal offense is any violation of law that is punishable in a criminal proceeding.
Generally, offenses are classified as follows:
(1) Any offense punishable by death or imprisonment for a term exceeding one year is a
felony.
(2) Any other offense is a misdemeanor.
(3) Any misdemeanor, the penalty for which, as set forth in the provIsion defining the
offense, does not exceed imprisonment for a period of six months or a fine of not more that
$5,000 for an individual and $10,000 for a person other than an individual or both, is a petty
offense.
The senior immigration inspector, or any other officer assigned these duties, is charged with
a knowledge of the essential elements of each of the offenses set forth as well as the
pertinent regulatory, manual, and instructional material.

18.3 Types of Arrest.
By regulation, the Attorney General has delegated administrative enforcement authority to
the Commissioner, who in turn has re-delegated authority to immigration officers. The term
immigration officer includes, among others, immigration inspectors, investigators, and
border patrol agents [See Chapter 2.2 and sections 235, 252, 287 of the Act and, Form
1'v1-69, The Law of Search and Seizure for Immigration Officers].
An INS officer is authorized to make arrests for both administrative (civil) and criminal
violations of the Act.
The procedures for administrative and criminal arrests differ
substantially and will be addressed separately.
(a) Administrative Arrest (Civil Arrest).
(1) Authority and Purpose of Administrative Arrest. The law strongly favors the use of an
arrest warrant, even for a non-criminal arrest. Therefore, warrants are required unless a
specific exception to the warrant requirement exists. The Act and regulations promulgated
pursuant to the Act address the warrant requirement in administrative arrest situations, i.e.,
where the only legal action to be taken relates to the inadmissibility or deportability of an
alien.

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Section 287(a)(2) of the Act empowers an INS officer to arrest without warrant any alien
"who in his presence or view is entering or attempting to enter the United States" if he has
"reason to believe" (probable cause) that the particular alien is in the United States in
violation of any such law or regulation and is likely to escape before a warrant can be
obtained for his or her arrest.
The regulations provide that an alien arrested without a warrant under section 287(a)(2) of
the Act (e.g. for removal hearing) shall be taken without unnecessary delay before an INS
officer other than the arresting INS officer and examined concerning his or her right to enter
or remain in the United States. If no other qualified INS officer is readily available and it
would entail unnecessary delay to take the alien before another INS officer, the arresting
INS officer may examine the alien if the conduct of such an examination is part of the duties
assigned to that arresting officer. The purpose of this procedure is for the examining officer
to decide if there is sufficient evidence to determine whether the individual is an alien who is
excludable or deportable.
Section 287(a)(5) of the Act authorizes immigration officers to execute and serve any
warrant, subpoena, summons, order, or other process issued under the authority of the
United States. Section 236(a) of the Act provides the authority to arrest an alien upon
warrant of the Attorney General pending determination of his or her removability. When an
order of removal becomes final, the alien must be detained for 90 days or released on bond
pursuant to section 241 (a) of the Act. INS may detain an alien under Form M-69 section
235 of the Act at any time to remove him or her after he or she has been finally so ordered
pursuant to section 240 or 235(b) of the Act.
Likelihood of escape before a warrant can be obtained may be shown by evidence of
previous escapes or evasions of immigration authorities, as well as lack of ties to the
community such as family, home, or a job. Attempted flight from an INS officer or nervous
behavior suggesting that the suspect is looking for an opportunity to abscond may justify an
arrest without a warrant. The mobility of the suspect may justify a belief that the suspect is
likely to escape before a warrant can be obtained.
(2) Warnings Required Following Administrative Arrest.
Once the examining officer
determines that formal removal proceedings will be instituted, certain advisories must be
given to the alien (e.g., 8 CFR 287.1). The alien must be informed of the reason for the
arrest, of the right to be represented by counsel of his or her choice at no expense to the
Government, and of the availability of free legal services programs and or organizations
recognized pursuant to 8 CFR 292.2 located in the district where the proceedings are to be
held. The alien must be given a list of such programs and organizations. The alien also
must be advised that any statement made may be used against him or her in a subsequent
proceeding. If arrested without a warrant, the alien must be advised that a decision will be
made within 24 hours whether custody will be continued or whether release on bond or on
personal recognizance will be available. The 1-862 (Notice to Appear) provides the required
warnings to aliens placed in removal proceedings or granted administrative voluntary
departure. Miranda warnings need not be given where the only contemplated legal action

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against the alien is removal or voluntary departure. Where the alien is in custody and the
focus of the interrogation shifts to contemplated criminal prosecution, Miranda warnings
must be given. If Miranda warnings are not provided, evidence derived is inadmissible in
the criminal prosecution, unless it is otherwise discoverable.
Aliens arrested under section 287(a)(2) of the Act will be provided with a Notice of Rights
and Request for Disposition, Form 1-826. Upon request, such aliens will be given two hours
to contact counsel before questioning can proceed. Complete the lower portion of the 1-826
for those aliens who will be offered the option of voluntary return in lieu of removal
proceedings, and who accept this offer.
(b) Criminal Arrest.
Whenever feasible, INS officers should obtain a warrant prior to
making an arrest. Section 287(a)(4) of the Act permits officers authorized by the Attorney
General through regulation to arrest without a warrant any person for felonies cognizable
under the immigration laws if the officer has reason to believe (probable cause) that the
particular person committed such felony and is likely to escape before a warrant can be
obtained.
Section 287(a)(5) of the Act has expanded the arrest authority of those officers designated
by the Attorney General through regulation to have such authority. Pursuant to Section
287(a)(5)(A) of the Act an officer may arrest for offenses against the United States
committed in his or her presence. Under Section 287(a)(5)(B) of the Act, an officer may
arrest for any felony cognizable under the laws of the United States, if the officer has
reason to believe (probable cause) that the person to be arrested has committed or is
committing such a felony.
To exercise authority under section 287(a)(5)(A) or (B) of the Act, an officer must be
performing duties relating to the enforcement of the immigration laws at the time of the
arrest and there must be likelihood that the person will escape before an arrest warrant can
be obtained. An officer must be certified as having completed a designated training
program before exercising the authority contained in section 287(a)(5)(B) of the Act.
Other felonies that fall within the jurisdiction of the INS include those described in sections
243(a) and 276(d) of the Act as well as certain felonies in Title 18 of the United States Code
that relate to the immigration of aliens. General criminal offenses are found in Title 18 of
the United States Code. However, other criminal offenses can be found in other titles.
Rule 41 of the Federal Rules of Criminal Procedure sets forth the procedure for an arrest
made pursuant to a criminal warrant. A person arrested without a warrant must be taken
without unnecessary delay before a United States Magistrate Judge.
The judicial
determination of probable cause must be made as soon as possible, and in no case more
than 48 hours of the arrest, absent an emergency or extraordinary circumstances. For
purposes of computation, the time includes weekends and holidays. A person arrested
must be taken without unnecessary delay before a magistrate-judge for arraignment.

18.4 Arrest Authority.
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(a) General. An arrest is the taking of control, under real or assumed authority, of another
for the purpose of holding them to answer to a criminal or administrative charge. It is the
seizing of another's body.
In the Federal system, the authority to make arrests varies from agency to agency. The
scope of a Federal officer's authority is set forth by statute, and each individual officer must
know the authority granted to them. For some officers, their authority is limited to certain
geographical areas, while for others, their authority is limited to certain subject matter.
Therefore, just because a crime, Federal or otherwise, has been committed, it does not
mean that a Federal officer may make the arrest. Officers may do so only if they have the
statutory authority to arrest for that specific crime. An officer must be acting under real legal
authority in taking a person into official custody. This power, or authority, to arrest must be
statutory in nature as to the person, the place and the crime. There are three types of
arrest authority: Federal statutory authority, state peace officer authority and citizens arrest
authority.
(b) Federal Statutory Authority. Authority is granted to Federal officers/agents by acts of
Congress. All Federal arrest authority is based on laws passed by the Congress. This
authority varies from agency to agency.
(c) State Peace Officer Authority. Power granted by some states to some Federal
officers/agents authorizing them to enforce state law. As separate sovereigns, each state
may determine who is authorized to enforce the laws of that state. Usually this means that
arrest power is granted to state police, sheriffs, and to various municipal police
departments. Some states have enacted legislation designating Federal law enforcement
officers as state peace officers with the power to enforce state law. Whether or not a
specific Federal officer has this state authority is sometimes difficult to determine.
Some states enumerate by title those officers who qualify as peace officers, but most
merely list some officials and then add either "or other officers who have the authority to
arrest for specific or general crimes" or similar language. While this would appear to
indicate that Federal officers are included, some state court decisions have limited their
application to state law enforcement officers only.
Other states have not had the
opportunity to interpret the language and it is unsettled as to whether or not Federal officers
are included. Do not assume that as a Federal officer you are considered as a state peace
officer. You should check with the U.S. Attorney for your district for advice as to your
"peace officer" status.
In addition, it may be possible to obtain state peace officer status by being "deputized' by a
local sheriff or other state law enforcement official. If you are so deputized, be sure that it is
not just an honorary deputation but actually carries with it the power of arrest.
In any event, recognize that the state authority is being granted to assist you in your
enforcement of Federal law.

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If a Federal officer, acting as a peace officer, deprives an individual of any of the rights,
privileges or immunities secured by the Constitution and laws of the United States, that
Federal officer could be subject to a civil rights suit under 42 U.S.C. § 1983.
(d) Citizens Arrest Authority. The power is granted in some states to permit citizens who
witness a felony crime to arrest for that crime. In the absence of Federal arrest authority,
the law of the state in which the arrest takes place is controlling. Since most states do not
confer peace officer status on Federal officers, any arrest made by them outside of their
statutory Federal arrest authority will generally be treated as a citizen's arrest.
Federal law enforcement officers with statutory Federal arrest authority may make arrests
with probable cause, with or without a warrant, for a Federal felony offense which is
encompassed by their authority. If you make an arrest with probable cause for a crime over
which you have statutory authority, you will generally be protected from criminal charges
and/or civil liability.
While most, if not all, states allow the so-called citizen's arrest to be made, such authority
should only be exercised in limited situations because a citizen making such an arrest acts
at their own peril. In most states, a citizen is privileged to make an arrest only when they
have reasonable grounds for believing in the guilt of the person arrested and a felony crime
has in fact been committed.
Note that unlike an officer's authority to arrest on probable cause that a felony has been
committed, the general rule for a citizen's arrest is that a felony must have occurred, a
certain cause standard, instead of a probable cause standard.
An absolute defense to a false arrest suit based on a citizen's arrest is the actual conviction
of the person arrested. Additionally, Federal law enforcement officers in states where a
citizen's arrest may be made on "reasonable cause" would appear to be free of liability for
false arrest where they have verified a NCIC felony warrant before making a citizen's arrest.
When an arrest is made for a state offense by a Federal officer under citizen's arrest
authority, the accused should be turned over to a state peace officer, without undue delay,
or brought before a state magistrate or judge in accordance with the law of that state.
Federal officers must remember that the Terry doctrine will allow a limited detention for
investigative matters, and once that continued detention becomes unreasonable, then either
a valid Federal violation must be charged, peace officer status invoked, arrest as a citizen,
or release the individual. Clearly, arresting for a Federal violation enables the Federal
officer to remain within scope of Federal authority, and affords the highest level of civil
liability protection. When you arrest under color of state law, exposure to liability increases,
and a citizen's arrest requires that the citizen be right, or be liable.

18.5
Arrests Based on IBIS or National Crime Information Center
(NCIC) Information.
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(a) Outstanding Federal Warrant. Authority to arrest is limited to agency statutory arrest
authority. An officer should verify that a warrant is still valid and that the person to be
arrested is the person specified on the warrant. The officer need not have the warrant in
possession at the time of the arrest, but upon request the officer is required to show the
warrant to the suspect as soon as possible. If the officer does not have the warrant at the
time of the arrest, the officer should inform the suspect of the offense charged and of the
fact that a warrant has been issued. See Rule 4(d)(3), Federal Rules of Criminal
Procedure.
Should you discover that a person you have detained has an outstanding Federal warrant
for a crime outside the scope of your statutory authority, you may detain the individual until
an officer or agent with the proper authority can make the 'official' arrest. This could be
either a Federal or state officer.
(b) Outstanding State Warrants. No Federal statute authorizes an arrest by
a Federal law enforcement officer based on an outstanding state warrant. Federal officers
making such an arrest are arresting either as a peace officer or a citizen depending on the
law of the state in which the arrest is made.
However, when a person moves or travels in interstate or foreign commerce with the intent
either:
to avoid prosecution, or custody or confinement after conviction for a felony under the laws
of the place from which the fugitive flees, or
to avoid giving testimony in any felony criminal proceeding, or
to avoid service of, or contempt proceedings for alleged disobedience of lawful process
requiring attendance,
that person has committed a Federal felony under 18 U.S.C. § 1073.
The better practice is to detain an individual for a reasonable period of time until state or
local police officers can effect an arrest. When you call the state or local police officers, ask
them if they want you to hold the suspect for them. If they say yes, state law may give you
additional authority because of their request.
If an individual is detained beyond a reasonable time because of delay in the arrival of state
or local police, the Federal officer will have, in fact, arrested the individual. Authority for that
arrest will be based on state law and the existence of the outstanding warrant will provide
the necessary probable cause.

18.6 Warrantless Searches and Seizures.
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(a) Border Searches. Routine searches by INS officers at an international border or the
"functional equivalent" (International Airports) may be conducted without a warrant or
probable cause. The interrogation and search of individuals and their effects at the border
without probable cause or a warrant, is considered reasonable under the fourth amendment.
INS officers may interrogate individuals to determine admissibility without reasonable
suspicion or probable cause. However, border searches are subject to constitutional
limitations. Searches of persons, particularly body cavity searches and similar intrusive
procedures, require some level of suspicion under the fourth amendment.
Routine
searches of persons or things may be made upon their entry or exit in or from the country
without probable cause or a search warrant. The border search authority extends to all
persons or vehicles attempting to enter or seen entering the United States.
(b) Extended Border Searches. An extended border search takes place after a person,
vehicle, mail or some other property has crossed the border or cleared a prior checkpoint,
or a significant amount of time has elapsed since the object first arrived in the United
States. An extended search must be justified by "reasonable suspicion" that the subject of
the search was involved in criminal activity. An extended border search requires:
reasonable suspicion of criminal activity;
reasonable certainty that the vehicle/person crossed the border; and
reasonable certainty that the condition of the vehicle/person remained unchanged since the
border was crossed (often established through constant surveillance).
(c) Functional Equivalent. The broad authority which exists at the international border also
extends to areas found to be the "functional equivalent". An airport which is the destination
of a nonstop flight from outside the United States. If there is a mixture of domestic traffic
with the international traffic, then the location will not be considered a functional equivalent.
If there is any question of whether a particular area is a functional equivalent, an officer
should apply reasonable suspicion and probable cause standards for searches and seizures
that are applicable to interior locations.
The functional equivalent of the border may be the mouth of a canyon, or the confluence of
trails or rivers. The key factor for consideration is whether the person or item entered into
the country from outside. Three factors are used to determine whether a location other than
the actual border is a "functional equivalent":
reasonable certainty that a border crossing has occurred;
lack of time or opportunity for the object to have changed materially since the crossing; and
execution of the search at the earliest practical point after the actual crossing.

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Entry of Lands Within 25 Miles of the Border. Immigration officers may enter

(d)
private lands, but not dwellings, within 25 miles from any external boundary of the United
States for the purpose of "patrolling the border to prevent illegal entry of aliens into the
United States" as "conducting such activities as are customary, or reasonable and
necessary, to prevent the illegal entry of aliens into the United States.
A dwelling is protected under the fourth amendment of the constitution and entry should
only occur with consent, exigent circumstances, or a properly executed search warrant.
As to private lands, the officer shall inform the owner or occupant that they propose to avail
themselves of their power of access to those lands.

(e)
Checkpoints.
The Border Patrol conducts two types of inland traffic-checking
operations: checkpoints and roving patrols. Border Patrol agents can make routine vehicle
stops without any suspicion to inquire into citizenship and immigration status at a
reasonably located permanent or temporary checkpoint provided the checkpoint is used for
the purpose of determining citizenship of those who pass through it, and not for the general
search for those persons or the vehicle. Inquiries must be brief and limited to the
immigration status of the occupants of the vehicle. The only permissible search is a "plain
view" inspection to ascertain whether there are any concealed illegal aliens.
In contrast, INS officers on roving patrol may stop a vehicle only if aware of specific
articulable facts, together with rational inferences from those facts, that reasonably warrant
suspicion (reasonable suspicion) that the vehicle contains illegal aliens. Absent consent, a
more in-depth search requires probable cause for both types of inland traffic-checking
operations.

18.7 Degrees of Suspicion.
(a) Mere Suspicion. At the border or its functional equivalent, an inspector needs only
mere suspicion to justify a search and comply with the requirements of the Fourth
Amendment. This is because the person is attempting to enter the United States from
abroad and may reasonably be required to demonstrate that the person and his or her
belongings are entitled to enter the United States.
(b) Reasonable Suspicion. Before an inspector may constitutionally detain a person
(non-entry related case), the inspector must have reasonable suspicion that the person is
an alien and is illegally in the United States. This higher degree of suspicion arises generally
in questioning persons encountered in and around the port who are awaiting persons
referred to secondary. This suspicion is based on questioning of alienage alone and also
involves specific articulable facts, such as particular characteristics or circumstances which
the inspector can describe in words.
(c) Probable Cause. Probable cause is the degree of suspicion which an inspector must
have before constitutionally making an arrest under either civil or criminal law. An inspector
has probable cause to arrest or search if evidence and circumstances which would lead a

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reasonable person to believe that an offense has been or is being committed are known by
the inspector.

18.8 Criminal Action Procedures.
There are three accepted modes of initiating criminal action against an accused person in a
federal district court. They are:
(a) By COMPLAINT - In criminal law, a charge, proferred before a magistrate-judge having
jurisdiction, that a person named (or an unknown person) has committed a specified
offense, with an offer to prove the fact, to the end that a prosecution may be instituted.
Although the complaint charges an offense, an indictment or information may be the formal
charging document. The complaint is a written statement of the essential facts constituting
the offense charged.
In the federal courts, it is to be made upon oath before a
magistrate-judge. If it appears from the complaint that probable cause exists that the
person named in the complaint committed the alleged crime, a warrant for his arrest will be
issued.
If the magistrate-judge has reason to believe from the evidence presented at the
examination that a crime has been committed and the accused probably committed the
offense, he or she will order the defendant held for the filing of an indictment or an
information to answer in the district court. In so doing, he or she may order the accused
held in custody, or released under bond or on his own recognizance.
If the
magistrate-judge does not believe there is probable cause to hold the accused he may
discharge the defendant.
The complaint shall not be filed without the consent of the United States Attorney.
(b) By INDICTMENT - A formal written accusation originating with a prosecutor and
issued by a grand jury against a party charged with a crime. An indictment is merely a
charge which must be proved at trial beyond a reasonable doubt before defendant may be
convicted. An offense which may be punished by death shall be prosecuted by indictment.
An offense which may be punished by imprisonment for a term exceeding one year or at
hard labor shall be prosecuted by indictment or, if indictment is waived, it may be
prosecuted by information. Any other offense may be prosecuted by indictment or by
information.
(c) By INFORMATION - A written accusation made by a United States Attorney, without the
intervention of a grand jury. Function of an "information" is to inform defendant of the
nature of the charge made against him and the act constituting such charge so that he can
prepare for trial and to prevent him from being tried again for the same offense. It is signed
by the United States Attorney or one of his or her Assistants.

18.9 Procedures After the Arrest.
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(a) General. An arrest may be made with or without a warrant under either Federal or
state arrest authority. If the crime is a state crime and not a Federal offense, you must
follow the state post-arrest procedures. If it is a Federal crime, the Federal Rules of
Criminal Procedure require you to take the adult defendant before the nearest available
Federal magistrate-judge without unnecessary delay. [See Rule Sa, Federal Rules of
Criminal Procedure.] A detailed flow chart of the Federal criminal case processing system
will be found in Appendix 18.4.
Every Federal officer is responsible for knowing the location of the nearest U.S.
Magistrate-Judge or other United States District Court Judge. If a Federal judicial official is
not available, the defendant may be brought before certain state officers for the initial
appearance [See 18 U.S.C. § 3041.].
In the event that a defendant must be held in jail before the initial appearance, the prisoner
must be placed in a Federally approved detention facility. It is the responsibility of the
arresting officer to transport the defendant to the holding facility and from there to the court
for the initial appearance. The U.S. Marshal's Service will not take custody of a prisoner
until ordered to do so by the court.
It is the responsibility of the arresting officer to see after the well-being of the arrestee. This
means seeing that food, shelter, etc., are available. If the arrestee is injured, or has special
medical problems such as diabetes or drug addiction, the officer should obtain medical
assistance for the arrestee.
(b) Evidence Processing. Each arresting officer is responsible for preserving physical
evidence seized and for assuring that the chain of custody for that evidence is properly
established. Names and addresses of witnesses should be recorded and the necessary
paper work completed. Additional discussion of case related evidence can be found in
section 18.11 of this chapter.
(c) Fingerprinting. Every alien 14 years of age or older who has been:
•

arrested under a warrant of arrest or without a warrant; or

•

a willful crewman violator;

•

served with a notice to appear;

•

excluded from the United States; or

•

removed from the United States under the expedited removal program

shall be fingerprinted on a criminal card (FD-249) which shall be sent to the Identification
Division, FBI. A second FD-249 card shall be prepared and forwarded by first class mail to:

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Biometric Support Center
1151 "M" Seven Locks Road
Potomac, MD 20854-2905
A third FD-249 shall be prepared and retained in the file.
FBI Form R-84 shall be prepared at the time of processing. In the case where criminal
prosecution is contemplated, two FBI Form R-84's shall be prepared to timely record
administrative and criminal disposition. The final disposition of each case shall be reported
to the Identification Division, FBI, on FBI Form R-84. (Revised INOO-25)
(1) Administrative Arrests. In administrative arrest, notification of disposition shall be
prepared after receipt of verification of departure. Verification of departure documents,
which are handled by the Detention & Deportation Branch, usually consist of an executed
1-94 and/or executed Warrant of Deportation or Removal, or an executed Notice of
Exclusion. Final disposition shall be shown as follows: "deported, departed voluntarily,
status adjusted to lawful permanent resident, notice to appear canceled, proceedings
terminated by IJ (BIA), alienage not established, released as U.S. citizen (lawful resident
alien), or the alien died." The date of occurrence should follow each instance. After the
date, in appropriate cases include the mode of government or commercial transportation
used for removal.
(2) Criminal Arrests. In criminal arrest, notification of disposition shall be prepared by the
case agent (officer) after sentencing by the court of record. Final disposition shall include
the judgement and sentence. This information serves to timely update the criminal history
records in the National Crime Information Center (NCIC) of offenders and/or significant
violations and the final disposition.
(d) Release of an Arrested Person. Situations sometimes arise where a person is
arrested but before the initial appearance, the officer learns that the U.S. Attorney has
declined to prosecute, that the warrant has been withdrawn, or that additional facts are
discovered which cause the officer to realize that there is no longer probable cause for the
arrest. The Federal Rules require that any time a person is arrested, they must be taken
before a U.S. Magistrate-Judge without unnecessary delay [See Rule 5a, Federal Rules of
Criminal Procedure.].
Should you be required to travel to a magistrate-judge's office, sometimes several hours
away, to have the magistrate-judge release the suspect? The Department of Justice has
considered this question and is of the opinion that the person could be released. Once
released, there is no need to present the defendant before the magistrate-judge as that
Note however, that this is only an opinion of the
would serve no useful purpose.
Department of Justice based upon their interpretation of Rule 5(a) of the Federal Rules of
Criminal Procedure, and not the result of an actual court decision.
The methodology of the release would depend upon how far the arrest had progressed. If it

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was determined that the subject should be released before booking, the officer may release
the subject. If the prisoner has been booked, the officer should go through the Assistant
U.S. Attorney who would notify the magistrate-judge and the officer should prepare a memo
for the AUSA stating the facts behind the arrest and the subsequent decision to release the
subject.
It should be noted that the above is only a recommendation and actual policy may vary from
district to district (e.g., INS related detainers). You should seek advice from your agency
and the U.S. Attorney's office to learn the procedure in the district in which you will be
working.
Many districts have instituted a procedure known as 'citation release,' which authorizes
certain officials in the agencies to review the personal information provided by an arrestee,
and if the charge is a minor one, to either collect collateral for the charge, or release on
personal recognizance with a mandatory court date. This process is closely monitored by
court personnel, and serves to speed up the process by which some Federal agencies, who
commonly make numerous misdemeanor arrests, handle their prisoners.
(e) Initial Appearance. After making an arrest, Rule 5(a) Federal Rules of Criminal
Procedure requires that the arresting officer take the arrested person before the nearest
available U.S. Magistrate-Judge without unnecessary delay. The term 'without unnecessary
delay' means exactly what it says and does not mean that prisoner be taken there when it is
convenient or practical. The amount of acceptable delay will vary according to the district in
which the arrest takes place. For instance, the amount of time a juvenile can be processed
before transportation to a U.S. Magistrate-Judge for an Initial Appearance is considerably
less than the time allowed for processing an adult.
Title 18 U.S.C. § 3501 addresses what is reasonable delay for the purpose of admitting
statements taken during that processing period. The 'six hour rule of reasonableness"
means that if the arrested person makes any statements within six hours of the arrest, it will
be presumed that any statements taken during that six hour period were voluntary. Any
statements taken after the six hours following an arrest are presumed to be coerced, and
only admissible after review by the trial judge. Note, however, that it is only a presumption
and it may be rebutted by either side.
(f) Unnecessary Delay. Following an arrest, the arresting officer has adequate time to
process the defendant, i.e. fingerprint, photograph, interrogate, etc. In other words, there is
adequate time to do the normal booking procedures prior to the initial appearance. If you
intentionally fail to comply with the 'without unnecessary delay' requirement, there are
serious consequences. You could be held liable for violating the person's civil rights, your
case could be dismissed, and/or any confession could be suppressed.
(g) Magistrate-Judge or Other Official. If no U.S. Magistrate-Judge is available, you may
take the defendant before any other person authorized in 18 U.S.C. § 3041, such as:
Any U.S. Judge or Justice;

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Judge of a supreme court or superior court;
Chief or first judge of common pleas;
Mayor of a city; or
Justice of the peace or other magistrate of any state where the offender may be found.

Note: that if you take the defendant before someone other than a Federal judge or
magistrate-judge, the obvious practice is that the official should be of a level where written
records are kept of the proceedings. A good rule of thumb to follow is: should you need to
use a state official, only use a judge of a state court of record, i.e. one that has the power to
punish for contempt and maintains a record of its proceedings. A state court that can hear
felony cases will be a court of record.
The Rule requires that you take your prisoner before the nearest available U.S.
Magistrate-Judge. If the nearest available magistrate-judge is in another district, in order to
avoid additional paperwork and other problems, take the prisoner to the magistrate-judge in
the district of the arrest even though that magistrate-judge may be further away.
(h) Arrests Made Without Warrants. Should you arrest someone without a warrant, they
must be taken before a magistrate-judge without unnecessary delay and a complaint needs
to be filed prior to the holding of the initial appearance.
(i) Detaining Prisoners. If the defendant is to be housed in jail prior to the initial
appearance, the prisoner can only be housed in a Service or federally approved detention
facility.

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18.10 Jurisdiction and Venue.
(a) Venue. The Constitution requires that the trial of all crimes shall be held in the state
and district where the crime was committed, or, if not committed in any state, where
Congress shall direct. The place where the offense may be tried is known as "venue.' Rule
18 of the Federal Rules of Criminal Procedure states that prosecution will generally be in
the district in which the offense was committed.
In determining where the offense was committed, consideration is given to whether a single
act was involved, or whether the offense was a continuing one or one which involved more
than one act. In the latter cases, venue would lie at any point where a criminal act occurred.
In cases involving offenses against the United States committed on the high seas, in a
foreign country, or when more than one person is involved, venue is determined by where
the offender(s) are first arrested or transported into the United States, 18 U.S.C. § 3238.
(1) Venue Distinguished from Jurisdiction (Rule 18). "Jurisdiction" is the inherent
power of the court to decide a case. All U.S. District Courts have jurisdiction over offenses
committed against the United States. Venue refers to the particular place
Uudicial district) where a court that has jurisdiction may hear and decide a case. A district
court may have jurisdiction to decide a case but may lack the venue to hear it. Time of
Motions to transfer the case to another district will be made at or before arraignment, or as
the rules or court allow (Rule 22).

(2) Change of Venue [Rule 211. Under Rule 21, the court may, upon motion of the
defendant, transfer the proceedings to another district if:
There exists in the district where the prosecution is pending so great a prejudice that the
defendant cannot obtain a fair or impartial trial; or
It appears that the transfer of proceedings against the defendant or anyone or more of the
counts against the defendant would be more convenient for the parties and witnesses, and
in the interest of justice.
(3) Transfer from the District for Plea and Sentence (Rule 20). If a defendant is
arrested or held pursuant to indictment or information in a district other than the one in
which the indictment or information is pending, the defendant may state in writing that they
wish to plead guilty or nolo contendere, to waive trial in the district of indictment or
information, and to consent to disposition of the case in the district where they were
arrested or are being held. If the United States Attorneys for both districts agree to this
procedure, the relevant papers will be transferred to the clerk of the court where disposition
is to occur and the prosecution will continue in that district. The defendant may also waive
that right to be indicted in the venue district.
(4) Commitment to Another District (Rule 40). A defendant may be arrested on a warrant
based on a complaint, an information or indictment; or arrested without a warrant based on

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probable cause. If this occurs in a district other than one where the offense occurred or the
proceedings are pending, and the defendant wishes to plead not guilty to the pending
charges, the defendant must be returned to the original district. As with other arrest
situations, the first step is to take the arrested person to the nearest available
magistrate-judge without unnecessary delay. The court will then proceed with the initial
appearance, in accordance with Rule 5, to include advisement of the provisions of Rule 20.
If the defendant has been indicted, an information has been returned, or if the defendant
elects to have the preliminary examination, pursuant to Rule 5, conducted in the district in
which the warrant was issued, there will be no preliminary examination in the district of
arrest. Instead, the magistrate-judge will determine at the initial appearance whether the
arrested person is the person named in the indictment, information, or warrant. If so, the
defendant will be ordered to return, if on bail; or the magistrate-judge will order the
defendant returned, if not on bail, to the district where the prosecution is pending,
subsequent to the court receiving the warrant or certified copy of such, which may now be
submitted by facsimile (fax) transmission.
Otherwise, pursuant to Rule 5.1, the magistrate-judge will hear evidence in the district of
arrest as to probable cause for the arrest. If the magistrate-judge finds that there is
probable cause to believe a crime has been committed and that the arrested person
committed it, the magistrate-judge will order the defendant's removal to the district in which
the prosecution is pending.
If the person is arrested for a probation violation, the court will proceed in accordance with
32.1 (revocation or modification of probation), or conduct a prompt preliminary examination
if the alleged violation occurred within the district of arrest.
If bail has been set in the original district, the magistrate-judge in the district of arrest will
take into account that the amount of bail previously fixed and the reasons therefore, if any.
The magistrate-judge is not bound by this amount, however, and may fix a different bail if it
appears that a different amount would more reasonably assure the presence of the accused
at future judicial proceedings.
(5) Trial (Rule 23(a)). If the defendant has previously entered a plea of not guilty, the
question of guilt will be determined at a trial of the defendant. At the trial, the government
will attempt to offer evidence to support a finding of guilt beyond a reasonable doubt. The
defendant may offer a defense to disprove the allegation of guilt but is not obliged to do
anything at all inasmuch as the burden of proof is on the government.
(6) Functions of the Judge and JUry. In general, the judge decides questions of law, and
the jury decides questions of fact. Defendants may waive jury trial if they do so in writing
and the request is approved by the court and the government. In such cases, the judge will
decide questions of both law and fact.
(7) Trial By JUry (Rule 23(a)). A trial jury is sometimes called a petit jury, as opposed to
a grand jury. A grand jury is selected and impaneled by the judge. A trial jury, however, is

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selected upon the basis of a voir dire conducted by either the judge and/or the attorneys for
each side. In a trial by jury, the jury will consist of 12 jurors. At any time before verdict,
however, the parties may stipulate in writing, with the approval of the court, that the jury may
consist of any number less than 12. This allows a verdict to be returned should the court
need to excuse one or more jurors for just cause after trial has begun. In fact, the court
may allow a jury consisting of 11 jurors to return a verdict even without the approval of both
parties. A offense, the statute of limitations does not begin to run until the criminal conduct
ceases. In a conspiracy, the statute of limitations begins to run with the last overt act.
(8) Tolling the Statute. To 'toll' the statute is to suspend or interrupt the running of the
statute over a period of time. This will extend the date on which the statute ends and
prosecution is subsequently barred. A statute may be tolled when it can be shown that an
individual is 'fleeing from justice.' Title 18 U.S. C. § 3290 provides: 'No statute of limitations
shall extend to any person fleeing from justice.'
The essential characteristics of fleeing from justice have been defined as "leaving one's
residence, usual place or resort, or concealing one's self with intent to avoid punishment.'
The key word in the definition is 'intent.' One of the most common ways of fleeing from
justice is to leave the country to avoid prosecution, but it is not the only one. Using a false
name in a location other than one's usual habitat is generally sufficient. Once a person has
fled from justice, the reasons for his continued absence have no effect on tolling the statute,
so that an excuse that the individual was in jail in Mexico is irrelevant if the original intent in
going to Mexico was to avoid prosecution in the United States. The burden of proving the
intent to flee is on the government. If proven, the statute will be tolled for the duration of the
time the individual was "fleeing from justice.'
(9) Extradition. When an individual has fled the jurisdiction of the United States to a foreign
country, the process for bringing that person back to this country is known as extradition. It
is important to remember that in the Federal system, the term "extradition" applies only to
transfers of defendants and potential defendants on the international level. Transfers within
the jurisdiction of the United States are covered by Rule 40 (Commitment to Another
District).
Extradition is effected through a request from the U.S. Attorney to the Attorney General to
conduct extradition proceedings. These proceedings are accomplished through the U.S.
State Department which will deal with the foreign government concerned. In order to
extradite an individual from a foreign country, there must be an extradition treaty between
the United States and the foreign country involved. The United States does not have such
treaties with all countries. In addition to the existence of an extradition between the two
countries, there must be enough evidence to make a strong case and the offense charged
must be one that is recognized by both countries. If the offense charged is not a crime in
the host country, there can be no extradition.
Refer to Chapter 209, Title 18 U.S.C., Extradition, Sections 3181 through 3196; for the
procedural requirements, and the listing of extradition treaties.

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18.11 Case Presentation.
There are no general guidelines for criminal prosecution of immigration related matters in
the Federal courts. Practices and policies may vary from one judicial district to another. In
certain judicial districts, blanket authority has been granted by the United States Attorney to
file complaints for specified violations.
(a) Role of the United States Attorney and Their Assistants. These are the officials who,
with certain exceptions, represent and defend the United States in both civil and criminal
trials in Federal Courts. They determine, on the basis of all the evidence, whether authority
should be granted to file a complaint. Unless the information given the United States
Attorney is concise, clear, and completely explanatory of the supporting evidence for each
element of the offense, the United States Attorney may deny authority to file a complaint.
The clearest possible presentation of the admissible evidence supporting each element of
the offense is essential to insure full consideration of the case for prosecution.
Any questions regarding cases (criminal INS) or the charges should be directed to this
office. You may be asked to attend an informal pretrial conference to discuss a case with
the Assistant U.S. Attorney (AUSA) who is assigned to the case. At this time, you should
inform him or her of any problems you have with the case. Do not wait until the trial where
they could be surprised. The AUSA may require you to do some additional work on the
case (e.g., locate, obtain statements, and subpoena witnesses, etc.). Remember, he or she
has a right to make such decisions.
(b) Liaison.
An amiable acquaintance with the United States Attorney's staff, the
magistrate-judge's office, and the Federal District Court heirachy is of critical importance as
to whether a case will be prosecuted. Friendly, person-to-person liaison on a local level
must be emphasized if there is to be a successful prosecution program.
The thrust of the Inspections prosecutions program is to have every possible case accepted
for prosecution that is presented.
This can be accomplished through a thorough
investigation and a complete willingness to assist the Assistant United States Attorney in the
preparation of the case after it is accepted for prosecution.
The prosecution officer must sell the case. Just as the Service sets priorities based upon
available resources, the court system sets priorities. An innovative approach or an
energetic officer can often effect a change in priority commitment.
(c) Appearance Before United States Magistrate-Judge. Most prosecutions are begun
by filing a complaint before a United States Magistrate-Judge after authority for this action
has been granted by the AUSA. One exception is in the case of an arrest without a warrant
for a felony involving the immigration laws where the person arrested is likely to escape
(see Chapter 18.6 - Warrantless Searches and Seizures). In such case, the person must
be taken without unnecessary delay before the nearest available United States
magistrate-judge, or some other officer empowered to commit person charged with offenses
against the laws of the United States, and complaint filed forthwith.
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The magistrate-judge informs the defendant of the right to a preliminary examination, right
to counsel, retained or appointed, and right to remain silent. The defendant is not required
to plead before the United States magistrate-judge.
If the defendant does not waive preliminary examination, the magistrate-judge hears the
evidence, including the testimony of the person filing the complaint. During examination, the
defendant has the right to examine witnesses and to present witnesses in his or her own
behalf, as well as to give testimony himself or herself.
The magistrate-judge may order the accused held in custody, or released under bond or on
his or her own recognizance.
An AUSA will generally appear at the preliminary examination before the United States
magistrate-judge to represent the Government and to examine witnesses.
(d) Action After Accused Held by United States Magistrate-Judge. After the defendant is
ordered held by the United States magistrate-judge, that official reports the action to the
clerk of the appropriate United States district court. If the violation for which the defendant
is held is a misdemeanor, the AUSA files the information in court. If the offense is a felony,
a draft of an indictment is drawn by the AUSA and the case is presented to the appropriate
grand jury for its consideration.
Frequently, if the crime involved is a felony, and if a grand jury is sitting, the facts are
presented directly to the grand jury, without first being considered by a United States
magistrate-judge.
(e) Case Report. A good investigative report should stand alone. An AUSA, without talking
to the case officer, should by use of the report alone, decide on prosecution. A good
investigation without a good report is meaningless. An investigation develops facts, a report
renders these facts into a final product upon which to adjudicate or to base a prosecution.
The report should set forth clearly the basis for the investigation, the acts of the accused
which constitute the elements of the crime, when and where such acts were committed, and
all relevant circumstances surrounding the commission of the acts. It is particularly
important that all facts establishing jurisdiction and venue be clearly set forth. The report
should also show the manner in which each of the acts constituting the elements of the
crime is to be proved, whether through witnesses, documents, admissions or confessions of
defendant, etc. It should be confined to those facts which will be of value to the AUSA in
determining whether the defendant should be prosecuted, and which will be of assistance
to the AUSA during the trial.
The report will vary depending on whether your case is a planned operation or an
unplanned apprehension. When a case is planned, the sooner the AUSA is brought into
the picture, the better. At various stages of the case, the evidence should be shown to the
AUSA and the report should be developed as you go. In an unplanned apprehension, the

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case officer (or agent, as typically referred to by the AUSA) will be required to do a great
deal of work at the last minute. Early in the process, the agent should discuss grand jury
with the AUSA. The case report should be submitted prior to grand jury. If some evidence
will not be available by that time, the report should be submitted with an explanation for the
missing evidence and an estimated date for the supplemental case report containing that
evidence.
Keep in mind, an AUSA will not want to present a case to a grand jury without all the
evidence before him. The lack of a case report may not cause the AUSA to reject the case
in hand, but the next time you seek his authorization, he may be slow to commit himself.
Also, keep in mind that without the evidence acquired in the case, the AUSA cannot comply
with the court's discovery order. Failure to comply with discovery orders can result in the
exclusion of evidence and may cause the case to be dismissed.
Elements of the case report should be tabbed and bound. It should contain the following
items:
(1) Synopsis, a brief analysis of the case.
(2) List the crime and the elements of the crime.
(3) List the defendants and a brief biological sketch including immigration, criminal history,
and detention status.
(4) List the witnesses, including the aliens, with a brief biological sketch and information on
how to reach the witnesses. The sketch should state any criminal or immigration history.
(5) Any related forfeiture proceedings.
(6) The narrative should discuss the case as it relates to the evidence and should explain
how the evidence will satisfy all of the elements of the offense.
(7)

List of the exhibits.

(8) List of all other evidence.
(9) Any indications of a defense, a weakness in the case or evidence we have uncovered
that would aid the defendant's case.
(10) Attachments:
a. Affidavits of each law enforcement officer who participated in the case.
b. Statements taken from any of the aliens, defendants, or other witnesses.

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c.

Copies of any tapes, if applicable.

d. Copies of all photographs.
e. A list of physical evidence detained by the Service including money, vehicles, and
personal property.
f. Any conviction records or immigration records that might be relevant to the prosecution
(e.g. prior exclusion/deportation/removal records, etc.).
(f) Testifying in Court. As an officer involved in prosecuting a case, you will be called upon
to testify in open court. A guide to conducting yourself in court is contained in Appendix
18.2.

18.12 General Rules of Evidence.
It is impossible to discuss all of the possible rules of evidence here, but all Immigration
Inspectors should be familiar with the general rules of evidence. However, there can be no
substitute for initiative and experience.
(a) The following is a brief summary of some of the more important rules essential in
establishing sufficient evidence to successfully prosecute for violations of the INA and
related laws:
(1) Evidence is anything which tends to prove or disprove a fact in issue, and must be
relevant, and competent to the point or fact at issue.
(2) A witness may testify to what he sees, hears, or knows.
(3) Opinion evidence - (i.e., Testimony from a handwriting analysis expert that the
defendant in a smuggling case wrote the note used by the alien for directions on how to
enter the U.S. and later found in the possession of the alien(s).)
(4) Only the best evidence may be introduced in evidence unless it is shown that the best
evidence is not available. (Note: Black's Law Dictionary states that "the words 'testimony'
and 'evidence' are not synonymous.) Although testimony is evidence, evidence mayor
may not be testimony or may, and in most cases does consist of more than testimony."
(5) Hearsay testimony, with certain exceptions, as in pedigree cases, is not admissible.
(The pedigree exception to hearsay rule allows consideration of hearsay evidence regarding
a person's family relationship as proof of existence of the relationship.)
(6) Any fact that shows motive or preparation for the criminal act is admissible against the
defendant.

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(7) Evidence is admissible to show any conduct or condition of the defendant subsequent to
the act charged, apparently influenced or caused by the doing of the act, and any act done
in consequence of it, or by the authority of it; but the defendant will not be permitted to
introduce evidence as to what are generally known as self-serving acts or declarations.
(8) When the defendant's conduct is in issue, or is relevant to the issue, evidence as to
statements made in his presence and hearing, by which his conduct is likely to be affected,
and the manner of his reception of such statements, is admissible. For example, a
statement is made in the hearing of a person and is such that if false, he would naturally
deny it and he remains silent.
(9) Res Gestae means literally things or things happened. It is considered as an exception
to the hearsay rule. In its operation it renders acts and declarations which constitute a part
of the things done and said admissible in evidence, even though they would otherwise come
within the rule excluding hearsay evidence or self-serving declarations. The rule is
extended to include, not only declarations by the parties involved, but statements or
exclamations made by bystanders and strangers asserting the circumstances of the
occasion as it is observed by them, is admissible as a spontaneous statement or
exclamation.
The
(10) Evidence of the commission of other crimes mayor may not be admissible.
officer should endeavor to learn of other crimes committed by the defendant and should
report his information in that respect. The information may at least by helpful to the trial
judge in fixing sentence.
(11) In a conspiracy trial, some acts and declarations of co-conspirators are admissible
against the defendant on trial, and others are not. Effort should be made to learn about all
such acts and declarations, all of which should be reported.
(12) Dying declarations are admissible only in homicide cases.
(13) Statements or declarations made by the defendant or by another person acting under
this authority, are admissible against him, but not in his favor.
(14) Character testimony mayor may not be admissible, depending on the case.
(15) All facts must be secured. Those that might clear the suspect in the case are just as
important as those that might assure his conviction. No possible excuse has ever existed
for concealing evidence. Establish sufficient evidence during the course of your inquiry to
assure a conviction when the accused comes to trial.

18.13 Definitions.
A list of commonly used definitions in the U.S. court system is contained in Appendix 18.3.

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Chapter 21: Land Border Inspection (Added INS - TM2)
21.1
21.2
21.3
21.4
21.5
21.6
21.7
21.8
21.9
21.10
21.11
21.12

Land Border Inspection Procedures
Secondary Inspection
Persons Arriving by Common Carrier
Cross Designation
Mexican Border Crossing Cards
Canadian Border Crossing Cards
Use of Form 1-94
Commuters
Northern Border Inspection System (NorBIS)
Secure Electronic Network for Traveler's Rapid Inspection (SENTRI)
Facilities Inspections
Emergency Procedures during Canadian Air Traffic Controller Strikes

References:
INA: Sections

212,235.

Reg ulations:

8 CFR 100, 211, 212, 235.

21.1 Land Border Inspection Procedures.
(a) General. More than 85% of all persons entering the United States each year apply
for admission at land border ports of entry. There are several individual land border
ports where the number of persons processed annually exceeds the total for all sea and
air ports of entry combined.
(b) (1)Land border ports of entry are designated and approved by the Commissioner of
CSP. The ports of entry are divided into three classes, depending upon which
categories of aliens may be processed. [See 8 CFR 100.4(c)(2).]
(2) The great majority of persons arriving at land border ports are residents of the
border area who cross frequently and who are familiar with requirements concerning
their entry into the United States. Consequently, at land border ports of entry a
screening procedure has been established to rapidly inspect applicants for
admission, passing those found readily admissible and referring for further action
those requiring more detailed examination.
(3) Without an efficient primary inspection, it would be impossible to process the
great volume of applicants at large land border ports or utilize manpower effectively
at the smaller ports. The effectiveness of inspections at such ports is entirely
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dependent on the effectiveness of the primary officer. Despite the limited time
devoted to each inspection, primary officers at land borders intercept a high volume
of fraudulent documents and false claims to U.S. citizenship. Officers at land
borders are trained in respective sections of the law pertaining to immigration,
import/export of goods and agriculture in order to conduct an effective primary
inspection.
(4) (A) An effective primary inspection will not only pertain to an officer's keen ability to oral
questioning, but for the officer to be well versed in primary enforcement database systems
as well. (Paragraph (b)(4)revised 11/3/04; CBP 6-04)

(C) Where a passport is not required of an applicant for admission; officers may omit the
passport number and passport issuing country. However, where an applicant for
admission is not required to present a passport, but does so voluntarily, officers must
query the document using the criteria provided in 21.1 (b)(5)(B) above.

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(I) In locations that have biometric verification systems, (equipment that reads a
person's fingerprint and compares it to the print imbedded in the card,) all border
crossing card holders who require a Form 1-94 to complete their entry documentation
must have a biometric verification performed between the card and the holder before
being issued the Form 1-94.

(c) In your role as primary officer, you must rely heavily on your powers of observation.
On the vehicular lanes, as you clear one vehicle and turn to watch the next approach,
you make several determinations in the short time it takes for the vehicle to sto .

In most cases you will
determine almost immediately if you will be referring the vehicle for a secondary
inspection. In other cases, the occupants may initially appear to be admissible, but
their responses to your questions, combined with your observations, may indicate that
further inspection is required. A conversational knowledge of Spanish for officers
assigned to the Mexican border or French, for officers assigned to some Canadian
border ports, is essential.

(e) (1) As a general rule, every person will either present a passport or border crossing
card or make an oral declaration of nationality. An oral declaration for a child may be
accepted from an accompanying adult.
(2) Aliens will frequently attempt entry using fraudulent documents of every
description at land border locations, hoping to escape detection because of the high
traffic volume. A comprehensive discussion of fraudulent documents is contained in
Chapter 17.3. Also refer to discussions of Intelligence functions in Chapter 32 and
tools for detecting fraudulent documents in Chapter 34.

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(g) (1) You must then determine the nationality and admissibility of each applicant for
admission as well as obtain an oral CBP declaration from the operator of each verlicle
and other persons as may be indicated. Based on the answers to questions asked and
your observations of the occupants of the vehicle, you must determine immediately
whether an in-depth inspection is required. If you are satisfied that all of the Federal
requirements have been met, you will admit the vehicle/and or persons.
(2) (A) In determining which oral claims to accept as is, an officer may rely on the
confidence of the applicant's demeanor and English language ability. Veteran
officers rely upon their developed questioning skills, recognition of applicants and
past experience to conduct an effective inspection.
(B) An officer should develop a consistent, systematic approach to the visual
examination and assessment of the validity of a document. Additionally, an
officer should attempt to gain experience with a wide range of counterfeit and
altered documents typical of those presently being used by inadmissible aliens
applying for admission at their particular port of entry. Officers should be
constantly aware of the possibility of concealed aliens and compartment cases,
impostor loads, lead vehicles (guide cars to impostor vehicles).
(C) In determining which applicants to refer to secondary, an officer should rely
on his or her powers of visual observation (i.e., matching the person to the
vehicle). This, combined with strong interviewing skills, familiarity with the
surrounding geography, customs and traditions (especially in determining false
claims to U.S. citizenship.) should help in secondary determination. Quick check
features such as a laminate check, single feature facial identification for
impostors and genuine security checks will aid in the primary inspection.

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(h) (1) Mexican Land Border Ports. At southern land border crossings, the majority of
applicants for admission will fall under the documentary requirements of 8 CFR 212.1 (c). The
frequent border crosser at the southern land border crossings will readily present proof of
citizenship/visa without being asked. Most border crossers are familiar with the documentary
requirements of the INA.

(2) The questions below, in addition to Customs and Agriculture declarations, will aid
an officer in the primary inspection:

(3) The most frequently encountered documents presented at Mexican land border
ports are:
Mexican Passport with visa
Alien Resident Cards/Commuter Resident Alien Cards (1-551)
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Inspector's Field Manual
Stand-alone visa (BBBCC)
Forma TrecelTemporary BCC (in lieu of document, used in place of a passport)
Natu ralization certificate
Birth certificates/State issued drivers license or identification card U.S. passport
"Laser Visa" B-1/B-2 Visa and Border Crossing Card (DSP-150)
(i) (1) At U.S.lCanadian land border crossings, you will often accept oral declarations of
nationality (United States or Canadian citizens) from most applicants for admission
because of the waiver of visa and passport requirements for Canadian citizens. See 8
CFR 212.1 (a). However, documentary proof of Canadian citizenship may be required
to satisfy the immigration officer that the applicant is entitled to enter the United States
and not inadmissible.
(2) A landed immigrant of Canada requires a passport and a valid, unexpired visa to
enter the United States, unless he or she is a national of and presents a passport
issued by a country eligible for the Visa Waiver Program (VWP).
(3) (A) Each adult applying for admission should be questioned as to citizenship.
Never accept a single spokesperson (driver) for an oral group declaration of
citizenship. Questions, such as the following, should help in determining oral claim
admissibility as well as when to require documentary proof of citizenship:

(B) See Chapter 12.3 for a discussion of oral claims as evidence of U.S.
citizenship. (IN98-16)
(C) Common Documents Encountered at Canadian Land Border Ports. Among
the documents you will frequently encounter and should be familiar with are the
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following:
Canadian Passport
Canadian Citizenship Card
Provincial driver's license with a birth certificate (or baptismal birth certificate Quebec)
Canadian Travel Document (issued to Convention Refugees who are
permanent resident of Canada but not Canadian Citizens)
Certificate of Identity (issued to permanent residents of Canada who are
unable or unwilling to get a passport from their country of nationality)
Certificate of Indian Status
Commuter resident alien card
(4) (A) Canada Border Services Agency (CBSA) stamps commonly appear in foreign
passports as an indicator of the date of arrival of the person in Canada and the
authorized length of stay. It is important to determine current status in Canada to
ensure re-admission back into Canada if that is the applicant's intention. The stamp
is usually next to the Canadian Visitor Visa (CW); however, this is not mandatory.
(B) Notes, written by the officer who granted entry, regarding the length of stay
and so forth, may accompany such entry documents.
(C) Generally, a visitor is admitted to Canada for a period of 6 months.
Additionally, on a reciprocal basis (Canada/U.S.A), an applicant who is admitted
to Canada on a one-entry visitor visa will usually be re-admitted to Canada from
contiguous territory within the original authorized period of stay.
(D) Anyone seeking to remain in Canada permanently requires an immigrant
visa. Immigrant visas are issued by Canadian foreign missions abroad in the
same manner as visitor visas. Immigrant visas are issued on a form entitled
"Record of Landing" (commonly referred to as an "IMM 1000"). In actual fact, it
only becomes a Record of Landing once the immigrant has been admitted (or
"landed") by an officer at a port of entry for the first time. The permanent resident
process is similar to that of the United States. (IN98-16)

21.2 Secondary Inspection.
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Inspector's Field Manual
(a) General. Follow established local procedures for referrals to secondary, using 1- 443
referral forms, written notes, or whatever other local system is set up to communicate precisely
with the secondary officer. Where possible, persons suspected of making a false claim to
United States citizenship or suspected of making a fraudulent application for admission should
be escorted to the secondary area and isolated from other persons, to the extent possible, until
the secondary inspector is able to initiate interrogation. Advise the secondary inspector of
statements made to you by the applicant at the initial inspection.
Most secondary referrals will be for routine matters such as the processing of immigrants (see
Chapter 14) and nonimmigrants (see Chapter 15). Matters relating to processing inadmissible
aliens are discussed in Chapter 17. Handling of paroles and other special classes are
discussed in Chapter 16.
Conduct an IDENT query if equipment is available at the port. If it is found that a U.S.
citizen or lawful permanent resident has had problems at the border or with other
agencies, it should be brought to the attention of the agency concerned. (A discussion
of the IDENT program is contained in Appendix 45-1 of the Special Agent's Field

Manual.)
(Revised IN01-21)
(b) Special Procedures for Aliens Not Admitted at Canadian Ports. At a Canadian border
port, if an alien is refused entry and returned to Canada or paroled, execute Form
1-160A, Notice of Refusal of Admission/Parole into the United States. The top copy is
given to the alien for presentation to the Canadian Immigration officials, the second
copy is retained at the port. This procedure is in addition to the procedures described
in Chapter 17, relating to withdrawals and exclusion hearings and in Chapter 16, relating
to paroles. (IN98-16)

21.3 Persons Arriving by Common Carrier.
As with the inspection of persons applying for admission as pedestrians or in automobiles, it is
the policy of this Service and of the Customs Service to have only one officer conduct the
primary inspection for all agencies of passengers arriving on buses or trains at land border
ports. The primary officer refers to an officer of the agency concerned only those persons
requiring detailed secondary inspections.
Persons arriving by ferry are inspected at the landing as though they were arriving at a land
border port. Where ferry passenger are pre-inspected, they can be screened by one inspector
as they enter the loading area, but space must be provided for required secondary inspections.
(IN98-16)

21.4 Land Border Inspection Responsibilities. (Revised 11/3/04; CBP 6-04)
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The main objective of a primary inspector is to determine quickly and accurately whether the
arriving person and goods are clearly admissible and meet all customs, agricultural, and
immigration requirements for entry. To keep traffic moving smoothly, persons or goods not
immediately admissible are referred to other specialized CBP officers for resolution or further
processing, as necessary.
Land border ports are seen as resources of the community in which they are located. Local
news outlets often feature the ports in articles and they notice when changes occur. Ports
function as the connection point with government groups in the neighboring country. Often civic
officials from the community meet with port directors from the U.S. or from both adjoining
countries to clarify government procedures or work on joint projects.
Port managers and officers maintain close liaison with border law enforcement officials from the
neighboring country to complete inspection responsibilities; this includes police forces as well
as immigration and customs officials. Port building projects and equipment installation often
require the ports to interact with CBP facility personnel and GSA.
See Chapter 41.1 for additional information on port liaison activities.

21.5 Mexican Border Crossing Cards. (Revised 11/3/04; CBP 6-04)
(a) General. The term "border crossing identification card," as defined at Section 101 (a)(6) of
the Act, means a document of identity bearing that designation issued to an alien who is
lawfully admitted for permanent residence, or to an alien who is a resident in foreign contiguous
territory, by a consular officer or an immigration officer for the purpose of crossing over the
borders between the United States and foreign contiguous territory in accordance with such
conditions for its issuance and use as may be prescribed by regulations. Such regulations
provide that (1) each such document include a biometric identifier (such as the fingerprint or
hand print of the alien) that is machine readable and (2) an alien presenting a border crossing
identification card is not permitted to cross over the border into the United States unless the
biometric identifier contained on the card matches the appropriate biometric characteristic of
the alien (effective October 1, 2002).
(b) Inspection Procedures for BCC Holders and other Mexican citizens at Mexican Land Border
Ports. At United States/Mexico land border crossings, all aliens, except those specifically
exempt passport and/or visa requirements, seeking admission to the United States are required
to present documentary proof not only of their citizenship, but also of their right to enter the
United States. Mexican nationals, who account for the vast majority of aliens crossing into the
United States across the southern border, do not need to present either a passport or visa if
they are in possession of a valid DSP-150 biometrically enabled border crossing card. Bearers
of Mexican diplomatic or official. passports and their spouses and children traveling with them
do not require a visa for entry into the United States if they are not here for either a diplomatic
or government purpose, and will be here for six months or less. Officials of the International
Boundary and Water Commission, entering in connection with their employment, require only
their official identification for admission to the border area.
Document fraud and impostors are serious problems on the southern border. In order to

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process the large number of people seeking entry in pedestrian lanes within a reasonable
amount of time, inspectors must quickly examine documents presented. The use of document
readers, the biometric verification systems where available, and conducting IBIS queries
provides additional verification that an entry document is valid and belongs to the person
presenting it. The same holds true for vehicular traffic. Often several individuals in a vehicle will
make detailed document identification difficult.

. The maJor! y 0
eXlcans who
oss the border do so frequently. Those who are legal crossers will more often than not exhibit
the presence of mind of someone who is doing something out of habit.
(c)Use of the Mexican Border Crossing Card on the Canadian Border. Occasionally, an officer
at a Canadian land border port will encounter a border crossing card. If the Mexican citizen still
resides in Mexico, and the card is the current edition of the DSP-150, the card may be used for
entry until the date of expiration. However, if the Mexican citizen is no longer a resident of
Mexico, the card may be voided on the grounds that the card requires the bearer to reside in
Mexico.
(d) Issuance Procedures for Border Crossing Cards (Form DSP-150). Effective April 1, 1998,
the Department of State began issuing Mexican Border Crossing Cards, Form DSP-150, B1/B2
Visa and Border Crossing Card (also know as the "laser-visa"). Issuance procedures are set
forth at 22 CFR 41.32.
(e) Revocation. An immigration officer may revoke a Form DSP-150 issued by a consular
officer in lVIexico if the holder is found to be inadmissible. Authority for the revocation is found
at 22 CFR 41.122(h). Cancellation of a DSP-150 requires supervisory approval, must be
recorded on Form 1-275, and the 1-275 is then returned to the issuing consular post.

21.6 Canadian Border Crossing Cards. (Revised 11/3/04; CBP 6-04)
(a) General. Refer to Chapter 21.5(a) above for a general discussion of the term "border
crossing card." Until March 31, 1998, a Canadian citizen or British subject who had permanent
residence in Canada could apply for and receive from the Immigration and Naturalization
Service a Nonresident Alien's Canadian Border Crossing Card. The laminated card (Form
1-185) was issued to facilitate that alien's admission into the United States.
The card was usually issued to persons who had shown rehabilitation or had
otherwise
overcome grounds of inadmissibility (usually criminal) by the previous granting of a section
212(d)(3)(B) waiver; however, any citizen of Canada or British subject who had permanent
residence could apply for and be issued a card. The card was valid until revoked. In cases
where grounds of inadmissibility had been overcome, the alien's file number and the grounds of
inadmissibility that applied were printed on the reverse side of the card.
As Form 1-185 does not meet the definition of a border crossing card in Section 101 (a)(6) of the
Act, it ceased to be issued on April 1, 1998 and cannot be used as a travel document. Form
1-185 issued prior to April 1, 1998, may be accepted as evidence of a valid section 212(d)(3)(B)
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waiver if the card is annotated with the waiver and the waiver has not expired or otherwise been
revoked or voided. With the publication of the regulation titled "Requirements for Biometric
Border Crossing Identification Cards (BCCs) and Elimination of Non-Biometric BCCs on
Mexican and Canadian Borders" on December 2, 2002, CBP may now approve section
212(d)(3)(B) waivers for up to 5 years. Such waivers are now documented on Form 1-194.
(b) Use at the Mexican Border. A Canadian citizen or British subject residing in Canada may
continue to use Form 1-185 as evidence of a waiver granted, provided that the term of the
waiver has not expired, at any U.S. port of entry (although British subjects now also require a
nonimmigrant visa).
(c) Revocation. Form 1-185 may be declared void at a port of entry by a supervisory immigration
officer on the grounds that the holder has violated the immigration laws; is inadmissible to the
United States; or has abandoned residence in Canada.
(Procedures to be followed are set forth at 8 CFR 212.6(d).)

21.7 Use of Form 1-94. (Revised 11/3/04; CBP 6-04)
(a) General. Most Mexican and Canadian land border applicants are exempt issuance of a
Form 1-94 pursuant to the policy described in Chapter 15.1 (b). In addition, aliens reentering
after short trips to Canada or Mexico, as described in Chapter 15.3(b), do not require a new
Form 1-94 if they still hold a valid form issued at a land border port-of- entry during a prior visit.
Each nonimmigrant issued a Form 1-94 at a land border is required to pay the fee prescribed in
8 CFR 103.7, except if the applicant is paroled.
Issue a Form 1-94 to each Mexican nonimmigrant who is otherwise admissible and entering for
more than 30 days and/or going beyond a 25-mile distance from the border or who is entering
for other than visiting for business or pleasure (class B1 or B2) or transit. For those Mexican
nonimmigrants entering through the Arizona ports-of-entry at Sasabe, Naco, Mariposa,
Nogales, and Douglas, a Form 1-94 is only required if the applicant is otherwise admissible and
entering for more than 30 days and/or going beyond a 75-mile distance from the border. Issue a
Form 1-94 to Canadian nonimmigrants entering for other than visits for business or pleasure
(class B1 or B2).
[Rev. IN 00-09]
(b) Multiple entry Form 1-94. Issue a Form 1-94, valid for multiple entries over a specified
period, to any nonimmigrant alien who is otherwise admissible and frequently needs to cross at
land border ports-of-entry. Form 1-94 may be issued to Canadian visitors to facilitate the
inspection process. Upon expiration, the form should not be extended, but canceled and
reissued. Forward multiple entry Forms 1-94 for data entry in the same manner as single entry
forms. Endorse the departure copy of the Form 1-94 with a "multiple entry" stamp on its face;
note the reverse of the form "multiple entry" in the remarks block. [See Chapter 22.7 for
1-92/1-94 forwarding instructions.] If the Form 1-94 is not to be used for multiple entries, the
departure copy should be endorsed on its face with the number of entries for which it is valid,
and the reverse of the form should be annotated accordingly in the remarks block.

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(c) Departure 1-94 forms and other documents. Collection of departure 1-94 forms at land
borders has always been difficult, resulting in inaccurate Nonimmigrant Information System
records. Canadian immigration officials collect some departure documents for DHS, other 1-94
departure forms may be retained by the alien for reentry. Collection boxes for depositing some
departure 1-94 forms are in place at some Mexican border crossings. Whenever a departure
Form 1-94 is found in the possession of an arriving nonimmigrant, unless the form remains
valid, annotate the reverse of the Form 1-94 with the correct departure date, if this can be
ascertained, and the method of departure [See Chapter 15.1 (b)]. Do not endorse the back with
your admission stamp when the new Form 1-94 is issued, as this may indicate an incorrect
departure date. Forward the old departure Form 1-94 and the new arrival Form 1-94 for data
entry. Departure forms collected by Canadian immigration or deposited in collection boxes
should be reviewed to insure departure information is endorsed on the back and regularly
forwarded for data entry. [See Chapter 22.7 for 1-92/1-94 forwarding instructions.]
Occasionally, you may be asked to personally verify departure of an alien. This situation may be
a result of a need for verification of a voluntary departure, compliance with the terms of a bond,
or other reasons. In such instances, verify the identity of the alien and properly endorse and
forward forms being presented. In some instances it may be necessary to take a fingerprint of
the departing alien.
(d) Special procedures for Canadian loggers. Special procedures are in effect for admission of
Canadian loggers entering as H-2B workers within the USCIS Portland, ME district. An 1-129
petition for the woodsmen is filed with the USCIS District Director in Portland, based on a labor
certification for loggers, skidder operators, cooks, or mechanics. The 1-129 is accompanied by
the labor certification specifying the number of woodsmen, the jobs they will hold, and the
proposed port-of-entry.
The Portland office creates a petition number, adjudicates the petition and notifies the
appropriate port of the action taken, number of beneficiaries, petition number and validity dates.
The beneficiaries apply for admission at the specified port, which issues and maintains control
over the single or multiple entry 1-94s and insures the number of admissions on each petition
does not exceed the approved total. The 1-94 forms for such aliens do not get entered into the
NilS database.
(e) Disposition of Forms 1-94. [reserved]
(IN98-16)

21.8 Commuters.
(a) General. Commuters are lawful permanent resident aliens who work in the United
States but reside in contiguous territory. Commutation may be daily or seasonal but
must be, on the whole, regular or stable. Commuter aliens may "commence or
continue to reside in foreign contiguous territory." See 8 CFR 211.5(a). It is not
necessary for commuter aliens to establish a residence in the U.S. and then return to
either Canada or Mexico to assume commuter status. An alien may present for initial

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entry a valid, unexpired immigrant visa at a port of entry that shows an address in a
foreign contiguous country. As long as the alien is otherwise admissible and makes an
entry into the U.S. subsequent to the processing of his/her visa at the port of entry, the
alien may begin his/her lawfully admitted resident alien status as a commuter. There
are two types of commuters, those who commute regularly, normally entering at least
twice a week, and those who enter to perform seasonal work for extended periods, but
whose annual stay in the Untied States is for less than six months. The latter are
referred to as "seasonal commuters", also known as seasonal workers. Resident aliens
physically present in the Untied States for more than six months in the aggregate each
year are not considered commuters.
(b) Inspectional Procedures.
(1) Initial Admission. When an alien presents an immigrant visa for initial admission as
a lawful permanent resident, the inspector should check the accuracy of all information
given on the face of the immigrant visa. All necessary corrections should be made
directly on the visa. After opening the visa packet, check for necessary documentation
required by the assigned immigrant classification. The alien should be questioned to
ascertain if he/she is still eligible for the classification. If not, the alien should be set up
for removal. If the alien is admissible, then the immigrant visa should be routinely
processed.
(2) Conversion to Commuter Status. Once a permanent resident has been identified as
a commuter alien, the alien should file Form 1-90 for a replacement card indicating the
new status of commuter. This will require a completed 1-89 also showing the proper
status. The alien's incorrect Form 1-551 should be lifted and a temporary 1-551 issued to
the alien along with a properly executed Form 1-178. Form 1-178 is used to ensure that
an alien commuter remains eligible for that status by not having been out of
employment in the United States for more than six months, except for circumstances
beyond his or her control. Form 1-178 is endorsed with the alien registration number of
the commuter in the upper left corner. The inspecting officer's admission stamp is
placed in the box directly below the file number.

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ceased to exist.
(3) Reinspection: Every time an alien presents a primary inspector with Form 1-551,
the inspector should personally handle the card. In the course of such examination, the
reverse of the card should be checked to see what the transmittal code of the card is. A
transmittal code of "2" indicates that the card belongs to a commuter alien who is
required to present Form 1-178 along with his/her Form 1-551 at the time of application
for admission. The inspector should request to see Form 1-178 if not presented with the
Form 1-551. Should a commuter alien not be in possession of Form 1- 178, he/she
should be referred to secondary where the reason should be ascertained for not having
Form 1-178. If the alien is in possession of proof of current employment, Form 1-178
should be issued at that time. If 110t, then the alien should be deferred for presentation
of the required proof or issued Form 1-176 and required to reappear at the port-of-entry
with such proof, whichever is more practical.
(4) Identifying Commuters. Identifying lawfully admitted permanent residents who are,
in fact, commuter aliens is a challenge. While some commuter aliens enter through
airports, the vast majority apply for entry at the land borders. The hallmark of
commuter aliens who commute daily or weekly to work in the United States is the
application for entry made at regular recurring intervals, often on the same day of the
week and/or at the same time of day. This is often hard to spot since a given inspector
rarely will have a primary inspection schedule that matches that of any given commuter
alien. However, over time, an inspector can identify patterns of border crossing that will
indicate the possibility that a specific resident alien is, in fact, a commuter. When such
a possible identification is made, the primary inspector should refer the alien to
secondary at which time a deferred inspection, on Form 1-546, back to the port of entry
should be made and the 1-551 temporarily lifted pending completion of the deferred
inspection. The alien should be required to bring documentary proof of his/her current
employment and residence. This proof may be in the form of rent/mortgage receipts,
utility bill receipts, paycheck stubs, or other types of documentation.
Inspectors should remember that residence documentation may be in the name of a
spouse or parent. This is one aspect that makes the identification of commuter aliens
difficult.
(5) Loss of Commuter Status. In addition to loss of employment, commuter status is
lost when a commuter alien begins to reside in the U.S. When the commuter alien
takes up residence in the U.S. he/she may immediately file Form 1-90 to change his/her
status. It is not necessary for the alien to wait six months after having established such
residency. However, sufficient proof must be presented to the inspecting officer to
convince the inspector that the residence is bona fide and not frivolously established
solely to facilitate the receipt of other benefits and entitlements.

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At the time of the filing of Form 1-90, the previously issued Form 1-551 shall be lifted and
temporary evidence of permanent residency shall be issued to the alien. The Form 1-89
shall be filled out to indicate that the alien is now resident within the United States and
is no longer a commuter.
It should also be noted that under 8 CFR 211.5(b) there is an exception to the general
rule that an alien commuter who has been out of regular employment in the United
States for 6 months is out of status. That proviso states in part that 8 CFR 211.5(a)
does not apply if" ... the commuter can demonstrate that he or she has worked 90 days
in the United States in the aggregate during the 12-month period preceding the
application for admission into the United States."
A commuter whose status is in question is not subject to expedited removal under
section 235(b)(1) of the Act. He/she should be referred for proceedings under section
240 of the Act.

Note: Inspectors should be aware that commuter aliens who have lost employment or
been out of work because of an illness or injury, whether eligible for workman
compensation or not, are rarely ordered removed by an immigration judge. Care should
be taken when deciding whether to set up such an alien for removal. Consultation with
a supervisor or district official may be beneficial. Family members of commuter aliens
present additional problems. Such family members living in foreign contiguous territory
with the commuter alien may be U.S. citizens, 81/82 nonimmigrants, or other lawful
permanent residents. When unemployed immediate family members are also lawful
permanent residents, inspection of such family members becomes complicated. It is
recommended that a supervisor or other port of entry or district official be consulted
should an inspector desire to set up for removal a lawful permanent resident immediate
family member of a commuter alien based solely on that alien's lack of employment in
the U.S.

(6) Statistical Reporting. See Statistics Handbook, paragraph 31101 (a)(3), Inspections
Activity Workload Reports, Specific Line and Column Definitions, Primary Inspection
Operations Report Line #3, and Enforcement Activity Report, Line #46.
(IN98-16)

21.9 Northern Border Inspection Systems (NORBIS).
(a) General. The INS and the United States Customs Service (USCS) have developed NorBIS
to enhance security, enforcement, and service along the northern border of the United States.
Designed to use the latest in automation and video technology, NorBIS improves the current
primary inspection process in place for many small, rural, border communities.
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(b) Remote Video Inspection System (RVIS). The INS and USCS have initiated a program
called the Remote Video Inspection System along the northern border. RVIS has been placed
at low-volume, small, remote POEs that were only open for limited hours to extend their hours
of operation. Now, INS and Customs inspectors from larger 24 hour POEs are able to remotely
inspect travelers at the RVIS POE using interactive video, surveillance and control equipment,
and a validation system for PortPASS (See Chapter 31.3 Introduction to Service Automated
Systems) holders. The enrolled traveler must swipe his/her PortPASS card through a card
reader. If the card is valid and there are no alerts, the system instructs the traveler to proceed
into the United States. If the card is invalid or expired, or if there are any alerts, the system
prompts the inspector to continue the inspection manually. The infrequent (not enrolled) traveler
after remote manual inspection by the inspector may either be instructed to cross the border,
referred to a staffed POE for a secondary inspection, or instructed to return to Canada.
(c) Outlying Area Reporting Station (OARS). The enrolled traveler (arriving by small boat or
snow mobile for entry into the U.S. or Canada) swiped his/her Port PASS card through the card
reader. Once identified and validated, the system displays a message on the text display,
instructing the traveler to proceed into the U.S. The non-enrolled traveler simply pushes a
button on OARS that corresponds to the country being entered and is connected to a U.S.
inspector or a Canadian inspector.
(d) Videophone Inspection System. Videophones are located in marinas and docks that are
accessible to the public. The boater simply opens the door and lifts the handset. The boater is
automatically connected to an officer and the inspection begins.

(e) License Plate Readers (LPRs). License plate readers use optical character recognition to
read the license plates displayed on a vehicle as it enters a land border Port of Entry. The LPR
automatically enters the information into the Interagency Border Information System (IBIS) for
use by the inspecting officer or for later historical use.
(IN98-16)

21.10 Secure Electronic Network for Traveler's Rapid Inspection (SENTRI)
While similar to the initiatives on the northern border, the SENTRI program is not subsumed
under NorBIS. SENTRI is an electronic, dedicated commuter lane that enhances the flow of low
risk frequent border crossers through a port of entry while maintaining the security and integrity
of our borders. SENTRI uses a pre-enrollment process and the PortPASS card coupled with a
vehicle-mounted electronic transponder to improve the inspection process and provide a
predictable wait time for entry into the United States. An inspector reviews the information that
appears on the computer monitor, and if no lookout information appears, the vehicle and driver
are allowed to proceed. (IN98-16)

21.11 Facilities Inspections.
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Bridge owners or operators may, pursuant to section 271 of the Act, and 8 CFR 271.1
request inspection of their facility to insure it is properly constructed to prevent illegal
entry of aliens. If a facility has been certified by the district director as adequate, the
owner or operator is not liable for a fine under section 271 (a). The certification may be
revoked, at any time.
If the operator or owner believes the district director's
requirements are too stringent, he/she maya request review by the regional director.
All requests, findings, certifications and revocations shall be prepared formally, in
writing and served by routine service as prescribed in 8 CFR 103.5a . (IN98-16)

21.12 Emergency Procedures during Canadian Air Traffic Controller
Strikes.
See Chapter 22.9(a)(1).

21.13 Entry of Commercial Truck Drivers. (Revised 8/2/05; CBP 10-05)
(a) General. The immigration regulations and policies have long held that alien truck
drivers may qualify for admission as B-1 visitors for business. Two BIA precedent
decisions, Matter of Cote, 17 I&N Dec. 336, (BIA 1980) and Matter of Camilleri, 17 I&N
Dec. 441, (BIA 1980), support the entry of commercial truck drivers as B-1 visitors to
pick up or deliver cargo traveling in the stream of international commerce. These
decisions provide that certain other activities that are "necessary incidents" of
international commerce are also permissible under the B-1 classification. Drivers must
meet all general entry requirements for the B-1 classification, including any applicable
documentary and admissibility requirements.
(b) DHS Regulations and I\JAFTA. The regulations at 8 CFR 214.2(b)(4) codify the
Distribution provisions found in Appendix 1603.A of the NAFTA with respect to the
admission of Canadian and Mexican citizens as B-1 business visitors. The NAFTA
Distribution provision is based on applicable U.S. law, precedent decisions, and
experience with the B-1 classification at the time the trade agreement was negotiated.
The contiguous nature of the United States with Canada and Mexico and the
importance of cross-border transportation prompted the need to develop explicit
provisions regarding distribution of goods and passengers. Acceptable activities for B-1
nonimmigrants under the NAFTA are the same as those allowed for other B-1
nonimmigrants under current DHS regulations, such as delivering or transporting
products. The intent of the Distribution provision of the NAFTA Business Visitor
category is to set forth transparent criteria for the admission of alien drivers transporting
goods or passengers across the border, an activity that is international in scope - it is
not to facilitate access to the domestic labor market. 8 CFR 214.2(b)(4)(i)(E)(1) defines
the distribution activity as:
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Transportation operators transporting goods or passengers to the United States
from the territory of another Party or loading and transporting goods or
passengers from the United States to the territory of another Party, with no
unloading in the United States, to the territory of another Party. (These operators
may make deliveries in the United States if all goods or passengers to be
delivered were loaded in the territory of another Party. Furthermore, they may
load from locations in the United States if all goods or passengers to be loaded
will be delivered in the territory of another Party. Purely domestic service or
solicitation, in competition with United States operators, is not permitted).
(c) Key Principles Relating to Cabotage. Several General Counsel opinions have
addressed certain aspects related to trucking. However, as the transportation industry
grows and evolves, officers are faced with new and unique situations that did not
previously exist and may not have been considered or addressed. Cabotage (carrying
goods picked up at one point in the United States and dropping them off at another
point in the United States), sometimes referred to as point-to-point hauling, is not a
"necessary incident" of international commerce. Although this guidance cannot address
every situation, there are several general principles to keep in mind when determining
whether a trucking movement is a permissible B-1 activity versus an activity constituting
cabotage or unlawful employment in the United States:
(1) The goods must be leaving or entering, and remain, in the stream of international
commerce.
(2) Cargo that has its origin and final destination witrlin the United States generally
moves in the stream of domestic, rather than international commerce. The mere fact
that goods originate from a foreign source does not make such goods "foreign" for
purposes of the immigration laws. The goods must remain in the international stream of
commerce - once they have come to rest, they assume a domestic character, including
foreign goods that undergo a change, alteration, processing, or remanufacturing upon
arrival in the United States.
(3) A driver bringing goods from Canada or Mexico may transport those goods to one or
several locations in the United States, and may pick up goods from one or several U.S.
locations for delivery to Canada or Mexico, but the driver may not load, haul, or deliver
a cargo that has its origin and its final destination within the United States.
(4) The regulation focuses on the transportation of goods from one location to another
and not the place where the goods are manufactured, processed or packaged. While
the origin of the goods may be U. S. or foreign, the driver may not both pick up a
shipment from one location and deliver that shipment to another location within the
United States. Further, a driver may pick up goods in Canada or Mexico, regardless of
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whether they are foreign or U.S. made, and deliver them to a location in the United
States.
(5) The entry of the driver must be for the purpose of an international movement of
goods.
(6) Drivers may not engage in any activity that qualifies as local labor for hire.
(7) As with the application for admission of any nonimmigrant visitor, the burden of
proof remains with the driver to establish eligibility for entry.
(d) Permissible Activities. In addition to the basic international deliveries and pick-ups
discussed above, following are some other permitted movements and activities. These
activities are not all-inclusive, but generally follow the same principles involving
international commerce.
(1) Deadheading trailers. While delivering goods from Canada or Mexico to the United
States, or picking up goods in the United States for delivery to Canada or Mexico,
drivers may deadhead (pull empty) a trailer from one location to another within the
United States, PROVIDED the deadhead trailer is either the one the driver came in with
or the one he or she is departing with. The driver may not haul an empty trailer from
one location to another within the United States (known as trailer spotting or
repositioning) if the driver did not either bring that trailer in or take it out of the United
States. Hauling an empty trailer that the driver does not either enter with or depart with
is considered local labor for hire and alien drivers require employment authorization for
this type of movement.
(2) Driving an empty tractor. Drivers may enter with an empty tractor to pick up a trailer
for delivery to Canada or Mexico. They may drop a loaded trailer from Canada or
Mexico at one location in the United States and then drive the empty tractor to another
location in the United States to pick up a loaded trailer destined to Canada or Mexico.
Drivers may also enter with an empty tractor to pick up a loaded trailer or goods
previously brought from either Canada or Mexico and left at the port-of-entry or a
customs warehouse or lot for government inspection or entry processing, and deliver
that loaded trailer or goods to another point in the United States. The driver must
present documentation or provide verification that the trailer or goods are under
government control and that they originated outside the United States. Since it is the
government itself that is hindering the driver from completing a continuous international
move, this limited exception to the pro~libition on both loading and unloading goods
within the United States is permitted. For example, if further agriculture clearance is
required before goods are delivered further within the United States, then the holding of
the goods is part of the entry procedure and analogous to holding the goods for
inspection at the port-of-entry. The goods remain in the international stream of
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commerce. An alien driver may be admitted to pick up the goods at the port-of-entry or
agriculture hold lot and deliver the goods to another point in the United States, even if
that driver did not originally bring those goods to the United States. However, if
clearance by the government agency is not required before the goods are delivered
further within the United States, the holding of the goods is not part of the entry
procedure. In this scenario, use of an alien driver to deliver the goods from a holding lot
to another point in the United States is cabotage and deemed an impermissible B-1
activity.
(3) Back-Up and Relay Drivers. To promote highway safety or address emergency
situations only, CBP allows certain limited movements that would otherwise be
considered domestic or point-to-point hauling. Back-up or relay drivers employed by
the same company may be admitted as B-1 nonimmigrants in order for drivers to
comply with Federal regulations regarding the number of consecutive hours an
individual is permitted to drive. These relay drivers may drive entirely domestic
segments of an international delivery, provided the domestic portion of the trip is a
necessary incident to the international nature of the trip. They need not enter with the
vehicle, but must enter within a reasonable period of time before or after the vehicle
enters the United States. Drivers entering as relay drivers are considered to be
entering for the purpose of an international movement.
(4) Tractor Replacements. For emergency or safety reasons, an alien driver may enter
the United States with an empty tractor (bobtail) to replace a tractor already in the
United States, such as when the tractor in the United States has broken down, or when
the original driver needs to return to either Canada or Mexico for a medical or other
emergency.
(5) Yard Moves. An alien driver may "spot" or "shunt" an empty trailer (other than the
one he came in with) within a yard or lot only if moving the trailer from one location in
the yard to another is a necessary incident to that driver's international commerce, i.e.
the driver must move the empty trailer out of the way in order to complete an
international delivery to that warehouse door or loading dock.
(6) Trailer Switches. An alien driver delivering goods from Canada or Mexico to a point
in the United States (or traveling in the opposite direction) may meet at a drop yard or
other location and switch trailers with another driver also delivering goods from Canada
or Mexico to a different point in the United States (or traveling in the opposite direction),
so that, for instance, the drivers may make their deliveries closer to their home in
Canada or Mexico, or so that one driver can meet a tighter delivery schedule. Both
drivers must continue in an international move. On the other hand, a driver coming
from Canada or Mexico may not switch trailers with a Canadian or Mexican driver
coming from a point within the United States, when the driver coming from within the
United States will only be returning to another point in the United States. In other
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words, both drivers must either enter or depart the United States with a load.
(7) Necessary Incidents. Drivers may perform activities that are "necessary incidents"
of international commerce, or a necessary function of delivery, such as loading or
unloading international cargo. In addition to loading and unloading, the driver may
participate in activities to safeguard the cargo, as needed. For instance, an alien driver
delivering a portable dwelling (i.e. modular home) or prefabricated parts (i.e. modules)
may unload the dwelling or prefabricated parts and any required supporting or
temporary foundation, including temporary stanchions, shipped with the dwelling to its
delivery point in the United States. However, the alien driver, and any other personnel
admitted as a B-1 visitor who is involved in the delivery, may not engage in building,
construction, or other activities, such as clearing or leveling the site, sealing seams,
installing steps, hooking up utilities, attaching the portable dwelling or prefabricated
parts to the foundation or slab, assembling of the various parts of the portable dwelling
or prefabricated parts, and/or securing them to one another. Drivers may not return to
U.S. job sites to unload, move or affix previously delivered parts of a building.
(8) Alien Drivers Paid by U.S. Carriers. U.S. carriers may hire an alien truck driver to
engage in cross-border trucking activity into and out of the United States. These drivers
may be paid by the U.S. carrier, provided that the alien driver is engaged solely in the
international delivery of goods and cargo to or from the United States. Regardless of
the terms of the hiring or any contract between the U.S. company and the driver, the
alien driver may not engage in domestic carriage of goods without specific DHS
employment authorization. The alien driver must have an established foreign residence
and must affirm that he or she does not plan to immigrate to the United States or
abandon his or her foreign residence. Prior to entry, the driver must obtain any
applicable entry documents.
(e) Activities Not Permitted. In addition to certain prohibitions discussed above:
(1) Drivers may not pick up goods at one U.S. location and deliver those goods to
another U.S. location, except as discussed above. In addition, on January 11, 1999,
the INS issued a memorandum entitled Leasing Agreements Between U.S. and
Mexican Carriers that included paragraphs relating to picking up goods stored in a U.S.
facility pending distribution in the United States. DHS and the courts have since
determined that picking up goods at a storage facility in the United States and delivering
them to another location in the United States, even if those goods entered the United
States pursuant to a pre-existing delivery contract, is contrary to the Distribution
provisions of the NAFTA and the regulations at 8 CFR 214.2(b)(4). Such activity would
constitute cabotage. This chapter supersedes that memorandum.
(2) Drivers may not reposition an empty trailer between two points in the United States
when the driver did not either enter with or depart with that trailer.
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(3) Drivers may not "top up" an international shipment with U.S. domestic shipments.
(4) Drivers may not pick up goods at one location in the United States and travel
through Canada or Mexico to deliver those goods to another location in the United
States, i.e. a driver may not pick up goods in Washington State and then drive those
goods through British Columbia to deliver them in Alaska. That is essentially the same
as a driver picking up goods in Washington State and driving through Oregon to deliver
the goods in California. The determining factor is the action of the driver picking up
goods in one location in the United States and delivering the same goods to another
location in the United States.
(5) Drivers may not directly solicit shipments for deliveries while in the United States.
(f) Disparity with Customs Regulations. In February 1999, the U.S. Customs Service
revised its regulations to permit certain foreign-based commercial vehicles to engage in
transportation of goods between points in the United States, when such transportation
is either immediately prior to, or subsequent to, an international move. W~lile DHS
recognizes the disparity between what is now permitted under customs regulations for
the entry of equipment and goods and what is permitted for the driver under current
immigration regulations, it is important to note that the NAFTA provisions and the
immigration statutes governing the entry of drivers are more restrictive than those
governing customs activities, and do not allow as much flexibility in the regulatory and
policy process. Both the NAFTA provisions and precedent decisions interpreting the
visitor for business statute expressly forbid point-to-point hauling within the United
States by alien drivers. The fact that foreign equipment may be permitted under
Department of Transportation or customs regulations to operate within the United
States in domestic service does not permit the employment of foreign drivers who are
not authorized by DHS to accept employment in the United States. A U.S. carrier that
employs an alien truck driver without appropriate employment authorization to transport
goods that move within the stream of domestic commerce may be subject to civil and/or
criminal penalties under section 274A of the INA.

Chapter 22: Airport Procedures.
22.1
22.2
22.3
22.4
22.5
22.6
22.7

General
Inspection Systems
Primary Inspection Procedures
Secondary Referrals
Inspection of Air Crewmembers
Processing Arrival Manifests and Flight Logs
Departure Manifest Procedures
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22.8 Progressive Clearance
22.9 Emergency Procedures during Canadian Air Traffic Controller Strikes
22.10 Inspection of International-to-International (ITI) Transit Passengers (Heading
changed 11/17/98; IN99-04)

References:
INA:

Sections 212,231,232,233,234,235,251,252.

Regulations:

8 CFR 212,231,232,233,234,235,251,252.

22.1 General.
Aircraft arriving from foreign territory are inspected at ports-of-entry designated in 8
CFR 100.4(c)(3) under authority contained in section 234 of the Act. Although the total
volume of passengers is small by comparison to the that of land borders, the inspection
process is considerably more complex, reflecting the diverse nature of the persons
seeking admission to the United States. Personnel assigned to airport inspectional
duties are generally funded by the Inspections User Fee Account, from revenue
generated by a $6.00 per-person charge paid by each arriving passenger through a
surcharge to their airline ticket price.
Congress, in enacting the User Fee statute, also mandated that the agency improve the
level of inspectional service by reducing waiting times at international airports. In order
to insure full compliance with the intent of Congress, the Service has established
inspector-to-passenger ratios as a guide to help insure waiting time for arriving
passengers does not exceed 45 minutes. [See section 286(g) of the Act.] The normal
staffing levels are: one inspector per 45 passengers on flights which are all aliens, one
inspector per 100 passengers on flights which are all U.S. citizens and returning
residents and one inspector per 60 passengers on mixed flights. Of course, in many
locations multiple flights arrive for inspectional area during the same time period.
Inspectors who are on duty should not be withheld from primary inspection simply
because of these ratios.
A complete list of ports-of-entry for arriving international aircraft is included in 8 CFR
100.4(c)(3). Ports-of-entry are designated by the Secretary of Treasury. Ports-of -entry
for the arrival of aliens by air are designated by the Commissioner of INS. [See section
234 of the Act and 8 CFR 234.4.] Pursuant to 8 CFR 234.2, unless permission is
granted by the Office of Field Operations, aircraft arriving from Cuba must arrive at one
of these three locations in the United States:
•

John F. Kennedy International Airport, Jamaica, New York
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•
•

Los Angeles International Airport, Los Angeles, California
Miami International Airport, Miami, Florida

22.2 Inspection Systems.
In years past, inspection of arriving air passengers was separately conducted by various
inspectional agencies: Public Health, Immigration, Customs and Agriculture. Over time, several
interagency agreements have resulted in a variety of consolidated inspectional procedures.
The variations among airport Federal Inspectional Services (FIS) work areas at different
airports reflect this evolution. As a result of these physical FIS differences, there are some
differences in local inspectional procedures, although the inspectional requirements of the
Service remain essentially unchanged.
The current inspectional process, used at all new facilities, includes an INS-staffed primary
inspectional area with Interagency Border Inspection System (IBIS) terminals, located in front of
the baggage claim area. The immigration officer completes a primary inspection, including IBIS
query, for all agencies and refers to each agency any secondary cases, according to
agreed-upon criteria. A Memorandum of Understanding between INS and Customs which was
signed on October 17, 1990, and serves as a guideline for interagency cooperation and
procedures at airports, is reproduced as Appendix 22-1.
There are a number of special programs in place which will result in variations in the
inspectional procedures. Each of these programs is designed to facilitate the inspection
process or improve its effectiveness. Although some may be referenced in this chapter, they
will be discussed in more detail in Chapter 26.

22.3 Primary Inspection Procedures.
(a) An airport primary inspector performs a series of procedures to quickly complete the
admission of readily admissible persons and the detection and referral to secondary of
those needing further questioning or more involved processing.
The primary
immigration inspector conducts an inspection for immigration purposes, including a
lookout query for all agencies in the Interagency Border Inspection System (IBIS).
(b) A primary officer determines identity, examines the applicant's travel documents,
and completes immigration primary inspection of various categories of aliens and
citizens, including execution of Arrival/Departure Record, Form 1-94, for admissible
nonimmigrants. Detailed procedures for completing inspection of U.S. citizens and
each category of nonimmigrant and immigrant are discussed in Chapters 11-16.
(c) (1) During the primary inspection, the inspecting officer shall ensure that the
passport number for each applicant for admission who presents a passport (with the
exception of a returning resident alien in possession of an Form 1-551 or temporary
evidence of such, Re-Entry Permit or Refugee Travel Document) is queried in
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IBIS/Advance Passenger Information System (APIS) as part of the primary query.

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passport numbers contained in the TEeS record have been reviewed.

(d) (1) In cases where no APIS record relating to the applicant has been transmitted,
the primary IBIS query shall consist of the Applicant's Last Name(s), First Name(s),
Date of Birth, and passport number, or A-number (entered into the document # field).
In cases where an APIS record relating to the applicant has been transmitted, but the
record does not contain document number information, the APIS record must be
modified to include the applicant's correct passport number, or A-number (entered in
the document # field after the record is selected for modification).
(2) Regardless of whether an APIS record relating to the applicant has been

transmitted, when either the biographical page of a machine readable passport or a
machine readable nonimmigrant visa is scanned on primary, the system
automatically incorporates the passport number into the primary query, and modifies
the corresponding APIS record, if necessary. When an 1-551 or temporary evidence
of such, Re-Entry Permit or a Refugee Travel Document is scanned, the system
automatically incorporates the A-number into the primary query, and modifies the
corresponding APIS record, if necessary.
(3) When manually entering the passport number on primary, if the passport has a
perforated number, inspectors shall enter this number into the document # field on
primary. If the document does not have a perforated number, the individual booklet
number that is preprinted at time of production (as opposed to the number added at
the time of issuance) shall be entered. If the document has neither a perforated
number nor a pre-printed booklet number, the inspecting officer shall enter the
in
the
passport/document
number
field
on
the
number
found
biographical/photograph page of the passport. In the latter case, the "passport
number" is typically located in the Machine-Readable Zone (MRZ) and is also the
number transmitted to IBIS via the APIS.
(4) When APIS provides passenger information, the inspecting officer must confirm
that the data contained on the biographical page of the passport and the APIS data,
including the passport number, are the same. The inspector must modify any
missing, partial, or incorrect information and perform another IBIS query. Where
APIS provides a passport number, or the passport number is queried by scanning
the MRZ through a document reader, inspectors need not perform a second query.
This is the only exception to the above mandate.

(5) For all IBIS queries, officers must enter, at a minimum, the first and last name;
date of birth; passport number and issuing country. Officers may omit the passport
number and passport-issuing country where a passport is not required of an
applicant for admission. However, where an applicant for admission is not required
to present a passport, but does so voluntarily, officers must query the document
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using the criteria provided above.
(6) There are several, different IBIS screens commonly used for conducting IBIS
primary queries, including:

(7) There may be other screens used to perform queries during primary inspection
or in secondary inspection offices. The above examples are intended to highlight
the fact that the location where the passport number is queried may appear
differently on various screens, but nevertheless, it must be queried.
(e) (1) For those locations that do not currently have access to IBIS (i.e., seaports, ferry
landings, private aircraft and vessel landings, and other remote locations), the Director,
Field Operations (DFO) must make arrangements for IBIS to be available in those
locations.
(2) One way to make IBIS available in these remote locations is by phone-in
queries. Regional, district and port of entry managers will compile a list of phone
contacts within the region, district, and area port jurisdiction, where queries can be
phoned-in from these remote sites on a 24 hours, 7 days per week basis (24x7).
Field managers must provide the contact list to officers performing inspection duties
at remote locations to facilitate phone-in queries. The contact lists should give the
officer multiple contact options and must include back-up contact numbers as well to
ensure that 24x7 coverage is established and maintained.
Optional contact
locations might include:

•

A secondary inspection office at any 24x7 port of entry;

•

Existing regional or district-command or operations centers with IBIS access;
or,
Ports of entry where officers perform 24x7 port security duties.

•

(3) Field managers will provide a means for officers receiving phone-in queries to
establish that they are speaking with an officer performing inspections and will
ensure expeditious processing for all phoned-in queries, bearing in mind that the
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officer at the remote site is performing a primary inspection. Some ways to verify
the identity of the caller include (but are not limited to): alerting the receiving office
prior to the inspection that a call will be coming, the calling officer should provide
their port-code and stamp number, and the name and duty location of the calling
officer can be confirmed via cc:mail.

(f) (1) In emergent circumstances, where locally developed primary or back-u
contacts are unavailable to run a query, the

have
managers must ensure t at 0 icers conducting Inspections a . ese r
access to suitable communications devices, at all times, to enable officers to phone-in
the IBIS query and that they are in good working order.
(2) Officers processing passengers at these remote locations should search IBIS, in
the Inspection Operation Passenger Information screen, for APIS data submitted by
private, ferry and cargo carriers. Where APIS is provided, the inspecting officer
would need to ensure that APIS data is accurate and complete at the time of
inspection. The inspecting officer would only need to phone-in queries for missing
or incorrect APIS data.
(3) The use of the phone-in query procedure will remain in effect until portable IBIS
devices are distributed, and officers have these devises available for use during
primary inspection. In cases where there is an IBIS system outage, or it is otherwise
unavailable, officers will continue to resort to the Portable Automated Lookout
System (PALS). Because PALS does not contain lists of all lost or stolen blank
passports, it should be used only in the absence of access to IBIS, including
phoned-in IBIS queries.

(g) (1) Procedures for Computer System Failures. The following clarifies and
documents the standard operating procedures to be followed in circumstances where
the primary system, IBIS, becomes unavailable at ports of entry. All officers performing
inspectional duties are required to be proficient with IBIS, to include the APIS, and all
other systems available, e.g., National Automated Immigration Lookout System (NAILS)
and PALS, which support the inspectional process. These procedures must be
followed in sequential order when access to the IBIS database is unavailable. All
system problems and outages must be reported to the CBP Help Desk at (703)
921-6000.

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1\11..,. ... 11 ... 1

(6) Local ports of entry are encouraged to establish their own system of backup
contacts to process IBIS, NAILS, and PALS queries. These plans should be
forwarded to Field Office for consolidation.

22.4 Secondary Referrals.
The inspector must quickly identify passengers who may not be admissible or whose inspection
will require additional time. The primary inspector must communicate with the secondary officer
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via IBIS, concerning the basis for referrals. Local procedures for referral to the secondary
areas for each inspectional agency may vary. Generally, each of the procedures discussed in
Chapter 17 would be conducted in the secondary area. In addition, most paroles, new
immigrant, and refugee admissions are handled as secondary functions because of special
stamps required.

22.5 Inspection of Air Crewmembers.
(a) General. At most airport facilities a separate booth is designated solely for inspection of
crew members. In some locations, this function may be conducted by a secondary officer. The
inspector handling the crew will usually also be designated to receive Forms 1-92,
AircraftNessel Report and the crew list on either an International Civil Aviation Organization
General Declaration or Customs Form 7507, and often has responsibility for closing out the
flight paperwork, as discussed below. The paperwork is normally presented by an airline
ground agent or a member of the crew. Before the agent or crewmember leaves the area, the
inspector should review the paperwork to insure that necessary information, such as total
number of passengers and crew and flight arrival or block time, has been provided. The
separate alien and citizen numbers are not required until after the flight is closed out and Forms
1-94 are tallied. If there is missing information, such as a missing crewmember's name, the
inspector should advise the ground agent or purser to make the necessary changes to the
declaration.
Although air crewmen are subject to the same conditions which apply to crewmen arrivin
vessels there is a lesser enforcement
air po 5-0 -en ry I IS e genera prac Ice to expe Ite the admission of arriving crewmen.
There is no objection to this practice so long as inspection of arriving passengers is not delayed
simply to expedite crewmen. Waiting passengers should not be asked to step aside so that
crewmen can be inspected. The crewmen must wait until the inspection of passengers already
in the booth is completed. Under no circumstances should the arriving passengers be left with
the impression that crewmen come first.
(b) Passport, Visa and Form 1-95 Requirements for Nonimmigrant Air Crew. Each arriving
alien crewmember must present a completed Crew Customs Declaration, a valid passport with
a "0" visa (except as discussed below) and Form 1-95. Exceptions:
(1) Crewmembers who are Canadian citizens are exempt a "0" visa, but require a Form
1-95;
(2) Mexican crewmembers on the Mexican National Airline, Mexicana, are exempt both
a passport and a "0" visa if they present a Mexican "Aeronautical Card"; and
(3) Crewmembers in possession of Form 1-184 do not require a Form 1-95.
(c) U.S. Citizen and Resident Alien Crew. U.S. citizen crewmembers must have a valid
passport only if arriving after travel outside the western hemisphere.
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crewmembers may travel on Form 1-551. Resident alien crew ordinarily would not be employed
on the same flights as "0" crewmembers. Do not stamp passports of U.S. citizens or returning
resident crewmembers unless asked to do so.
(d) INSPASS and crewmembers. The INSPASS inspection process is also available to air
crew. This means that some crew will not be inspected in the regular crew booth. Verify
through Customs that crew members who were not inspected in the crew booth submitted a
Crew Customs Declaration at the crew Customs booth.
(e) "Deadheading" Crew.
"Deadhead" crewmembers are air crew members who enter as
passengers or non-working crew on board a regular flight or "positioning" aircraft. They are
generally entering solely for the purpose of joining the working crew of an outbound flight.
Although ordinarily a C-1 visa is appropriate in such circumstances, a B-1 visa is also
permitted. At some ports, such crewmembers may be added to the general declaration and
admitted as 0-1. In all other circumstances, working crewmembers may be classified only as
0-1 or 0-2.
(f) Clearance of Certain Air Cargo Crewmembers. (1) A clearance may be granted for
certain air cargo crewmembers to an onward port-of-entry when the initial stop in the United
States is a refueling/technical stop. However, the clearance must have the approval of the local
Federal Inspection Service (FIS) agencies.
(2) If the FIS Agencies' approval is granted, the air cargo crewmembers will be inspected at
the onward U.S. port-of-entry in accordance with FIS regulations and procedures. The INS
port director or his or her representative granting approval is responsible for telephonically
contacting the onward port-of-entry to confirm the FIS agencies' clearance approval at the
onward port-of-entry.
(3) This clearance for certain air cargo crewmembers does not apply to flights arriving from
or transit through the following countries:
Afganistan, Egypt, Malaysia, Pakistan,
Phillippines, Saudi Arabia, Somalia, Sudan, United Arab Emirates, and Yemen.
Crewmembers on flights arriving from or transit through these countries must be presented
to INS and Customs for full inspection at the first port-of-entry.

22.6 Processing Arrival Manifests and Flight Logs.
(a) Forms 1-92 & 1-94. Once the last passenger from the flight has been cleared, complete the
citizen/alien counts on the Form 1-92. The alien count will be the tally of all Forms 1-94 collected
for the flight. The citizen count includes U.S. citizens and any others who do not require a Form
1-94. The Form 1-92 should also contain the number of U.S. citizen and alien crew inspected.
After the flight count has been finalized, re-sort Forms 1-94, segregating those for F-1, M-1,
TWOV, VWP and departure. Bundle remaining 1-94 forms with the form 1-92 for the flight.
Forward all Forms 1-94 and 1-92 for data entry as described in Chapter 22.7.

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(b) 1-577. Every INS airport inspectional facility is required to maintain a Daily Air Passenger
Inspection Log, Form 1-577, containing key information about each arriving aircraft. Most often,
this is maintained in the crew booth or secondary area by the crew inspector, secondary
inspector or supervisor. The log contains key information concerning the passenger load,
arrival and inspection times, and number of inspectors assigned. [See airline codes in Appendix
22-2.] A complete, accurate log is necessary, since the Service is often required to respond to
inquiries regarding flight delays and manpower on duty. Frequently, you will be required to
process more than one flight simultaneously, somewhat complicating obtaining the flight
opening and closing times. Enter flights on the log in order of arrival, to the extent possible.
Ports with multiple terminals or separate cargo facilities may maintain multiple daily logs.
Flights are generally expected to be cleared in less than 45 minutes. Mark the flight log, in the
left hand margin, "DLY" whenever passenger inspection exceeds 45 minutes. In addition,
follow local procedures for adherence to the national policy for reporting such delays or other
unusual situations affecting the inspection. Do not include clearance times for large groups of
TWOV passengers or refugee groups in the passenger processing time for a flight. Note that
the first passenger time (FIRST PAX) time on Form 1-577 should be the time that the first
passenger enters the inspection room and not when the flight paperwork is presented to the
crew inspector. If the passengers are detained on the aircraft due to congestion in the
inspection area, add to the inspection time the minutes elapsed between blocking and the
actual commencement of inspection. (Strictly speaking, this does not allow for the time it took
for the passengers to proceed from the aircraft to the FIS area, normally counted as time
between block time and first passenger.) The last passenger time (LAST PAX) is the time
when the last passenger from the flight clears primary inspection. This may be an estimated
time if there are multiple flights in the inspectional area at the same time. The flight closing
time is the time when the last passenger has cleared both primary and secondary.
(c) APIS flights. When entering the number of primary inspectors on duty for an APIS flight,
include only those assigned to "Blue Lanes," or actually engaged in inspecting the APIS flight.
When completing the 1-577 for an APIS flight, mark an "A" in the right hand margin of the flight
log next to the flight. If a flight is ordinarily an APIS flight, but was not processed using APIS,
note the right hand margin "NA" and explain the reasons for not using APIS on the reverse side
of the log.
(d)

Overtime billable flights.

Flights arriving between 5:00 p.m and 8:00 a.m and:

(1) are not scheduled (do not appear on the INS flight schedule), or
(2) flights which arrive one hour or more off schedule
are billable for overtime charges only if there are INS officers working overtime during the time
of inspection. Identify billable flights on the 1-577 by circling the block time for the flight in red.
(e) Manifests for Precleared Flights. Enter all Precleared flights on the 1-577, listing passenger
and crew counts as "0", unless inspection of either is required.

22.7 Departure Manifest Procedures.
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(a) General.
Air carriers are required to submit departure manifests, ordinarily within 2
working days of departure, as specified in 8 CFR 231.2. The port-of-entry is responsible for
reviewing and sorting the departure forms and forwarding them for data entry. In addition, ports
must obtain departure flight schedules and insure manifests are received for all scheduled
departing flights. Unlike arrival forms, departure 1-94 forms do not have to be separated,
except for TWOV forms (I-94T). Promptly (not to exceed 3 days from receipt at airports with
permanent staff, 7 days at other locations) forward all forms 1-92 and 1-94 in accordance with
Appendix 15-8
(b) Special TWOV 1-94 Handling Requirements. Form 1-94T is the primary document used to
determine if a TWOV violation has occurred. Although the TWOV carrier has responsibility for
submission of a complete and accurate form for each passenger, Service officers must monitor
performance to ensure compliance and for completing the shaded blocks on the form.
Some carriers will ask for INS port officials to sign a receipt for departure 1-94T forms,
separately turned in from other departure forms. When signing such a receipt, advise the
carrier, orally or in writing, that such a receipt does not relieve the carrier from responsibility for
proper completion of the departure information. The receipt is merely an acknowledgment that
the forms were submitted. Improperly completed departure forms should be sent to the
contractor for data entry. The contractor will identify forms with missing departure information
and notify the National Fines Office of the possible violation of section 231 of the Act. Port
officials should not recommend fines in such situations.
Date stamp each departure Form 1-94T directly below the admission number with the Service
date of receipt. Forms 1-94T should be sent for data entry via overnight express, to avoid
needless notices of intent to assess liquidated damages. Forward in accordance with Appendix
15-8.
(c) Issuance of a Receipt for 1-94 Forms Received from Carrier. When submitting 1-94
departure records, some carriers may request that a receipt be signed or stamped to
acknowledge the submission. If the Service later alleges that a particular departure
record was not submitted, the carrier may be able to prove otherwise and avoid a fine
under Section 231 (b) by providing a copy of the Service-endorsed receipt. Therefore,
ports of entry should be sensitive to the requests of carriers with regard to receipts for
1-94 departure records.
When endorsing a receipt for Forms 1-94, the receiving officer should draw a diagonal
line through any unused spaces on the receipt. The receiving officer should then make
a copy of the receipt for retention in a local office log (using the same retention
schedule as for other Service correspondence). This important step protects the carrier
from any potential questions regarding possible additions subsequent to endorsement,
as well as protecting the Service from potentially fraudulent receipts.
If you have questions regarding these receipts, please contact Senior Fines Officer
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Michael 0 Jones at 202-305-7018 or via ccMail.

22.8 Progressive Clearance.
Some flights have been approved to deplane some passengers and crew at one port-of-entry
and the remainder at an onward port. In such instances, the agent will deliver two Forms 1-92
to the first port of entry. If you are at the first port, record on the flight log and one copy of the
1-92 only the number of passengers and crew cleared at your port. Indicate on the second 1-92
the number of passengers and crew which remained on board. Stamp the second 1-92 with
your admission stamp and return it to the agent, to be turned in at the second port. At the
onward port, the agent will deliver the 1-92 stamped by the first port, indicating the number of
passengers and crewmembers which should be inspected. Complete the inspection, 1-92 and
flight log, including only those persons inspected at your port. Occasionally, there may be
domestic passengers who boarded at the first port, but who are not SUbject to inspection at the
onward port. Such passengers should be airline employees, "deadheading" crewmembers or
their families. Such persons are not to be included in the flight log or 1-92. [See 8 CFR 231.1 (c)
for authority and conditions of progressive clearance and Chapter 42.8 discussion of
progressive clearance approval.]

22.9 Emergency Procedures during Canadian Air Traffic Controller Strikes.
(a) The following guidelines and emergency procedures will be placed in force at the direction
of Headquarters in the event of an air controller work stoppage in Canada.
(1) Passengers destined to the United States from Canada will be accorded inspection at
preclearance locations in Canada and bused to the United States.
They will be
accompanied by an airline representative or guard together with a memo from the INS
supervisor in Canada stating the number of passengers inspected and boarded on the bus.
In this situation, no inspection will take place at the port-of-entry.
(2) Passengers destined overseas from Canada will be transported on buses from the
Canadian airport to an airport in the United States. On arrival at a land port-of-entry, the
airline representative accompanying the passengers will provide a list containing the names
of all persons on the bus to the INS or Customs officer. The bus then may be allowed to
proceed to the United States airport of embarkation where the airline representative will
provide the list (second copy) of the names of all persons aboard the bus. An INS or
Customs officer will observe the boarding of the flight and make a head count for
comparison with the listed names. In the alternative, when the airport is close to the
port-of-entry, an INS or Customs officer may escort the bus to the airport and observe the
boarding. No inspection will be accorded at the port-of-entry or the airport in this situation.
(3) Passengers arriving at a United States airport on a Canada-bound flight will be accorded
All other
full inspection if destined to the United States and inspection is requested.

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passengers will not be inspected, but will be transported on buses and escorted to Canada
by airline representatives. These flights will be met at the U.S. port of departure by an INS
or Customs officer who will then proceed to Canada. In some jurisdictions, the passengers
will be inspected by Canadian officials at the border and in others, at Canadian airports of
destination. In either case, Canadian officials should furnish a list (second copy) of the
names of persons inspected to his United States counterpart at the port or at the airport in
Canada (preclearance post).
(4) Passengers traveling from one point in Canada to another point in Canada via a flight
entirely within the United States will be bused to U.S. airports through ports-of-entry. The
airline representative accompanying the passengers will furnish the port-of-entry with a list
of names of all passengers and the port-of-entry will make a head count and furnish this
information to the U.S. airport of embarkation. An INS or Customs officer will observe the
boarding of the flight and take a head count. The inspector will then furnish the head count
and other flight information to the United States airport of debarkation. Each flight will be
met at the U.S. airport of debarkation by an INS or Customs officer who again will observe
the boarding of buses and make a head count. The buses will then proceed to Canada
where airline representatives will furnish Canadian officials with a list of the names of all
persons (second copy of the list provided the port-of-entry) transported.
(b) All carriers transporting passengers to and from U.S. airports for flights that usually originate
or terminate in Canada under the provisions of guidelines 2 through 4, must be signatory to a
Form 1-426 agreement. Carriers not signatory to a Form 1-426 agreement should be given a
reasonable opportunity to enter into an agreement with the Service. If no agreement is entered
into, those carriers not signatory shall be precluded from transporting passengers in the manner
prescribed in paragraphs 2, 3, and 4 of these guidelines. Every carrier must be reminded that
under the provisions of the Form 1-426 agreement, liquidated damages may be assessed for
each passenger transported who fails to depart in accordance with the provisions of these
guidelines.
(c)
Employees of carriers whose flights normally operate from Canadian airports are not
authorized to be stationed at U.S. airports to conduct routine duties or to perform routine
maintenance and aircraft servicing functions. A limited number of supervisory employees may
be admitted in 8-1 status for the purpose of advising and observing operations of personnel
under contract to handle maintenance, janitorial services, ticketing, and reservation services.
Mechanics and maintenance personnel may be admitted in 8-1 classification to perform
emergency mechanical services. They should not be admitted to be stationed at U.S. airports
in anticipation of a need for their services. The admission of airline personnel under 8-1
classification should be controlled by issuance of Form 1-94. The airline employee should be
instructed to surrender the original copy of Form 1-94 to a United States immigration officers at
the time of departure from the Unites States.
(d) It is anticipated that specific problems not covered in these guidelines will present
themselves. As such problems present themselves, the Regional Office concerned should
coordinate with Headquarters to resolve them.

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(e) These guidelines are established to apply to air carriers who regularly provide air service to
and from Canadian airports and are precluded from doing so due to a work stoppage. The
guidelines are not meant to apply to new routes or supplemental service being inaugurated
after a work stoppage has commenced.

22.10 Inspection of International-to-International (ITI) Transit Passengers
(Heading changed 11/17/98; IN99-04)
(a) General. Changes to the Act as effected by the Illegal Immigration Reform and Immigrant
Responsibility Act of 1996 (IIRIRA) require the inspection of all international-to-international
(ITI) passengers (formerly known as in-transit lounge (ITl) passengers). Section 235(a)(3) now
reads that "[a]1I aliens (including alien crewmen) who are applicants for admission or otherwise
seeking admission or readmission to or transit through the United States shall be inspected by
immigration officers"
(b) Procedures.
(1) International-to-international passengers shall be inspected but not admitted to the
United States. This inspection should be conducted at the In-Transit lounge (ITl). If this is
not feasible, the port director or district office manager shall contact the appropriate deputy
assistant regional director for inspections to provide justification for not using the ITl and to
make alternative arrangements in keeping with the overall goal of facilitation of the ITI
operation.
(2) The transit passenger inspection (TPI) shall consist of a visual examination of ITI
passengers during the transfer process at the port-of-entry. This does not require an
examination of each passenger and their travel documents. Questioning of ITI passengers
and examination of travel documents shall be done selectively and on a random basis but
should not interfere with the overall facilitation of the ITI operation.
(3) The POE's shall dedicate sufficient resources at the ITI inspection locations to maximize
facilitation and law enforcement while ensuring inspector safety and security without
adversely affecting the inspection of passengers seeking admission to the United States.
(4) Carriers are not required to present for inspection ITI passengers or crewmembers who
remain on board the aircraft.
(5) Ports-of-entry shall report to the Office of Programs, through channels, any significant
implementation problems, including adverse effects on the 45 minute inspection
requirement and/or on resources, with any of the above inspection requirements.
(6) Ports-of-entry need to obtain and record accurate ITI passenger counts. Carrier
representatives should be questioned regarding ITI passengers counts upon presentation of
the AircraftNessel Report, Form 1-92. This refers to passenger counts only and not to

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biographical data. The figures reported on the G-22.1 are for planning purposes and for
use in discussions with the carriers.
(c) Carrier Responsibilities.
Carriers signatory to Immediate and Continuous Transit
Agreements (with provisions for control of uninspected passengers and In-Transit Lounge Use),
also known as ITL agreements, will be allowed continued transit privileges of ITI passengers
until further notice. [ See also Chapter 42.2.] Management officials at each port-of-entry with a
transit lounge should work closely with air carriers using the transit facilities to ensure the
Service receives sufficient advance information about transit passengers who will use ITI
facilities. Such information includes date and time of arrival, flight number and an estimate of
the number of ITI passengers.

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Chapter 23:Seaport Inspection.
23.1
23.2
23.3
23.4
23.5
23.6
23.7
23.8
23.9
23.10
23.11
23.12
23.13
23.14
23.15
23.16
23.17
23.18
23.19

General
Exceptions to Inspection Requirements
Inspecting Cargo Vessels
Inspecting Cruise Ships
Payoff and Discharge of Crewmembers
Refusals
Deserters and Abscondees
Stowaways
Mustering
Revocation of Landing Permits
Performance of Longshore Work by Crewmembers
Parole of Alien Crewmembers
Vessels Remaining beyond 29 Days
Ship Intelligence Cards
Departure lVIanifests
United States-Based Fishing Vessels
Vessels Serving on the Outer Continental Shelf (OCS)
Asylum Claims by Vessel Crewmembers or Stowaways
Special Interest Vessels/Non-Entrant Countries

References:
INA:

Sections 212,235,251,252,253,254,255,256,257,258,273.

Regulations:

8 CFR212, 235, 251, 252, 253, 258; 22 CFR41.41, 41.42.

23.1 General.
(a) (1) Inspection of passengers and crewmembers in a seaport environment differs
significantly from airport or land border inspection. Many of the procedures have been
only slightly modified from inspectional procedures developed many years ago, before
the advent of commercial airlines.
Most vessels inspected nowadays are cargo
vessels, with only crewmembers on board. Passenger vessels are predominantly
cruise ships, with most passengers beginning and ending their trips in the United
States. Cruise ship inspection, involving a large volume of U.S. citizen passengers and
crewmembers who may have made several entries in just a few weeks, is handled
either upon arrival or en route, using a relatively small inspection staff. Cargo vessels
are inspected in port or "in-stream," based on arrangements made by the vessel's
agent.
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(b) A list of ports of entry for arrival of international vessels is included in 8 CFR
100.4(c)(2). The Commissioner of U.S. Customs and Border Protection designates and
approves the inspection of aliens at such ports of entry for international arrival.
(c) Primary sea inspection procedures.
inspection procedures.

See Chapter 23.3 of the IFM for primary

(g)
In-stream boardings.
In-stream boardings can be more hazardous and
time-consuming, and are typically used when a ship will be at anchor for a prolonged
period prior to docking or will proceed to a docking facility which is distant from the
major port area. Such boardings are generally arranged to accommodate the needs of
the vessel's operator, at the convenience of the government. A boarding party,
consisting of CBP officers and the ship's agent, meet the ship at a prearranged
anchorage, using a tug, launch, or helicopter, as arranged by the agent. The inspecting
officer must exercise judgment in deciding whether the boarding conditions are safe or
whether the inspection should be delayed until docking.
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(h) Dockside inspections. Dockside inspection of vessels is arranged by the shipping
agent. Inspection must be complete before any other activities commence, such as
cargo off loading, conducting business with ship chandlers, etc. Ordinarily, the CBP
inspectors are at the dock when the ship's gangway is lowered and are the first to
board. Others waiting to do business should be directed to refrain from such activities
until the inspection is substantially completed, to avoid interference with the clearance
process. Ships are usually in port for a limited time, incurring substantial charges for
stevedores and other related activities.
It is critical that the Federal inspection
procedures are promptly and efficiently handled to avoid needless delays and increases
to these costs.
(i) En route inspections. (1) General. Because of the large volume of passengers and
crew on many cruise vessels and the rapid turnaround time required for off loading
passengers from one cruise and loading for the next, cruise lines may request that CBP
conduct the immigration inspection while the ship is en route from the last foreign port
back to the United States. This type of inspection, while both cost-effective and
customer-service oriented, is subject to scrutiny by the media as well as internally, since
the prolonged presence of the inspector on a cruise vessel can easily give the outward
appearance of being improper acceptance of a gift by a government employee.
Because of this risk, policy on the conduct of en route inspections has been strictly laid
out and must be followed in every detail. Following 9/11, en route inspections were
suspended. Directors of field operations may authorize en route inspections on a
case-by-case basis after an assessment of local security and risk factors.
(2) Carrier requests for en route inspectional services. All requests for en route
inspection service must be submitted by the carrier or agent to the director of field
operations having jurisdiction over the first port of arrival. Requests must be in
writing; they must be prospective in nature; and they must specify the circumstances
requiring an en route inspection. Under no circumstances maya request be initiated
by a CBP field office. Each request must specify the detailed reasons why an en
route inspection is being requested and contain sufficient details to enable the
director to determine if an en route inspection is the best and most cost-effective
inspectional procedure.
(3) Criteria for providing en route inspectional services. In situations involving long
cruises (defined as any cruise where one or more inspectors perform official duties
on board a cruise ship and away from their official duty station for more than 24
hours), directors shall consider en route inspections on a case-by-case basis (each
sailing of a cruise ship on a specific date). The use of a consolidated request is not
appropriate in such cases. Consolidated requests are limited to one-day cruises
and may be submitted monthly, to coincide with the calendar month. Such
consolidated requests shall list the days of the month on which the cruise ship is
sched uled to operate.
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The director of field operations shall review the request and base his or her decision
on one or more of three factors:
•

Availability of on-duty personnel

•

Availability of adequate dockside inspectional facilities

•

Minimization of overtime expenses

En route inspections shall not be conducted if reasonable and cost effective
alternatives exist for conducting the inspection dockside. Scheduling of CBP
inspectors performing en route inspections shall be done in a manner which
maximizes their use during duty hours.
If, due to unique circumstances, a director of field operations believes that an en
route inspection is warranted notwithstanding the fact that it does not satisfy one of
the requisite factors, he or she may seek an exception by submitting a written
request to Headquarters Office of Field Operations. Such request shall contain an
in-depth justification which shall be considered and evaluated by Headquarters.
Delegation of authority for approval of en route inspections shall not be below the
level of port director.
(4) Documentation of en route inspection. Approval of en route inspection requests
must be documented. A separate Form 1-856, the En Route Cruise Inspection
Report, must be prepared for and completed by each officer conducting such
inspection. The authorizing section of the form must be completed in advance and
signed by the official who approves and authorizes the en route inspection. The
remaining portions of the 1-856 are to be completed by the inspecting officer. Each
1-856 must be reviewed by the official who authorizes the inspection to ensure the
inspection was conducted in a manner consistent with the managerial objectives
discussed above.
Officers conducting en route inspections are also required to have travel orders. In
item 5 of the G-250, indicate the minimum amount of time necessary to complete
the en route inspection. In item 6, indicate: "en route inspection" followed by the
name of the cruise ship, shipping line and ship's agent. In item 7, transportation,
reflect the means of transportation most cost-effective for the government. This
means that the transportation should provide the maximum number of working
hours for assigned personnel to complete the inspection. Down time, overtime and
actual transportation costs to the foreign port where the inspector boards the vessel
should be minimized. Employees are prohibited from sailing out on assigned ships
when less costly means of arriving at the foreign port are available. Also note item
7: "See item 12." In item 8, the itinerary shall clearly state the location in the U.S.
from which travel begins, the means of transportation to be used for departure from
the U.S., the foreign port to which the employee is destined, the last foreign port
from which the vessel will depart for the U.S. and the means of transportation to be
used in returning to the U.S. (normally the assigned cruise ship). In item 12, include
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the following language: "All transportation, travel, lodging, meals and incidental
expenses necessary for completion of this assignment are the responsibility of the
cruise ship line and/or its designated agents." In item 13, indicate: "Appropriated
funds not authorized."

(5) Record keeping requirements. Documentation relating to approved en route
inspections shall be maintained in a subject file at the field office. Documents within
the file shall be maintained on a fiscal year basis and shall contain, at a minimum,
all approved en route inspection requests, all Forms 1-856 and all discrepancy
memoranda. Such files shall be maintained for a five-year period and shall be
readily available at any time during this period of audits which may be conducted.
Travel authorizations (Forms G-250) for en route inspections shall be separately
maintained in chronological order. The suffix "(E)" shall be included in the
authorization number, for example: "97-MIA-(E)-001."
Unusual delays or other discrepancies in the performance of an en route inspection
shall be documented in writing in memorandum form to the appropriate regional
office. Any corrective actions proposed or taken by managerial personnel shall also
be referenced by memorandum.
(6)
Commencement of en route inspection. Officers are prohibited from
commencement of the inspection until the vessel is actually en route, i.e., free from
moorings and under its own power
(7) Program monitoring. Directors shall institute local procedures for monitoring the
conduct of en route inspections. Officers conducting such inspections shall be given
periodic refresher training on the ethical standards which employees must uphold in
the performance of their official duties. Instruction on the standard schedule of
disciplinary offenses and penalties for employees shall be included in this refresher
training. The importance of the role which local supervisors and managers play in
the maintenance of ethical standards, both their own and that of their subordinates,
shall also be emphasized. Local procedures shall be established to closely monitor
en route inspection activity. These procedures shall be designed to facilitate early
detection of procedural improprieties and prohibited practices. Procedures used to
achieve these goals include the initiation of locally designed monitoring activities
and procedures as well as information-sharing liaison activities between CBP
officials and cruise ship line representatives. A positive public relations posture
regarding these issues is a responsibility of all local supervisors and managers.
First-line supervisors play a vital role in assuring that en route inspections are
conducted in a cost effective manner. Information relating to assigned work
schedules, actual hours worked, the numbers of passengers and crew inspected
and the most cost efficient use of salary and overtime resources should be retained
by each field office and provided to Headquarters officials upon request. This
information should also be considered when making en route assignments and
monitoring such activities.
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Inquiries shall be conducted in all instances in which management personnel
become aware of noncompliance with en route inspection policies and procedures.
Such inquiries shall be conducted by one or more management officials who are at
least one managerial level above the managerial official who authorized the
inspection. Written inquiry results shall be forwarded, through channels, to the
director of field operations. In situations where such inquiry reveals that CBP policy
has been violated, directors of field operations shall institute appropriate corrective
action, including disciplinary action, if warranted.
Headquarters shall promptly be notified of all instances of noncompliance and
apprised of corrective or disciplinary actions proposed or taken with respect to such
incidents. Unusual circumstances affecting the conduct of en route inspections,
such as those which would attract media attention or congressional interest should
be reported promptly.
(8) Presence of family members on en route inspections. It is prohibited, pursuant
to 18 U.S.C. 201 (c)(1)(B), for accompanying family member or friends of CBP
officers conducting en route inspections to travel with the employee either for free or
at a substantially discounted fare not available to the general public. Such fares
constitute benefits of value, which would not be received, were it not for the position
and authority of the officer to inspect passengers and crew. Further, 5 CFR
2635.202(a)(2) states that employees shall not, directly or indirectly, solicit or accept
a gift because of the employees official position. Also, 5 CFR 2635.502(a) prohibits
employees of the federal government from participating in a matter which would
cause a reasonable person to question such employees' impartiality.

23.2 Exceptions to Inspection Requirements.
(a) General. Statute requires the inspection of every arriving passenger and crewmember
upon arrival in the United States. See section 235 of the Act and 8 CFR 235.1. Service policy
interpretation provides some clarification regarding persons whose comings to the U.S. are not
treated as "arrivals," thereby not requiring inspection. Service policy excludes the following
from the ordinary inspectional procedures:
(1) Any person, including an alien crewman, passing through the Panama Canal on board a
vessel which enters and clears at the Canal port only to transit, refuel, or to land
passengers or crewmen for medical treatment, shall not be regarded as coming from a
foreign port solely by reason of such passage;
(2) Any person, including an alien crewman, on board a vessel which after arrival at a U.S.
port-of-entry passes the Great Lakes seaway en route to another U.S. port and which
enters and clears at points in Canada only to transit the seaway, to refuel, or to land
passengers or crewmen for medical treatment, shall not be regarded as coming from a
foreign port solely by reason of such passage;

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(3) Any person seeking to enter the U.S., including an alien crewman, on board a vessel en
route from one U.S. port to another U.S. port shall not be regarded as coming from a

foreign port solely by reason of the vessel's stop at Freeport, Bahamas, for bunkering only;
(4) Any person, including an alien crewman on board a vessel en route to the U.S. solely
for bunkering purposes or an aircraft en route to the U.S. solely for refueling purposes, who
does not seek to enter the U.S., shall be regarded as not arriving for purposes of
immigration; and,
(5) Any crewmember previously inspected and permitted to land, continuing to serve as a
crewmember on board a cruise vessel which has been inspected within the preceding 90
days and who has not spent an aggregate of more than 29 days in the U.S. since his or her
last inspection, unless the master or agent requests such reinspection or unless, in the
discretion of the district director, more frequent inspection is warranted.

(b) Limited Inspection of Great Lakes Vessels. Inspection of certain vessels of U.S., British, or
Canadian registry plying the Great Lakes is limited. Refer to 8 CFR 251.1 concerning manifest
requirements and 8 CFR 252.3 concerning inspectional requirements.
(c) Vessels Traveling to International Waters. Under interpretation of current INS and
Department of State regulations, sailing from a United States port into international or
foreign waters, without a call at a foreign port, does not satisfy the foreign departure
requirement. Therefore, alien crewmembers onboard lightering vessels, certain fishing
vessels, cruises to nowhere, or any vessel that sails from a United States port and
returns without calling a foreign port or place, has not departed the United States.
Crewmen onboard vessels that sail from a United States port into international waters,
return to the United States, and have not touched a foreign place within 29-days of the
vessel's initial arrival (in the United States from a foreign place), have remained beyond
their authorized period of stay.
This provision does not apply to fishing vessels in Guam that sail to international
waters. Pursuant to Public Law 99-505, such a vessel is considered to have departed
the United States.
The inspecting officer's authorities regarding coastwise vessels, including (but not
limited to): performing musters, revoking shore-passes or granting 29-day vessel
extensions, remain unchanged. These topics are addressed in Chapter 23.9, Chapter
23.10 and Chapter 23.13, respectively, of this field manual.

23.3 Inspecting Cargo Vessels.
Following are the general steps which you must take to complete inspection of a cargo vessel.
(a) 1-418 Review. The master, agent, or other official will have prepared, in advance, Form
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1-418, Passenger List-Crew List, with the names and biographic data for each member of the
crew. A separate 1-418 is required for any passengers and stowaways. The master is required
to make a notation on the crew list indicating whether or not members of the crew will be
performing any longshore work and the exceptions under which any such longshore work will
be performed. [See 8 CFR 251.1 for exceptions and proper notations.] Often, the list will have
a "0" visa placed on it by an American Consulate, unless individual members of the crew have
their own visas. Each crewmember's name should be checked in the Portable Automated
Lookout System (PALS), or IBIS (if it is available). As each crewmember enters for inspection,
use the "Inspection Status" column to enter the action taken during inspection: "ARC" or "R/P"
for returning residents, "USC" for citizens, the appropriate visa symbol for each nonimmigrant
(0-1 or 0-2), "Refused" for persons detained on board, or "Parole" for aliens paroled. Also
indicate any "A" number obtained during inspection. Place a line stamp or the written notation
'Above crew inspected at arrival' on the first available blank line following the last listed
crewman.
(b) Visa and Passport Waivers. If a visa is required, and neither individual nor crew list visas
are presented, consider eligibility for a visa waiver. See visa requirements in Chapter 15.3.
Often, crew list visas cannot be obtained because the ship received orders to sail for the U.S.
while at sea or because the ship sailed from a port where there was no U.S. consulate. If there
is a valid reason for failing to obtain the necessary visa, execute a waiver on Form 1-193,
Application for Waiver of Visa and/or Passport, collecting one fee for the entire crew list [See
procedures described in Chapter 17.5.]. If there is no valid reason for failure to obtain a visa,
detain the crew, following procedures described in Chapter 23.7. No fine proceeding is
appropriate in either instance. The Department of State does not need to be advised, either in
advance or after the fact, concerning crew list visa or individual passport waivers for
crewmembers, since a blanket concurrence agreement between INS and DOS already exists
for this situation.
(c) Inspection of Admissible Crewmembers. Each individual crewmember must appear for
inspection, with every nonimmigrant presenting a passport or seaman's book, if required, and
Form 1-95, Crewman's Landing Permit or Form 1-184, Crewman's Landing Permit and
Identification Card (laminated card issued prior to 1976) [See nonimmigrant passport
requirements in Chapter 15.2.]. Once you are satisfied of the admissibility of a crewmember,
line stamp (date, port, and inspector number) the reverse of a previously issued 1-95 (make
sure it is for the same vessel) , or execute the admission block on a new 1-95, using a 0-1
stamp and line stamp for each new crewmember or returning crewmember whose prior 1-95 is
damaged or has no endorsement space remaining on the reverse. If the crewmember has
been granted a waiver of inadmissibility, note the grounds of inadmissibility in the admission
block of the 1-95. United States citizen merchant seamen will normally carry a "Z-card"
(Merchant Mariner's Document), an identity card issued by the Coast Guard, in lieu of a
passport. A lawful permanent resident alien may also be issued a Z-card with his/her "A"
number on the reverse of the card; however, a lawful permanent resident alien must also
present a Form 1-551 or reentry permit. Verify the continuing lawful resident status before
admitting a returning resident. Return the 1-184, Z-card, 1-551 or endorsed 1-95 as you inspect
each crewmember, but retain the travel document of any 0 crewmember for the ship's master.
Note the block on the 1-418 indicating action taken, as described in paragraph (a) above.

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(d) Family Members of Crew Included on Crew List. You may encounter persons listed on the
1-418, even a visaed 1-418, who are not bona fide crewmembers. These are often spouses or
children of ship's officers and may be listed as "supernumeraries," "stewardesses" or other
such occupations, but are not essential to the operation of the ship. Unless such persons are
regular, paid crewmembers they cannot be admitted as such, regardless of the fact that a
consular official may have visaed a crew list including their names [See Matter of MIT
Rajendra Prasad, 16 I&N Dec. 705 (BIA 1979).]. Such persons are to be separately
manifested, inspected as passengers and admitted or paroled following the procedures for
inspection of other vessel passengers and as described in Chapters 11 through 16. They may
be granted a visa waiver on a discretionary basis if they do not hold a valid nonimmigrant visa
or are improperly included on the crewlist visa. Inadmissible passengers are handled in
accordance with procedures in Chapter 17. Consider section 273(b) fine proceedings,
described in Chapter 43.
(e) Passengers on Cargo Vessels. On occasion, you will encounter passengers on board a
cargo vessel. Follow inspectional procedures for passengers on cruise vessels, described
below in Chapter 23.4. Note that although cargo vessels are not generally signatory to the Visa
Waiver Program, since they are not typically engaged in the transportation of passengers,
inspectors should check the current list of carriers signatory to the VWP. If the carrier is not
signatory, then passengers, even those from VWP countries must possess appropriate valid
visas. (Revised IN99-09)
(f) Receipt for Crew List. Complete the "RECEIPT FOR CREW LIST" area of Form 1-418 by
assigning a unique 1-418 Receipt Number in the appropriate block. This receipt number will aid
in later matching the updated departure copy of the 1-418 to the arrival copy. The format for an
1-418 Receipt Number, as outlined above the block, consists of: the 3-letter port code; the
current date [YYMMDDj; the inspecting officer's stamp number and; the current time in military
format.
1-418 Receipt Number Example: A vessel arrives at the port of New York (NYC) on March
12, 2002, and the inspection is completed at 9:45 PM by an inspector with stamp number
565. The Receipt Number would be: NYC-020312-565-2145.
Advise the master of his obligation to notify the nearest INS office of proposed crew changes,
desertions, illegal landings, or suspicious crew activities which may indicate a planned
desertion. Provide a copy of the 1-418 to the master or agent. Review the 1-418 to insure that
all crewmembers have been inspected and the manifest properly noted. Collect arrival Forms
1-95, and other documents submitted with the manifest or prepared during your inspection.
Return all crewmembers' travel documents to the master with a copy of the 1-418. This copy
will remain on the vessel and serve as a "traveling manifest," to be updated as appropriate until
the vessel departs the United States, at which time the updated copy will serve as the vessel's
departure manifest.

23.4 Inspecting Cruise Ships.
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(a) Crewmembers. Procedures for inspecting the crew of a cruise ship are essentially the
same as those for cargo vessel crews, although the crews are considerably larger. Because of
the frequency of admission and the size of the crews, Service policy provides for a relaxation of
the ordinary inspection procedures for returning crewmembers on such vessels. See Chapter
23.2(a)(5), above. A separate manifest or addendum to the manifest will be provided by the
master, containing the names of crew who must be inspected. Once crew inspection has been
completed, issue Form 1-410 in the same manner as for a cargo vessel.
A member of the crew of a vessel may not be admitted in any other capacity, even if he or she
holds another type of visa. However, a "deadhead" crewmember, one who is not listed in the
ship's articles and did not perform duties as a member of the crew during the vessel's voyage to
the U.S., may be inspected and admitted as a passenger.
(b)
Passenger Inspection.
Except where an en route inspection has been arranged,
passengers will be inspected after docking. Some port facilities have a passenger terminal,
with inspection booths provided similar to those at airports. In either case, there are often a
large number of passengers requiring inspection in a relatively short time span. The master or
purser of the vessel will provide a manifest, usually on Form 1-418, of all passengers. A lookout
query is required of all passengers, either at the time of arrival or in advance, using APIS. To
minimize inspection time, U.S. citizen passengers who departed on the same cruise vessel are
not required to report for inspection, but should be briefly examined upon disembarkation. An
oral declaration of citizenship is usually sufficient, unless further inquiry appears warranted. All
other passengers must appear for inspection by an immigration officer, at an appropriate
location on the ship provided by the master, with any required passport, visa, or Form 1-94. As
each passenger appears, note the manifest with the action taken, as described in Chapter
23.3(a), executing Forms 1-94 as necessary. Once all required passengers have appeared and
been inspected, coordinate with Customs to authorize departure from the ship. Inadmissible
passengers are processed as prescribed in Chapter 17. Prepare Form 1-92, AircraftNessel
Report and bundle it with the 1-94s collected during the inspection. Forward these for data
entry. Passenger lists on Form 1-418 are no longer retained after inspection [See Chapter 22.7
for 1-92/1-94 forwarding instructions.].

23.5 Payoff and Discharge of Crewmembers.
(a) General. Crewmembers who are leaving a vessel to return home or to join another vessel
may be permitted to land as 0-2, if required information is available at the time of inspection, or
they may be granted a change to 0-2 status later, after being permitted to land as 0-1. In the
latter instance, ordinarily the ship's agent will bring the alien and required documentation to the
INS office for processing. Local policies may restrict hours and other conditions for processing
0-2 requests. Application is made in accordance with the requirements stated in 8 CFR 252.1
and the instructions on Form 1-408. When reviewing the documentation, ensure that the alien
has a confirmed transportation ticket to leave the U.S. or a written notification of acceptance by
the master of the vessel which he or she will join. Upon approval, endorse a new 1-95 and
collect the previously issued 0-1 Form 1-95 (do not collect Form 1-184). Ensure that the
separation date for the crewmember is reflected in the "Date Separated" column of the vessel's
copy of 1-418. Return the first and third copies of the 1-408 to the master or agent, one to be

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filed with the vessel's departure manifest, the other to be retained by the master or agent.
Route the second copy to the port of arrival address on the 1-418. If there is reason to believe
that a crewmember will not comply with the terms for departure indicated in the 0-2 request,
deny the request and revoke the conditional landing permit, following the procedures described
in Chapter 23.10.
(b) Exception for Certain Crewmembers Rejoining a Vessel. Ordinarily, a 0-1 crewmember
serving on a vessel is expected to depart with the same vessel from each U.S. port, unless he
or she obtains 0-2 status. However, with permission from the ship's master, a crewmember
can depart the ship and rejoin it at another U.S. port, without obtaining 0-2 status, if neither the
vessel nor the crewmember will depart the U.S. and the crewmember will rejoin the vessel
within his or her initial period of 0-1 permission to land.

23.6 Refusals.
A decision to refuse a crewmember is not reviewable; your decision as the inspecting
officer is, for all practical purposes, final. Occasionally, the master or other ship's officer
may advise you of crewmembers whom they suspect are likely to abscond. Consider
this information carefully when making your decision whether to permit landing or to
detain the crewmember. Although local policy in some offices is to detain "first-trippers"
new crewmembers on cargo vessels, as high-risk applicants, this is not Service policy.
A decision to detain should be based on clear, articulable facts. If you refuse a landing
permit for any reason, endorse the 1-95 (Conditional Landing Permit) with the "Refused"
stamp and the code "P" for invalid passport, "V" for invalid visa, "M" for malafide
crewmember, or the appropriate subsection of section 212 of the Act for inadmissible
aliens. Return a copy to the master or agent. Enter the alien's name on Form 1-418
(Arrival Manifest) and void the alien's 1-184 (Alien Crewman Landing Permit and
Identification Card), unless the refusal is solely based on passport or visa validity. Note
the action taken on the 1-418. Prepare and serve the master or agent with Form 1-259
(Notice to Detain, Remove, or Present Aliens). Retain one copy of the 1-259 to be
included with the other paperwork for the vessel. In all cases where any of the crew
have been refused a landing permit and ordered detained on board the vessel,
notification shall be sent to the onward port. Notification shall be sent to the onward port
as soon as possible after completion of the ship inspection by faxing the Form 1-418.
The Form 1-418 shall be faxed prior to the vessel's estimated time of arrival at the
onward port. Also, fax all pertinent information on issues related to the vessel or the
crew of which the onward port should be aware.

23.7 Deserters and Abscondees.
(a) An "abscondee" is a crewmember that has been refused a landing permit and ordered
detained on board, and who departs the vessel without permission.

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(b) A "deserter" is a crewmember who has been granted 0-1 or 0-2 status and a landing
permit, and who does not depart when required.
(c) Immediately upon being notified that a crewman has deserted or absconded, relay the
information relating to the deserter or abscondee to the appropriate local law enforcement
personnel (including City Police, Harbor Police, State Police), the appropriate ICE office
responsible for recovering the crewman, the local Border Patrol Office, U.S. Coast Guard and
to the Federal Bureau of Investigation (FBI) at the port where the desertion took place. Prepare
a Report of Deserting Crewman, Form 1-409 for every deserter or abscondee. Appropriately
annotate the Form 1-418 (Arrival Manifest Form 1-419 Shi Intelli ence Card) indicating that
the crewman absconded or deserted.

Open an "A" file,
an place all pertinent information in the "A" file. Make copies of documents necessary to
support a fine recommendation, if applicable. Initiate fine recommendations utilizing Form 1-849
(Report to National Fines Officer of Possible Violation of the INA), as appropriate.
(1) In the event the vessel has not departed, collect the deserter's or abscondee's travel
documents from the master of the vessel, including Form 1-95 (crewman landing permit). Obtain
a sworn statement containing the facts surrounding the incident from the master of the vessel,
the vessel agent and/or any other persons who have information regarding the incident, and
conduct a search of the abscondee's or deserter's cabin.
(2) In the event the vessel has sailed coastwise prior to the discovery or the report that a
crewman has deserted or absconded, immediately contact the CBP office at the next port of
call, advise them of all information related to the abscondee or deserter. The office at the next
port of call shall obtain a sworn statement from the appropriate crewmembers and conduct a
search of the abscondee's or deserter's cabin, and collect the deserter's or abscondee's travel
documents, and forward the information to the agencies (ICE and Border Patrol) having
jurisdiction over recovering the abscondees or deserters, as well as reporting all of the
information to the local law enforcement (including City Police, Harbor Police, State Police),
U.S. Coast Guard and to the FBI in their area.
(3) In the event the vessel has sailed foreign prior to the discovery or the report that a crewman
has deserted or absconded, collect the deserter's or abscondee's travel documents from the
local shipping agent, if available, and obtain a statement from the local shipping agent and any
other individuals that may have information related to the desertion and forward to the agencies
having jurisdiction over recovering the aliens.
(d) In all cases where any of the crew have been refused a landing permit and ordered detained
on board the vessel, notification shall be sent to the onward port. Notification shall be sent to
the onward port by faxing the Form 1-410 (Receipt for Crew List). The Form 1-410 shall be faxed
prior to the vessel's estimated time of arrival at the onward port. Also, all pertinent information
or issues related to the vessel or the crew that the onward port should be aware of shall be

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faxed.
A Significant Incident Report (SIR) will be prepared on every case where a crewmember has
deserted or absconded.
(e) Initiation of Security Procedures. In a concerted effort to ensure that crew detained aboard
vessels do not abscond and pose a possible threat to the security of the port, the Service will
work jointly with the U.S. Coast Guard at the sea ports-of-entry to insure that proper security
exists to "reduce potential opportunities" (see paragraph (a) of this chapter) for deserters and
abscondees. The Service will follow the procedures below to coordinate its security efforts with
the local U.S. Coast Guard Captain of the Port (COTP).
After CBP (local PAU and/or NTC) has received and processed crew lists through the law
enforcement databases and is fully satisfied that crewmembers do not pose any security risks
to the United States, the U.S. Coast Guard will be advised that CBP does not have any
information that raises initial security concerns about that vessel, in terms of the Coast Guard
approving the vessel to enter or dock at the port. When making a determination whether a
crewman may pose a "security risk" the following factors should be considered:

If the CBP identifies security concerns, CBP will withhold the inspection of the entire crew until
such time that the CBP receives written notification from the agent, owner, or master of the
vessel stating that sufficient security services have been arranged to ensure the security of the
vessel during its entire stay in port. (The cost for this security is to be borne by the agent,
owner, or master of the vessel.) At that time the CBP will advise the U.S. Coast Guard that it is
prepared to inspect the crew.
If sufficient security cannot be provided, CBP will notify the COTP. The Service will request that
the COTP forward a letter to the owner, agent, or master requiring that the vessel remain
outside the port area. In those instances where a vessel is permitted to proceed to port and,
upon CBP inspection or any time during the vessel's stay in port, it is determined that certain
crew pose a security risk to the United States, the COTP may be asked to exercise its authority
in the issuance of a letter requiring immediate departure of the vessel, unless acceptable
security measures have been promptly provided to ensure that all detained individuals remain
on board the ship.
(f) Standard Operating Procedures for Detained Crew Coastwise Vessels. When Forms 1-259,
Notice to Detain, Remove, or Present Alien; I-410, Receipt of Crew List; or, 1-418, Passenger

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List and Crew List, are received from a previous port indicating that a vessel will arrive
coastwise with detained crew on board, a copy of both forms should be faxed to the Coast
Guard's Marine Safety Officer (MSO). In addition, onward port officials (CBP, ICE and USCG)
should be notified when enhanced security has been required at a prior port.
Upon receipt of these forms, CBP may request written notification from the agent, owner, or
master of the vessel stating that sufficient security services have been arranged to ensure the
security of the vessel during its entire stay in port. If sufficient security cannot be provided, CBP
will notify the COTP. CBP will request that the COTP forward a letter to the agent, owner, or
master requiring that the vessel remain outside the port area.
When the COTP letter is received, a copy of the letter and a copy of the Standard Operating
Procedures Security Services for Detained Crew (see paragraph (g) below) should be faxed to
the agent of the vessel. The agent for the vessel is then required to notify CBP when guard
service has been arranged.
When notification has been received from the agent and a determination is made that the
arranged security is acceptable, CBP will forward by fax and/or e-mail a letter to the MSO
notifying him that the vessel will be in compliance of the COTP letter when the ship arrives. A
copy of the letter from CBP will also be forwarded to the vessel's agent for his information.
Each port-of-entry should maintain a folder for each vessel for which Forms 1-259, I-410, or
1-418 are received.
(g) Guidelines. A copy of the following guidelines should be made available to the contracted
security company. All relevant points-of-contact and phone numbers should also be provided.
Contracted security assigned to provide security services are to ensure that only those
crewmembers authorized to disembark are allowed to do so. CBP will identify to the security
services each alien crewman who must be detained on board. Contracted security assigned to
provide security services at vessels on which CBP has detained crewmembers are to ensure
that:
Any attempt to disembark a vessel by crewmembers not authorized to land shall be
reported immediately to local security services (facility guard posts, facility managers),
the CBP, ICE the United States Coast Guard, the Federal Bureau of Investigation, local
police department(s), and the vessel's agent.
Questions related to whether a particular crewmember is allowed to disembark shall be
forwarded to the ship's agent and, if necessary, CBP.
Non-crew may, with proper identification, leave the vessel. This may include vendors and
service providers contracted to the ship (i.e., stevedores, agents). A visitor's log shall be
maintained of all persons leaving or joining the ship.
The CBP and/or the U.S.Coast Guard shall conduct random checks of security services and
inadequate security services may result in initiation of administrative penalties against the agent

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and/or the vessel and may result in a determination that the contracted security service cannot
be used for future crew detention.
(h) Sample letter to U.S. Coast Guard.
The following sample format may be used as notification to the U.S. Coast Guard:
Pursuant to your Captain of the Port Order dated
, 2003, to the vessel
, the vessel's agent,
, has made adequate security arrangements to
ensure the security of the vessel and its crew while in
. The agent
shall ensure security at the vessel and shall contact U.S. Customs and Border Protection
(CBP), U.S. Immigration and Customs Enforcement, the United States Coast Guard
(USCG), the Federal Bureau of Investigation, and the
Police
Department in the event of any attempt by unauthorized crew to disembark. CBP has
notified the agent that the disembarkation of unauthorized crew shall result in the initiation
of fines against the vessel and/or its agent by CBP and notification to the USCG for initiation
of administrative and/or criminal penalties as appropriate.
If additional information is required, please contact [INSERT OFFICER'S NAME], CBP officer,
at [INSERT PHONE NUMBER]. Thank you in advance for your assistance in this matter. We
look forward to working closely with you to address national security issues.
Sincerely,
Port Director
[INSERT NAME OF PORT]

23.8 Stowaways.
(a) General. An alien stowaway is inadmissible to the United States and is not entitled to a
hearing or review of an order to remove. [See section 235(a)(2) of the Act and 8 CFR
235.1(d)(4).]
An alien stowaway may be ordered removed on the vessel or aircraft of arrival, or the master
may request that the stowaway be removed from the vessel and repatriated by other means of
transportation. Often, this is requested for reasons of great importance to the carrier, including,
but not limited to:
The health of the stowaway;
Maintaining insurance coverage (often if several stowaways are on board, a vessel may
exceed capacity and be considered by insurers to be unseaworthy, and so would lose
insurance coverage);

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Maintaining the safety and welfare of the crew (especially if the number of stowaways
exceeds the number of crew);
Sanitary conditions cannot be maintained for the stowaway;
The vessel's departure is delayed for repairs or the vessel goes into dry-dock;
The stowaway is a minor or female;
The vessel is discharging cargo and going off charter and cannot obtain a new charter
because the new charterer will not assume a vessel with stowaways aboard;
The vessel is of U.S. registry and is not departing the United States;
The vessel will not be returning in the near future to the port where the stowaway
boarded the vessel.
Removal of the stowaway by other means should be favorably considered when the removal
may be accomplished expeditiously and the carrier has made, or will make, the necessary
transportation arrangements, including obtaining any necessary travel documents. Although the
statute places responsibility for obtaining travel documents with the carrier, when necessary,
the Service may assist the carrier in obtaining travel documents. See 8 CFR 241.11.
An "A" file must be prepared for all stowaways encountered. If an "A" file does not exist, one
shall be opened. To determine if an "A" file exists, a query of the Central Index System (CIS)
should be made. If there is an existing "A" file, all documentation shall be placed in a temporary
"A" file. Prepare Form 1-213, Record of Deportable/Inadmissible Alien, and take a photograph of
the stowaway. Fingerprint the alien using three sets of criminal cards (FD-249). Forward the
first set of fingerprints to the FBI Identification Division. Forward the second set of prints to the
Biometric Support Center in accordance with the procedures set forth in Chapter 18.9. Retain
the third set of fingerprints and copies of all documents for inclusion with the other paperwork in
the "A" file. Post a lookout in the National Automated Immigration Lookout System (NAILS).
If the stowaway is to be removed on the vessel of arrival, detain him or her on board using
Form 1-259. Appropriate safeguards (guard service escort, letter from the shipping agent
guaranteeing the stowaway will depart when required, etc.) must be in place and annotated on
the Form 1-259 to insure that the stowaway does depart the United States. Prepare an 1-94
endorsed "Stowaway--refused, detained on board."
If the stowaway cannot be removed immediately, any detention pending removal, other than
that incidental to the actual removal, must be in Service custody, at the expense of the owner of
the vessel or aircraft of arrival. If extended detention is required pending removal, be sure to
ascertain that detention space is available before granting permission to remove by alternate
means. Serve Form 1-259 on the master or agent of the vessel or aircraft. Appropriate
safeguards (guard service escort, letter from the shipping agent guaranteeing the stowaway will

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depart when required, etc.)
stowaway does depart the
detained by INS pending
described in Chapter 23.18

must be in place and annotated on the Form 1-259 to insure that the
United States. Complete Form 1-94 endorsed "Stowaway--refused,
removal". If the stowaway requests asylum, follow procedures
and 8 CFR 253.1.

(b) Absconded stowaways. The master or agent is required to report the escape of a stowaway.
Immediately upon being notified that a stowaway has absconded, relay the information relating
to the abscondee to the appropriate local law enforcement personnel (including City Police,
Harbor Police, State Police), the appropriate INS office responsible for recovering the
stowaway, and to the Federal Bureau of Investigation (FBI). Appropriately annotate the Form
1-419 (Ship Intelligence Card) indicating that the stowaway absconded. Take a sworn statement
as described in Chapter 43.3 and institute fine proceedings under section 243(c) utilizing Form
1-849 (Report to National Fines Officer of Possible Violation of the INA), as appropriate. A
Significant Incident Report (SIR) will be prepared on every case involving a stowaway.

23.9 Mustering.
Service officers may re-board a vessel at any time after the initial inspection to insure that
detained crewmembers remain on board or that a vessel preparing to depart has all
crewmembers present. Inspections personnel should coordinate with other local INS
enforcement personnel for this activity. Ordinarily, departure mustering of crew is conducted
only on vessels that have a history of immigration violations or where there are multiple
crewmembers detained on board the vessel.
A crew muster is recommended for all coastwise vessels. A crew muster is required on all
coastwise vessels when there is detained crew onboard. Local INS (Border Patrol, Criminal
Investigations, and Inspections) shall take a coordinated approach for mustering crew. When a
vessel's crew is mustered at an onward port, and it is discovered that crewmembers are
missing, follow current guidance on deserters and abcondees in Chapter 23.7 of the Inspectors
Field Manual (IFM). Initiate fine recommendations utilizing Form 1-849 (Report to National Fines
Officer of Possible Violation of the INA), as appropriate.

23.10 Revocation of Landing Permits.
Inspectors should be familiar with the procedures for revocation of landing permits provided in 8
CFR 252.2 and perform or assist with this function, as necessary. Prepare and serve Form 1-99
on the alien, collect the previously issued 1-95, advise the master or agent of the action taken
and advise him/her of his/her responsibility for detaining the revoked crewmember on the
vessel. Revoke any valid 1-184. Prepare and serve Form 1- 259 on the master or agent. The
1-259 will normally require departure on the vessel of arrival, but circumstances may warrant
departure by other means of transportation. Appropriate safeguards (guard service escort, letter
from the shipping agent guaranteeing the crewman will depart when required, etc.) must be in
place and annotated on the Form 1-259 to insure that the crewmen do depart the United States.
If an "A" file does not exist, one shall be opened. To determine if an "A" file exists, a query of
the Central Index System (CIS) should be made. If there is an existing "A" file, all

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documentation shall be placed in a temporary "A" file. Prepare Form 1-213, Record of
Deportable/lnadmissible Alien, and take a photograph of the violator. Fingerprint the alien using
three sets of criminal cards (FD-249). Forward the first set of fingerprints to the FBI
Identification Division. Forward the second set of prints to the Biometric Support Center in
accordance with the procedures set forth in Chapter 18.9. Retain the third set of fingerprints
and copies of all documents for inclusion with the other paperwork in the "A" file. A lookout shall
be posted in the National Automated Immigration Lookout System (NAILS). A Significant
Incident Report (SIR) will be prepared on every crewmember that has their landing permit
revoked.
In the event the vessel will be sailing coastwise, contact the INS office at the next port of call,
and advise them of all information related to the revocation. Follow procedures described in
Chapter 23.7.

23.11 Performance of Longshore Work by Crewmembers.
Section 258 of the Act, added in 1990, limited, but did not completely prohibit, longshore
activities by crewmembers of vessels. These restrictions are specified in the Act and in 8 CFR
258. Obligations of the master or agent, including reporting requirements are detailed in 8 CFR
251.1. At the conclusion of the inspection, note on the Form 1-418 whether or not nonimmigrant
crewmen will perform longshore work in the United States, and if so:
•
under which exception in section 258 of the Act it will be performed (See 22 CFR 89 for
countries eligible for reciprocity exception); and,
•
what type of documentation accompanied the manifest to support the exception
invoked.
Sign the 1-418 and indicate the date of the inspection following the last entry on the form.
(Note: If new crewmembers subsequently join the vessel while it is in the United States, the
master or agent should add them to next available space from this point on the 1-418 and
record the appropriate date(s) in the "Date Joined" column.)

23.12 Parole of Alien Crewmembers.
(a) Initial Parole. Parole and revocation of parole of crewmembers are discussed in 8 CFR
253.1. Parole is generally appropriate for handling sick or injured crewmembers and shipwreck
sUNivors, among others. Parole for a limited number of ship's personnel to conduct essential
business is also appropriate in situations where a crew is detained on board due to lack of a
visa. When a parole is granted for other than medical reasons or to conduct essential ship's
business, prepare Form 1-160 for inclusion with the manifest. Collect the parole fee provided in
8 CFR 103.7 for each paroled crewmember. Generally, requests for such paroles should be
accompanied by documentation supporting the request.
Prepare an 1-94, endorsed as
prescribed in Chapter 16, for each paroled crewmember. Update the vessel's copy of Form
1-418 by checking the box in the "Inspection Status" column of the form that pertains to the

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crewmember being paroled. Prepare Form 1-510, Guarantee of Payment, in duplicate, for
crewmembers paroled for medical treatment. Give one copy of the 1-510 to the master or
agent, retain the other with the manifest and other documents collected during the inspection.
Prepare an 1-259, endorsed to require the alien's departure (if the alien is to depart within the
period of parole) or presentation at an INS office (if the alien is likely to require reparole for
additional time). Serve the 1-259 on the master or agent.

(b) Reparole. Parole of crewmembers is generally limited to less than 30 days. If additional
time is needed, reparole in increments of 30 days is appropriate, upon presentation of
documentation such as medical evidence.

23.13 Vessels Remaining beyond 29 Days.
(a) The landing period for 0-1 crewmembers is limited to 29 days, and cannot be
extended. However, there will be instances where a vessel and its crew will remain in
the U.S. for a longer period of time. In such instances, the master or agent will present
the vessel's copy of 1-418 and the 1-95s for each crewmember. Prepare Form 1-253,
Letter to Master or Agent of Vessel, in duplicate and endorse each Form 1-95 with the
voluntary departure period. Return the 1-418 and original 1-253 to the master or agent,
along with the 1-95 forms. Promptly route the 1-418 copy and the duplicate 1-253 to the
arrival port for attachment to the 1-418 copy from the vessel's arrival. No docket control
is required, but include a count of such crewmembers on the G-23.18 and G-23.20.
(b) Vessels Traveling to International Waters. Under interpretation of current INS and
Department of State regulations, sailing from a United States port into international or
foreign waters, without a call at a foreign port, does not satisfy the foreign departure
requirement. Therefore, alien crewmembers onboard lightering vessels, certain fishing
vessels, cruises to nowhere, or any vessel that sails from a United States port and
returns without calling a foreign port or place, has not departed the United States.
Crewmen onboard vessels that sail from a United States port into international waters,
return to the United States, and have not touched a foreign place within 29-days of the
vessel's initial arrival (in the United States from a foreign place), have remained beyond
their authorized period of stay. Such a vessel must request a 29-day extension,
pursuant to part (a) of this section, prior to the expiration of the expiration of their
authorized period of stay.
This provision does not apply to fishing vessels in Guam that sail to international
waters. Pursuant to Public Law 99-505, such a vessel is considered to have departed
the United States.
The inspecting officer's authorities regarding coastwise vessels, including (but not
limited to): performing musters, revoking shore-passes or granting 29-day vessel
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extensions, remain unchanged. These topics are addressed in the Chapter 23.9,
Chapter 23.10 and Chapter 23.13, respectively, of this field manual.

23.14 Ship Intelligence Cards.
Service offices with seaport operations maintain Ship Intelligence Cards, Form 1-419, for each
vessel arriving at the port. Pertinent information, such as previous detentions, desertions, or
stowaways is included on the cards. Consult the cards prior to boarding and add information to
the cards when you complete inspection of the vessel.

23.15 Departure Manifests.
Arrival manifests for crew are maintained at the port-of-entry for 6 months. If no "departure
manifest" (an updated copy of the original 1-418 showing crewmember separations and
additions) is received within 60-90 days of the vessel's arrival, contact the Service Inspections
Unit at the last scheduled U.S. port (from the 1-418) or the vessel's agent to determine the
reasons. It is important that manifests be processed timely and accurately to avoid improper
institution of fine proceedings when a carrier has complied with the requirements for
submission. If you receive a departure manifest from an agent for a vessel that was not
inspected at your port, immediately forward it to the Service office which conducted the
inspection. Upon receipt of a departure manifest for a vessel which was inspected at your port,
use the 1-418 Receipt Number to match it with the arrival manifest to insure accountability for all
crewmembers. After 6 months, forward the manifests in accordance with Appendix 15-8.
Forward Forms 1-95 on a regular basis in accordance with Appendix 15-8
Prepare Form 1-92 and bundle it with Forms 1-94 and forward for data entry in the same manner
as aircraft departure forms [See Chapter 22.7 for 1-92/1-94 forwarding instructions.].
If there are missing or incomplete manifests or if there are crewmembers whose departure
cannot be verified, consider institution of fine proceedings.

23.16 United States-Based Fishing Vessels.
Nonresident aliens may not be employed aboard any U.S.-based fishing vessel as "0"
crewmembers. An alien seeking permission to land as a 0 crewmember should be detained on
board, unless parole is warranted. In rare instances other nonimmigrant categories which
include employment, such as H-1 B, H-2B or L-1, may be possible.

23.17 Vessels Serving on the Outer Continental Shelf (OCS).
Crewmembers for vessels working on the Outer Continental Shelf commonly enter the U.S. as
B-1 nonimmigrants to join the vessel. The B-1 visas of such nonimmigrants will ordinarily

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contain the consular notation "OCS". Vessels coming from the OCS are not subject to
immigration inspection unless they have landed in foreign territory since last arriving in the
United States. Similarly, a departure solely to the OCS is not a departure from the U.S. for
immigration purposes. This can cause technical problems for a vessel with a 0-1 crew which
leaves a U.S. port, spends time on the OCS and returns to a U.S. port without touching foreign
territory. Such a vessel would not be reinspected but frequently would require processing as
described in Chapter 23.13, since its crew would almost certainly remain beyond the 29-day
admission limit for alien crew.
The Service has held that the INA does not apply on the OCS, and the Department of Labor will
not issue a labor certification for work on the OCS beyond the three-mile limit. Regulations for
work on the OCS are administered by the Coast Guard.

23.18 Asylum Claims by Vessel Crewmembers or Stowaways.
If a crewmember or stowaway requests asylum, remove the alien from the vessel or aircraft and
place him or her in INS custody. Provide an alien crewmember claiming asylum with the
appropriate application forms. The crewmember has 10 days in which to file the application
with the district director, during which time the Service will not remove the alien. If the
crewmember files a timely asylum application, the district director will refer the alien to the
immigration judge using Form 1-863, Notice of Referral to Immigration Judge. In this case, the
officer executing the 1-863 will check Box #2 and the appropriate box indicating the status of the
crewmember when he or she made the asylum claim.
A stowaway who seeks asylum will be detained in Service custody and referred to an asylum
officer for an interview to determine whether the stowaway has a credible fear of persecution
under section 235(b)(1 )(B). Although stowaways are not covered under the entire section
235(b)(1) of the Act (expedited removal provisions), if it is deemed necessary to take a sworn
statement from the stowaway claiming asylum or a fear of persecution, Form 1-867A&B may be
used. Indicate at the top of the Form 1-867A that this is a stowaway case, rather than a
235(b)(1) case. Arrange for detention of the stowaway and notify the appropriate asylum office
that the stowaway requires a credible fear interview. If the asylum officer finds that the
stowaway has a credible fear of persecution, he or she will refer the stowaway to the
immigration judge using Form 1-863, checking Box # 3 and the box indicating "Stowaway:
credible fear determination attached". If the asylum officer determines that the stowaway does
not have a credible fear of persecution, and the stowaway requests a review of that
determination, the asylum officer will refer the stowaway to the immigration judge using Form
1-863, checking Box #2. If an adverse determination is made on the asylum claim by the
immigration judge, the alien will be returned to the custody of the carrier for removal. [8 CFR
241.11 ]
Detention and parole policy regarding asylum applicants who are crew members or stowaways
is discussed in 8 CFR 208.5(b). While parole of a stowaway claiming asylum is within the
discretion of the district director, it should not normally be considered until after the stowaway
has been determined to have a credible fear of persecution, unless parole is required for a

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medical emergency or is necessary to further a legitimate law enforcement objective.

23.19 Special Interest Vessels/non-Entrant Countries. (Chapter 23.19 revised
11-1-05; CBP 12-06)
Non-entrant countries are those countries designated by the Department of State as having
been found to have provided support for acts of terrorism or against whom diplomatic sanctions
have been imposed. Vessels registered to, owned or operated by, or chartered by such
countries are prohibited from entering United States waters or ports. The United States Coast
Guard (USCG) has jurisdiction to grant access to United States ports to vessels of restricted or
non-entrant countries. Authority for this is found in the lVIagnuson Act, Title 50, United States
Code, Section 191, 1950.
The current list of non-entrant countries includes: Cuba, Iran, Iraq, Libya, People's Republic of
Korea (North Korea), Syria and Sudan. There are no blanket restrictions placed on nationals of
non-entrant countries arriving on free-flag vessels. Such crewmen may be issued a landing
permit, in the discretion of the inspecting officer, if in possession of a valid passport and visa,
and if otherwise admissible.
Ports of entry, or other programs responsible for seaport duties, should contact the local USCG
Port Captain to discuss the respective responsibilities and communication system between the
agencies.

23.20 Seaport database queries.
Officers performing primary inspection duties at sea ports-of-entry (POE) must query all
applicants for admission to the United States using the Interagency Border Inspection System
(IBIS) This applies to all persons over the age of fourteen, without a maximum age limit. See
IFM section 22.3 (Primary Inspection Procedures).
Current Threat Level One (TL 1) guidance can be found in the memorandums, "Inspection of
Crew Arriving to Board Merchant and Cruise Vessels," dated September 30, 2001, and "Threat
Level One Clarification on Conducting Seaport Inspections," dated April 3, 2002.

PALS Failure at Sea (cruise or non-cruise) POEs: If PALS becomes unavailable, first
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.

.

System Failure of IBIS and INS Systems to include Electrical Outages: In the event
of a system failure of IBIS and NAILS, all air and sea POEs and land border secondary
offices must query applicants for admission in the PALS system, made accessible per
the aforementioned procedure. If IBIS, NAILS, and PALS are not accessible in these
locations and the National Lookout Unit is unable to provide previously obtained APIS
passenger manifests, no person shall be admitted to the United States without prior
consent of the Assistant Commissioner for Inspections.
Regions, districts and local POEs are encouraged to establish their own system of backup
contacts to process IBIS, NAILS and PALS queries. These plans should be forwarded to the
National Lookout Unit for consolidation. Any questions or concerns regarding these operating
procedures should be directed to National Lookout Unit at (202) 514-4034.

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Chapter 24: Preinspection and Preclearance (Added INS - TM2)
24.1
24.2
24.3
24.4

General
Preinspection and Preclearance Procedures
Departure Controls at Guam, Puerto Rico, and the U.S. Virgin Islands
Emergency Procedures during Canadian Air Traffic Controller Strikes

References:
INA:

Sections 212(d)(7), 233, 235, 235A, 286.

Regulations:

8 CFR 103.1 (d), 212.1 (e), 221.1, 223.2 (b) (2) (ii), 233.4, 235.5, 286.2(a),
299.1.

24.1 General.
(a) Preinspection. Preinspection is the procedure whereby the Service conducts, in the host
country, inspection of passengers and crewmembers as required by United States immigration
and public health laws and regulations for entry into the United States.
Preinspection offers distinct advantages.

It is cost effective both to the U.S. government (fewer detention and deportation costs) and
the transportation carrier (fewer fines and better scheduling opportunities).
It is facilitative as passengers are
connecting travel is made easier.

spared waiting in long lines at domestic airports and

It is good law enforcement as contraband, drugs, and criminal aliens do not enter the United
States and intelligence information sharing exists between the United States and the host
country.
First established at Toronto, Canada, in 1952, preinspection services are currently provided at
11 different sites in addition to Toronto (Calgary, Edmonton, Montreal, Ottawa, Vancouver,
Victoria, Winnipeg, the Bahamas, Bermuda, Aruba, and Ireland).
(b) Preclearance. In preclearance INS performs immigration and public health inspections
while U.S. Customs performs customs and agriculture inspections. Preclearance is operational
in Calgary, Edmonton, Montreal, Ottawa, Toronto, Vancouver, Winnipeg, the Bahamas,
Bermuda, and Aruba.
Preinspection is conducted at the international airport in
(c) Preinspection in Aruba.
Oranjestaad, Aruba. This office falls within the jurisdiction of the District Director at Mexico City.

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The Port Director at Aruba administers day-to-day operations at this location.
(d) Preclearance in Bahamas. Preclearance is conducted at the international airports in both
Freeport and Nassau in the Bahamas. Both locations fall within the jurisdiction of the District
Director at Miami, FL. The Area Port Director at Nassau administers day-to-day operations of
these two locations.
(e) Preclearance in Bermuda.
Preclearance is conducted at the international airport in
Hamilton, Bermuda. This office falls within the jurisdiction of the District Director at New York,
NY.
(f) Preclearance in Canada. Preclearance is conducted at international airports at Calgary,
Edmonton, Montreal, Ottawa, Toronto, Vancouver, and Winnipeg, as well as at the seaport in
Victoria. The preclearance offices at Toronto, Montreal, and Ottawa fall within the jurisdiction of
the District Director at Buffalo, NY. The office in Winnipeg reports to the District Director in St.
Paul, MN. Calgary and Edmonton both fall within the jurisdiction of the District Director in
Helena, MT. The District Director in Seattle, WA has both Vancouver and Victoria within his
area of responsibility. All Canadian preclearance offices have local Area Port Directors
overseeing the day-to-day operations at their respective sites.
Preclearance in Canada is governed by the Agreement Between the United States of America
and Canada signed at Ottawa on May 8, 1974 and entered into force on May 8, 1974.
Preinspection at Montreal, Toronto, Vancouver, and Winnipeg were already in existence at the
time of the Agreement. [See Appendix 24-1 for text of the bilateral agreement, and annexes.]
It should be noted that the Agreement Between the United States and Canada on Aviation
Preclearance can be amended or revised by an exchange of diplomatic notes. Since the
effective date of the Agreement, Canada and the U.S. have had a number of consultations
reviewing the operations of the Preclearance Agreement. Such consultations have involved
preclearance facility construction projects at Toronto, Vancouver, Calgary, Winnipeg, Montreal,
and Edmonton; a report on Downstream Duty-Free Experiment and Future of Duty-Free
Facilities; Discussion of Preclearance Costs, their Allocation and Staffing Levels; Consideration
of Extending Preclearance to Commuter Airlines; In-Transit Lounges; and the Status of U.S.
Inspection Agency Personnel (including such issues as general status, immunity from private
suits, employment of dependents, Immigration documentation, Customs Treatment and
Privileges). The basic Agreement of May 8, 1974 between the two Governments remains as
the cornerstone of INS operations in Canada, as evidenced by the Service's newest
Preclearance Facility, which opened in Ottawa on July 7,1997.
(g) Preinspection in Ireland. Preinspection in Ireland is conducted at the international airports at
both Shannon and Dublin. Both locations fall within the jurisdiction of the of the District Director
at Rome and the Officer-In-Charge at London. The Port Director at Shannon administers the
day-to-day operation of these facilities.
(h) New initiatives. Section 123 of the Illegal Immigration Reform and Immigrant Responsibility
Act of 1996 (II RI RA) calls for the establishment and maintenance of 5 preinspection sites at

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foreign airports that serve as last points of departure for the greatest numbers of inadmissible
alien passengers and 5 additional sites determined to most effectively reduce the number of
aliens who are inadmissible.
The decision to establish a preinspection or preclearance site involves certain considerations.
The political and social climate must be such that no unreasonable risk is posed to Service
officers, their spouses, and families. The volume of passenger traffic departing the foreign site
for major U.S. port(s)-of-entry must be such that some measurable facilitative and/or
enforcement effect can be realized. Adequate inspectional facilities must be available. The
level of host government and air carrier(s) interest and a weighing of prospective benefits
against cost are important considerations.
The Service will employ automation and continual technological advances in its preinspection
process, thus minimizing personnel requirements, reducing costs, and improving enforcement
effectiveness.

24.2 Preinspection and Preclearance Procedures.
(a) Official Conduct. Personnel stationed at these locations must be particularly careful to be
courteous, as they are "guests" in that country and should present a positive image of the
people and government of the United States. INS personnel, as government employees,
perform their duties under the auspices of the U.S. Ambassador, pursuant to section 207 of the
Foreign Service Act of 1980.
(b) Passenger and Crew Inspection. The procedures for inspection at both preinspection and
preclearance stations are largely the same as for stateside inspection; however, there may be
some variations depending on port policy and the routines established at those stations. One
major exception is that expedited removal procedures described in 8 CFR 235.3 may not be
applied at preinspection or preclearance stations abroad. Inspectors should be aware that at
both preinspection and preclearance stations, they have no authority to arrest. (However, as a
result of negotiations with the Canadian Government, inspectors stationed in Canada will have
certain limited enforcement powers with the passage of Canadian legislation to that effect. The
legislation is expected to be enacted into law by June 1998.)
INS cannot refuse boarding to any passenger. Rather, persons who are determined to be
inadmissible are advised of this determination and are given the option of not traveling or of
being placed in exclusion proceedings or expedited removal proceedings, as appropriate, upon
arrival in the United States.
Since INS has limited enforcement authorities overseas, violators detected are usually identified
for the local law enforcement agencies, a significant benefit for the host country. Preinspection,
therefore, provides an added layer of counter- terrorist screening. Cooperation with host
country law enforcement agencies can result in the apprehension of wanted criminals or other
persons engaged in criminal activities.
(c) Carrier Agreements. Transportation lines requesting inspection services at points in foreign

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countries enter into agreements with the Service, on Form 1-425, which sets forth the terms and
conditions under which inspection is granted. Only carriers who are signatory to specific
preinspection agreements can have passengers processed at these stations. A list of signatory
carriers at each preinspection or preclearance station is included in Appendix 42-4.

24.3 Departure Controls at Guam, Puerto Rico and the U.S. Virgin Islands.
Departure control inspection at these locations is conducted pursuant to 8 CFR 235.5(a).
Inspectors are stationed in the departure terminal area, where they conduct a cursory
inspection, except for 1-94 issuance and lookout query, of passengers bound for the U.S.
mainland. Inspection is not required of 100% of arriving passengers; depending upon available
manpower the intensity of inspection may vary. If an illegal entrant or status violator is
encountered, the alien is detained and processed for deportation. Other arrests may be made
involving U.S. citizens or resident aliens involved in drug or alien smuggling.
Statistics for departure inspections are counted in the G-22.1, port code "0" in PAS. Since not
every passenger on every flight will be inspected individually and no 1-92 is provided, it is
necessary to estimate actual volumes of citizens and aliens inspected. Copies of Forms 1-213
for mala fide aliens intercepted are sent monthly to Investigations for inclusion in district
apprehension statistics.

24.4 Emergency Procedures during Canadian Air Traffic Controller Strikes.
[See Chapter 22.9.]

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Chapter 25: Private Aircraft and Vessels (Added INS - TM2)
25.1
25.2
25.3
25.4
25.5

Canadian Border Small Boat Permit Program.
Procedures for Inspecting Private Aircraft.
Inspection of Private Vessels.
Snowmobiles
GATE Program

References:
INA:

Sections 235, 239

Regulations:

8 CFR 235.1, 8 CFR 239.2.

25.1 Canadian Border Small Boat Permit Program.
(a) General. A special program exists to facilitate the entry of small craft making frequent
entries into the U.S. from Canada. Commonly referred to as the 1-68 program, regulations
outlining terms and conditions are contained in 8 CFR 235.1 (e). Form 1-68 may be issued to
U.S. citizens or lawful permanent residents, Canadian nationals, and other residents of Canada
having a common nationality with Canadians, who enter the United States from Canada in small
pleasure craft of less than five net tons, to facilitate brief pleasure trips between the U.S. and
Canada. Under the program, persons are inspected only at the time of application for the
permit and may thereafter enter the United States along the immediate shore area without
further inspection during the remainder of the boating season. The 1-68 must be in the
possession of the permit holder each time they enter the United States under the provisions of
this program. In the case of a Canadian national or other resident of Canada having a common
nationality with Canadians, the Form 1-68 shall be valid only for visits of less than 72 hours and
only if the alien remains in the immediate shoreline area, although that includes those nearby
shopping and residential areas. If the alien intends to enter the United States for any other
purpose, they must apply for admission at a staffed port-of-entry.
(b) Initial Application. Except as indicated below, every person on the boat must apply for or
hold a separate Form 1-68. Minor children can be added to a parent's Form 1-68 (if the parent is
in possession of the minor's birth certificate at time of application). Parents of either the
principal permit holder or the holder's spouse may also be included on the same application.
Every applicant must be in possession of government issued photo identification, evidence of
citizenship and residence, and a completed Form 1-68, with the fee provided in 8 CFR 103.7.
Note there is a family cap of double the base fee for each family group.
The Form 1-68 is prepared in triplicate. If approved, each copy will be stamped with the officer's
admission stamp and the orginal given to the applicant. The other copies will be forwarded for
processing according to local procedures.

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If it is determined that an applicant is inadmissible to the United States, the application for Form
1-68 will be denied. Each copy will be stamped with the officer's line stamp and marked
"DENIED" and the orginal given to the applicant. The other copies will be forwarded for
processing according to local procedures. If appropriate, a determination will be made by the
shift supervisor as to whether the applicant will be processed for an exclusion hearing or
refused entry and issued a Form 1-192 waiver packet.
(c) 1-68 Renewal. The 1-68 must be renewed annually. Some offices manage their renewal
applications by mailing the new applications to prior permit holders before the beginning of the
boating season. Other offices process renewals only on a walk-in basis. The fee requirements
and family cap are the same as for initial applications.

25.2 Procedures for Inspecting Private Aircraft.
(a) General. Private aircraft are aircraft which are not regularly engaged in transporting goods
or passengers on a commercial basis. Inspection of persons on board private aircraft is
accomplished jointly by INS and Customs, according to local procedures. With the exception of
those aircraft participating in the GATE program, all private aircraft entering the United States
are required to notify Customs or Immigration (following established local procedures),
generally at least one hour before anticipated arrival, to request the presence of an Immigration
or Customs inspector. [See 8 CFR 239.2.1] Inspect all persons on board in the same manner
as those on commercial flights. (Query NAILS, TECS or the Service Lookout Book on all
persons arriving by private aircraft). Prior to the actual inspection, if information and systems
access are available, private flights should be queried through EPIC for possible lookouts or
potential problems. This is a safety factor as well as a means to make timely interceptions of
illegal aliens and/or drugs.
A pilot who is the owner or operator of a private aircraft which is not regularly engaged in the
transportation of goods and/or passengers for hire is not considered a "crewmember" and may
be admitted as a B-1. If a pilot or passenger is found to be inadmissible to the United States
under § 212(a) of the Act, prepare and serve Form 1-259 on the pilot, if departure arrangements
are immediate. Arrange locally to verify that the aircraft, and inadmissible alien, have departed
the country.
(b) Manifest Requirements. All pilots will complete a Form CF-178 (PAIRS) upon entry into the
United States. It is essential to add the pilot's and owner's area codes and telephone number
to the form for informational purposes. In instances involving small commercial aircraft, the
crew will present a General Declaration Form CF-7507 and Cargo Manifest to the inspecting
After
officer. The arrival information for these private aircraft is recorded on Form 1-577.
necessary statistics and other data are recorded, submit Form CF-178 to the local Customs
office. Customs will notify EPIC of the arrival based on the CF-178 data.
(c) Customs User Fee Decal. The Inspecting officer will assure that the Customs user fee
decal is properly affixed to the aircraft. If a new decal is needed, the inspector must complete a
Form CF-339, collect the required fee, and issue a receipt (Form G-211). In the "For" block

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write, "User Decal for the calendar year for private aircraft (and list tail number)". This is to
ensure that the receipt cannot be presented as proof of decal purchase for another aircraft.
The Form G-211 will be used in lieu of a valid decal until the Customs Service mails the decal to
the applicant. Forward Form CF-339, the fee, Form G-211 and Form CF-178 immediately to
Customs. Follow local procedures regarding transference of the fee to Customs personnel.
(d) Failure to Provide Advance Arrival Information. If the notice of arrival has not been
reported within the specified time frame, fine proceedings should be initiated as discussed in
Chapter 43. Execute a sworn statement from the pilot concerning the facts of the arrival and
reasons for failure to give proper notice. Prepare a detailed memo describing incident,
including arrival time, name of all passengers, their dates of birth and counties of citizenship.
This packet will be sent to the National Fines Office in Falls Church, VA.

25.3 Inspection of Private Vessels.
As with private aircraft, inspection of private vessels is generally accomplished by a
single officer acting on behalf of all inspecting agencies. Persons on board private
vessels not regularly engaged in commercial carriage of goods or passengers are
inspected under the general provisions of section 235 of the Act. Persons engaged in
the operation of such vessels are not considered crewmembers and must be in
possession of a nonimmigrant visa (where visas are required) that meets the intent of
their trip to the United States. Persons applying for admission, solely to operate such a
vessel, may be classified under section 101 (a)(15)(B) of the Act, if otherwise
admissible. Persons engaged in the operation or employment onboard a private
vessel, which is home ported in the United States, must be in possession of an
appropriate nonimmigrant visa (where visas are required), authorizing employment in
the United States. Such a nonimmigrant visa could include, but is not limited to, the
H2-B visa classification.
If you learn that a private vessel has arrived and persons have disembarked the vessel
without inspection, or persons arriving on such vessels are not in possession of the
required travel documents, prepare a memorandum of facts and complete Form 1-849
for submission to the National Fines Office (NFO). In some cases a fine will not be
imposed on the first offense; nevertheless, all cases must be documented and reported
to the NFO. [See also Chapter 25.1 of this field manual, relating to the 1-68 program,
which may apply in some situations.]

25.4 Snowmobiles.
The Service and the United States Customs Service are experimenting with an 1-68 like
program for snowmobilers in North Dakota. At the present time, only snowmobilers within the
programs test area are authorized to participate in the program. Should the two Services
decide to expand the program, a revision to this Section will be made.
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25.5 GATE Program.
The United States Customs Service, with the concurrence of the Service, has been conducting
an 1-68 like program for the operators and passengers of small aircraft entering the United
States from Canada. Like the 1-68 program, participation is limited to United States citizens,
lawful permanent residents of the United States, Canadian citizens, and landed immigrants of
Canada having a common nationality with Canadians.
Enrollment is handled by the United States Customs Service; although any Immigration
Inspector may have access to the enrollment applications of any program participant.
Program participants are required to call the Customs GATE Operations Center at 1 (800)
98CLEAR prior to departing from the United States. The Customs officer on duty will verify
participation in GATE and determine if that specific flight will be approved for GATE. If
approved. the pilot is issued a control number and authorized to proceed to the United States.
The specific details of the flight are then entered into IBIS.
An Immigration Inspector interested in obtaining information related to any GATE flight may
obtain that information from IBIS by selecting I040/0ption6/0ption 4/0ption 3: Inspection
Operations, Private Aircraft Enforcement Systems/Maintain Overflight Exemptions/Query
Overflight Exemptions. In accordance with the agreement between Customs and the Service,
Immigration Inspectors may inspect any Gate flight.

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Chapter 26: Special Programs (Added INS - TM2)
26.1
26.2
26.3
26.4
26.5
26.6

INS Port Passenger Accelerated Service System (PORTPASS, DCl, APP and
SENTRI)
Advance Passenger Information System (APIS)
Carrier Consultant Program (CCP) (Reserved)
Inspections Response Teams (IRT)
Immigration and Naturalization Service Passenger Accelerated Inspection System
(INSPASS)
Inspections Canine Program

References:
INA:

Section 286(q)

Regulations:

8 CFR 235.13, 286.8

26.1 INS Port Passenger Accelerated Service System (PORTPASS, DCL,
APP and SENTRI)
(a) Background. The Service has long recognized the need to develop and implement new
methods for rapid inspection of low-risk vehicular traffic at land border ports-of-entry without
compromising the security and integrity of the inspection process. In recent years there have
been several initiatives which targeted this segment of land border traffic. The most widely
used version, referred to as Dedicated Commuter lanes (DCl), are special lanes at busier
land border ports-of-entry which are set apart from the normal flow of traffic. These lanes
provide an accelerated inspection for frequent, low-risk travelers. The DCl project is a joint
project of the Immigration and Naturalization Service (INS) and the United States Customs
Service (USCS). The DCl project is part of a larger umbrella project named Port Passenger
Accelerated Service System (PORTPASS).
At small ports in remote areas along the northern border, a different approach is being
considered. Referred to as Automated Permit Ports (APP), the concept envisions that certain
local residents will be issued cards which allow entry to the U.S. at times when the port is
closed. The APP concept will be tested, using several types of technology, during the late FY
1995. Several small ports are being considered for APP pilots, including: Scobey, MT,
Ambrose, Antler and Sherwood, NO, Morse's Line, VT and Forest and Orient, ME.
Another initiative, one which would take advantage of emerging technology by installing radio
transponders in the vehicles of frequent travelers, is in the developmental stage. Known as the
Secure Electronic Network for Traveler's Rapid Inspection (SENTRI), this initiative has been
designated as a Reinvention laboratory under the Administration's National Performance
Review.

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Congress included language in the Service's 1990 Appropriations Act which allows for a test of
the inspection fee concept on the land borders. This law authorizes the Attorney General to
establish pilot projects which include the charging of a fee and provides that the fee collected
may be used only to enhance inspection services. Such pilot projects are to be developed by
the Attorney General after consultation with the Secretary of the Treasury and with Congress.
All such pilot projects were scheduled to terminate on September 30, 1993, but were extended
by Congress until September 30, 2000. This law also limited these projects only to the northern
and California borders. In the FY95 Appropriations Act the restriction of operating a DCl on the
southern border was lifted for California only. Because of the revenue available to the Service
as a result of this new land Border User Fee Account, there is a great potential for expanding
these programs and employing new technology.
(b) The DCl Programs. There are four DCls now in operation: One at Blaine, Washington
(since June of 1991, referred to locally as Peace Arch Crossing Entry (PACE)); one at Point
Roberts, Washington (since October 1994); and one each at Detroit's Ambassador Bridge and
Windsor Tunnel (as of March, 1995). The programs are open to citizens and permanent
residents of the United States, citizens and landed immigrants (commonwealth nationality) of
Canada, and other nonimmigrants determined eligible by the Commissioner. In addition to the
DCl ports, a similar program called AUTOPASS has been in use at the Peace Bridge in
Buffalo, NY since 1982. Once accepted into the program, users need only slow for a visual
inspection of the decal/ identifier affixed to the vehicle which indicates participation in the
program. A proposed enhancement for FY95 would involve issuing a PORTPASS identification
card. [Regulations controlling DCl program participation and adjudication of Forms 1-823 are
contained in 8 CFR 286.8.]
(c) Automated Permit Ports (APP). At small ports in remote areas along the northern border, a
different approach is being considered. Referred to as Automated Permit Ports (APP), enrolled
local residents are issued cards which allow entry to the U.S. at times when the port is
unstaffed. APPs are currently in operation at Scobey, MT; Orient and Forest City, ME.
Users will encounter a variety of APPs as each site will determine specific equipment based on
the physical layout of the port and other operational considerations. Some APP users will face
a kiosk type structure into which they may insert a card or pin number and a biometric sample
for verification which will control a gate. Other users may simply be registered with the
PORTPASS program and carry only a identifying card. Because this is a pilot project, several
different technologies are being tested.
A similar project is also underway at northern border ports-of-entry. This project is called
Remote Video Inspection System (RVIS) which uses video conferencing techniques to help
inspectors determine admissibility to the United States. Currently, this technology is being
tested in Whitetail, MT; Champlain, NY; and Skagway, AK. Participants may either be enrolled
or not, depending upon the traffic volume and risk.
(d) Future Enhancements; SENTRI Planning. The Department of Justice (DO) has selected the
PORTPASS project as a Reinvention lab as part of the second round of the National

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Performance Review (I\IPR). This the first joint Reinvention lab involving the Department of
Justice and Department of Treasury, and is among the first interagency labs since the NPR
initiative began. Also assisting in identifying systems requirements are the Federal Bureau of
Investigation (FBI), Drug Enforcement Administration (DEA), and United States Attorney for the
Southern District of California. The system being developed by this interagency working group
is called the Secure Electronic Network for Travelers' Rapid Inspection (SENTRI). This initiative
will expand the current DCl concept to the southern border and exploit newly emerging
technology, including radio frequency (RF) tags and expanded use of biometrics. The first DCl
in California will be located at Otay Mesa. The system installed at Otay Mesa will be the
prototype for future DCl systems and will be technologically more advanced than the current
DCl systems. It is envisioned that once initially processed, vehicles and passengers accepted
into the program will not need to stop at the border, except for "spot" compliance checks which
may be performed by the border inspection agencies at any time. AUTOPASS may also be
enhanced by automating the process with the use of radio frequency tags.
SENTRI will employ an experimental process for border inspections. The process will apply to
a defined, and initially limited, group of low-risk border crossers. SENTRI will permit federal
inspection personnel to screen, select and enroll applicants for participation in the SENTRI pilot
using a set of criteria developed to satisfy law enforcement needs at the border. When low-risk
participants approach the border to enter the United States, they will travel over a dedicated,
vehicular lane, and the SENTRI system will electronically inspect the enrolled drivers and/or
passengers, and their vehicles. This project should substantially accelerate border crossings
through the application of technology.
Participants' vehicles will be outfitted with radio frequency (RF) transponders. When a
transponder is activated, it will initiate a computer query of the enrollment database and perform
a lookout query of the individuals and the vehicle and retrieve previously recorded digitized
photographic images of the participants. These images will be displayed on a computer screen
located before an inspector in the inspection booth who will make a visual comparison between
the images and the individuals in the car.
Beginning in March or April of 1996 SENTRI will begin off-site testing of an in- vehicle voice
verification system. The driver and any occupants will speak into the device which will contain a
pre-recorded, digitized template of their voice print. The live voice prints will then be compared
to those stored in the device. This process of biometric measurement, while the car is in
motion, will provide positive identification of those persons who properly use the voice
verification device. This process will also satisfy current proposed regulation 8 CFR 235.13 for
immigration purposes.
Participants will be issued a PVC-based identification card which contains a digitized
photograph integrated onto the card. Biographic data resides on the front of the card with the
photograph. The reverse side contains data formatted in accordance with the International Civil
Aviation Organization (ICAO) standard 9303 for a TD1 document.
The SENTRI program has a distinctive logo, to appear on its documents, consisting of a red
"s" in a box with blue background, and blue "entri" on a standard-colored United States flag.

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(e) Border Facilitation Programs Application Procedures.
(1) General. A standard process for application filing and handling has been developed for
all PORTPASS programs. All applications for participation in DCl, APP or SENTRI
programs are filed on Form 1-823, Application for Border Facilitation Program. INSPASS
applications, discussed in Chapter 26.7, are also filed on the same form. Applications are
available at all ports with PORTPASS programs. There is no limit to the number of vehicles
a person enrolled in the program may select for PORTPASS use, but each vehicle is limited
to four persons per entry via a DCl.
(2) Application Filing and Fee Receipting. Those eligible for participation in the DCl , APP
or SENTRI programs must file Form 1-823, with the fee provided in 8 CFR 103.7, at the
port-of-entry where they will be crossing. The cost for use of the APP is currently $25 per
year. However, the fee will be waived initially, in accordance with an agreement with the
Government of Canada. Each person in a family group is charged the fee, up to the family
cap. No fee is required of persons under the age of 14. Fees must be remitted in the form
of cash or a cashier's check. At PORTPASS locations, fees will be collected by either a
designated inspector or by an inspections aide or fee clerk. [Requirements for fee collection
and deposit are discussed in AM 4.1.307 and AM 4.1.304.] The inspector or aide receiving
the application should review it for completeness, and fingerprint and photograph each
applicant before accepting the application for processing. After review and acceptance, the
inspector or aide must give the applicant a date upon which to return for further processing.
(3) Initial Processing. Upon receipt of the application, the adjudicating inspector checks
several databases, including the Treasury Enforcement Communications System (TECS),
National Automated Immigration lookout System (NAilS), Nonimmigrant Information
System (NilS), and the National Crime Information Center (NCIC). If no information
prejudicial to the applicant is obtained, the applicant must appear as scheduled for interview
by a Customs and an Immigration officer. The interview is a more formal, intensive process
than the traditional land border inspection. If the applicant is found admissible by both
agencies, the vehicle(s) are inspected by Customs, and may be weighed or X- rayed. Note
the application file with the names of the inspecting officers and the results of the interview.
(4) Decision. If an applicant is determined to be ineligible for the program, he or she will be
so advised at the time of interview, but need not be given a specific reason for denial. If
approved, the applicant will be advised of the validity dates of the approval and issued the
appropriate identity card, decal or vehicle transponder, upon payment of any required
systems fee. Decals and transponders must be affixed to the vehicle by agency personnel
or persons specifically under contract for that purpose. The approving officer must also
collect all required data and insure update of specified automated systems. Participants
must be clearly advised of the terms of their enrollment, advised of the consequences of
misuse and instructed on how the system operates.
(5)
Terminating Enrollment.
Participants in PORTPASS may have their enrollment
terminated for any failure to adhere to program requirements.
Upon termination of

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enrollment, collect all identification cards, transponders or decals and make appropriate
entries in the systems database. Other enforcement actions, such as prosecutions or
administrative fines may be considered apart from terminating the enrollment.

26.2 Advance Passenger Information System (APIS)
(a) General. The INS began implementing APIS in conjunction with the U.S. Customs Service
(USCS) in 1989 as an effort to meet airport inspectional challenges (increased passenger
volumes, especially during peak hours and seasons, combined with staffing and facilities
limitations) during the 1990's and beyond. The system has its roots in a 1988 agreement
between the New Zealand and Australian Customs Services that established a pilot program for
the electronic exchange of biographical information on passengers traveling between those two
countries. Shortly following this initial agreement, the USCS and INS agreed to take part in a
related pilot program involving the transmission of passenger information for direct U.S. bound
flights departing from New Zealand and Australia.
The idea behind APIS is simple. Normally, passenger data is entered into computer terminals
by inspectors at the arrival port-of-entry to initiate primary lookout system queries in real-time as
the passenger is being inspected. If this passenger data could instead be collected at the
foreign point of departure and electronically transmitted to the U.S. for batch lookout query
processing, and the query results be made available to the destination port-of-entry in advance
of the arrival of the flight, the border inspection process at the port-of-entry would become much
more streamlined.
The U.S. program began with a single carrier inputting data manually from paper manifests for
arrivals at three air ports-of-entry. Although entirely voluntary on the part of the carriers, the
program has expanded rapidly.
The popularity of APIS with the airline industry is largely due to the system's facilitative
potential. The system has the potential to substantially expedite the processing of bona fide air
travelers at U.S. ports-of-entry by eliminating the need for an inspector to perform a full primary
computer query.
The APIS also furnishes the INS with an invaluable enforcement tool by providing inspectors at
ports-of-entry with advance notification of arriving passengers who are the subjects of lookouts.
Many ports-of-entry have been able to further optimize the benefits of this time advantage by
organizing joint INS/USCS Passenger Analysis Units (PAUs) which utilize APIS data to perform
initial intelligence analysis prior to passenger arrival, thus greatly improving enforcement
selectivity.
In addition to the enforcement and facilitation benefits provided by APIS, the INS also views
APIS as the cornerstone for future processing advances at air ports-of-entry. The program has
enormous potential in the area of passenger processing automation and, with continued
systems development, has the capacity to act as a catalyst for future re-engineering of the
airport inspections process.

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(b) Memoranda of Understanding (MOUs). Currently two MOUs govern the administration of
the APIS program. The first 1VI0U is an inter-governmental agreement between the Department
of Immigration, Local Government and Ethnic Affairs (DILGEA) of Australia and the INS (see
Appendix 26-1). This MOU went into effect in 1991 and sets forth procedures whereby the
government of Australia assumes the responsibility for collecting and transmitting passenger
data for all non-stop U.S. bound flights departing from Australian ports. The MOU further
requires that stickers be placed on passengers' travel documents identifying them as
passengers for whom advance passenger information (API) has been collected, and that the
INS facilitate the processing of these passengers through INS "Blue Lanes." This MOU directly
effects only a small group of carriers (such as Qantas) which operate routes between Australia
and the U.S. On these routes, the Australian government collects and transmits API on behalf
of the carriers.
The second 1VI0U governing the administration of the APIS program is a formal agreement
between the three U.S. Federal Inspections Services (FIS) agencies (the USCS, INS and
USDA- APHIS) and participating air carriers (see Appendix 26-2). This MOU (referred to as the
"APIS MOU") is effective April 1, 1998, and applies to carriers which operate routes destined to
the U.S. from anywhere in the world other than Australia. The APIS MOU remains in effect for
three years and will expire on March 31, 2001, unless extended.
The APIS MOU sets forth the terms and conditions of APIS as a voluntary program between
the FIS agencies and participating carriers. Although not legally binding, the APIS MOU is
important in that it specifies national performance standards which apply to all parties.
The APIS MOU is structured as a quid pro quo arrangement whereby benefits accrue only if
performance standards are met. The primary benefit for the government is the receipt of
increasingly high levels of high quality API. The primary benefit for participating carriers is a
corresponding decrease in FIS processing times for bona fide passengers.
The APIS MOU is unique in that through this vehicle three separate government agencies
jointly enter into an agreement with the participating carrier. This effectively restrains anyone
of the three FIS agencies from acting unilaterally on an issue that effects joint government
performance required by the APIS MOU.
The APIS MOU is divided into six sections. A brief overview of each section follows:

Section 1: Provider (carrier) Data Responsibilities
The first section of the APIS MOU enumerates the data elements which the carrier must collect.
Initially, only basic data elements are required. Additional required data elements are phased in
over an eighteen month period beginning April 1, 1998. Ultimately, eleven data elements are
required to be collected for each passenger (five flight related elements and six biographical
elements). As of April 1, 1998, the following eight data elements must be collected: airline lATA
code, flight number, passenger last name(s), passenger first name(s), passenger date of birth,
departure location lATA code, U.S. arrival location(s) lATA code(s), and date of flight arrival.
As of January 1, 1999, passenger travel document nationality (or passenger nationality when

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exempt documentary requirements) and travel document number (except when the passenger
is exempt documentary requirements) must also be collected. Beginning October 1, 1999,
passenger gender is required.
In order to qualify for benefits under the program, the carrier must not only collect an increasing
number of data elements but must also collect more, and more accurate, API. As of April 1,
1998 (when eight data elements are required), the data accuracy rate ("sufficiency rate") must
meet or exceed 60%, on a flight-by-flight basis. When the number of required data elements
increases to ten on January 1, 1999, the minimum sufficiency rate increases to 75%. When the
final required data element is added on October 1, 1999, the minimum sufficiency rate
increases to 80%. Six months later, on April 1, 2000, the minimum sufficiency rate increases to
90%.
The term "sufficiency rate" is a key term used throughout the APIS MOU. The sufficiency rate
is defined in detail in section 4 of the APIS 1\I10U. Generally speaking, the sufficiency rate is the
percentage of accurate, error-free API records transmitted in relation to the total number of
on-board passengers on each APIS flight. Calculation of the sufficiency rate is based on the
assumption that API should be transmitted for 100% of all on-board passengers. Arriving
passengers for whom no API records have been transmitted, excess records (except
duplicates) and records which contain data errors or omissions all reduce the sufficiency rate.
Also, it should be noted that the minimum sufficiency rates specified in the APIS MOU are set
standards and will not be lowered to encourage new carrier participation.

Section 2: Provider (carrier) Operational Responsibilities
This section addresses carrier operational issues bearing on the quality of data collected. The
carrier is required to utilize, where feasible, document readers to collect information from
machine readable travel documents. Carrier staff is also required to compare the data
collected to that contained on the travel document to ensure accuracy. Additionally, not later
than April 1, 2000, the carrier is required to transmit APIS data for all of its non- precleared U.S.
bound flights, and not later than April 1, 2001, the carrier must transmit APIS data for its crew
members.
Section 2 of the APIS MOU also addresses primary queue management and passenger
processing support at the port-of-entry. Although individual responsibility is not assigned per
se, this section requires the carrier to agree to participate in joint carrier, government and
airport authority working groups at the local level. These working groups are responsible for
ensuring that appropriate signage and lane segregation devices (to include appropriate queue
management personnel), as well as passenger processing support personnel, are available for
each APIS flight at each port-of-entry.
Section 3: Government Responsibilities
This section lists the responsibilities of the three FIS agencies. Government performance of
each of these responsibilities equates to a benefit for qualifying "Blue Lane eligible" flights.

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Blue Lane eligibility is another key term used throughout the APIS MOU. There are two
requirements, both of which must be met, for a flight to be considered Blue Lane eligible: (1)
the carrier must be signatory to the APIS MOU (national level approval) and (2) the individual
flight arriving at the port-of-entry must meet the current minimum sufficiency rate required by
the APIS MOU (local approval). If a particular flight of a signatory carrier does not meet the
current minimum sufficiency rate, it is not Blue Lane eligible and will not receive benefits
outlined in the APIS MOU. Also, regardless of the sufficiency rate of individual flights, if a
carrier is not signatory to the APIS MOU, none of its flights are Blue Lane eligible.
Section 3 of the APIS MOU eliminates the requirement for Blue Lane stickers to be affixed to
passengers' travel documents. Although the Blue Lane sticker is required by the INS/Australian
MOU, the INS is eliminating the sticker requirement for ill! carriers on all routes (including those
which are covered by the INS/Australian MOU), effective April 1, 1998.
The INS will provide dedicated primary inspectional"Blue Lanes" for processing passengers on
Blue Lane eligible flights. All passengers arriving on Blue Lane eligible flights will be processed
through these lanes. The language in this section of the APIS MOU prohibits the mixing of
passengers arriving on Blue Lane and non-Blue Lane eligible flights in these lanes.
Flight processing cycle time goals, from the first passenger's entry into the FIS arrivals area to
the last passenger, requiring only primary inspection, through the facility exit, will be reduced in
three phases. Beginning January 1, 1999, the processing cycle time goal for passengers
arriving on Blue Lane eligible flights is reduced to 40 minutes. On October 1, 1999, this goal is
reduced to 35 minutes, and effective April 1, 2000, the goal is finally reduced to 30 minutes.
These times include all FIS primary processing, not just INS primary processing.
The government agrees to meet these processing cycle time goals for all Blue Lane eligible
flights which operate within "the normal course of actions." In the normal course of actions,
APIS data is received in advance of the flight and there are no unusual problems or excessive
delays with deplaning passengers, with the passengers arriving at the FIS arrivals area from the
gate, or with the delivery of checked baggage. Late flight arrivals and flight diversions are
considered to occur within the normal course of actions to the extent that the APIS data is
available in advance of the flight's arrival, passengers deplane normally, checked baggage is
delivered normally, etc. Local issues involving staffing shortages, details, etc., while obviously
of concern to the FIS agencies as well as to the carriers, are also considered to occur within the
normal course of actions for the sake of the APIS MOU.
Given the current airport environment, measurement of the processing cycle time specified in
the APIS MOU is problematic. Although flight block time is recorded on the General
Declaration, there is no accurate time stamp which establishes when the first passenger on a
given flight actually enters the FIS arrivals area. Similarly, although IBIS establishes the time of
the first and last INS primary queries for each flight, there is no standard procedure to collect
the time the last passenger on a given flight actually clears the uses control point and exits the
facility.
Due to these operational constraints, the following cycle time measurement
methodology has been adopted until such time that a more accurate, automated measurement
solution can be developed:

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Processing Cycle Time: Processing cycle time begins when the "average" passenger on the
flight enters the FIS arrivals area and ends when the "average" passenger on the flight exits the
facility (USCS collects the Customs declaration). Start time (passenger enters FIS arrivals
area) begins "X" number of minutes after the flight block time. "X" is a terminal average walk
time and equates to the time it takes the middle passenger on a flight arriving at the middle
gate to deplane and walk to the FIS arrivals area. The terminal average walk time is
established locally through informal time studies conducted by POE management. Carriers at
the POE should be involved in measuring this time and must agree that the walk time number
to be used is a reasonable estimate.
The USCS is responsible for establishing the time the average passenger exits the facility. This
may be determined by using a sampling technique. Until such time that this can be automated,
USCS at each port-of-entry is responsible for providing FIS cycle time reports to the carriers
and to INS. Due to the manual nature of this report, it will not include breakdowns (i.e., time
from first passenger entry into the FIS to first INS primary query, from first INS primary query to
last INS primary query, baggage delivery time, time from baggage delivery to passenger exit
from the FIS, etc.). The USCS Data Center will work to incorporate block times and terminal
average walk times into IBIS in the future.
Section 3 of the APIS MOU also requires the FIS agencies to work with the local airport
authorities to provide preferential baggage carousel assignments to Blue Lane eligible flights
and to develop and test of a variety of automated systems and procedures to further streamline
passenger processing at the ports-of-entry. The USCS also agrees to continue providing the
carriers with document readers on a no-fee loan basis.

Section 4: Data Accuracy
This section of the APIS MOU specifies the types of API data errors which will be counted
against carriers. The sufficiency rate, which is the primary statistical measurement of carrier
data integrity, is arithmetically defined. The stipulation that, when used to determine Blue Lane
eligibility, sufficiency rates will be calculated on a flight-by- flight basis, using a weekly (7 day)
average (regardless of the number of times the flight arrives during the weekly period) is
contained in this section, as well as the requirement that the government provide carriers, on
request, daily, weekly and monthly carrier performance reports.

Section 5: Administration
Section 5 of the APIS MOU establishes a government/industry administrative structure to
support the APIS program. For the FIS agencies, the INS Assistant Commissioner, Office of
Inspections, is the overall program administrator. Each of the FIS agencies also designates
national APIS coordinators responsible for the day-to-day administration of the APIS MOU, as
well as field APIS coordinators at each of the ports-of-entry servicing APIS flights. Each carrier
must designate a corresponding national (corporate) APIS coordinator as well as field APIS
coordinators at each of the ports-of-entry to which the carrier transmits APIS data. When a
carrier begins transmitting APIS data to a new port- of-entry, the carrier must designate a field

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APIS coordinator at that new port-of-entry. When a carrier adds or deletes APIS flights,
notification is required to be provided locally through the APIS coordinators to the II\IS Port
Director.
Local management, implementation and problem resolution is to be accomplished through Port
Quality Improvement Committees (PQICs) or other ad hoc joint management committees
composed of local representatives from the three FIS agencies, carriers and port authority.
Section 6: Performance
The final section of the APIS MOU outlines procedures for removing non-compliant flights from
Blue Lane eligible status. Basically, written notice must be served locally on non-compliant
flights by the II\IS Port Director. This written notice must include examples (data accuracy
reports) of the deficient performance. The notice places the flight in a "probationary status" for
60 days. (In actuality, this 60 day period consists of 8 weekly reporting periods - 56 days).
During the probationary period, the flight remains eligible for Blue Lane processing. However,
following the 8 week probationary period, the flight's performance is reviewed. Any flight that
has not improved to the minimum sufficiency rate in effect at that time will be served written
notice by the INS Port Director and removed from Blue Lane eligible status. Reinstatement can
be accomplished by the carrier providing a written request to the INS Port Director. The written
request must outline the problem and measures taken to correct the problem. Following receipt
of the request, reinstatement is contingent upon the flight meeting the sufficiency rate currently
in effect.

(c) APIS airport procedures. In accordance with the provisions of the APIS MOU and pursuant
to HQINS policy, the following airport primary passenger processing procedures shall be
implemented effective April 1, 1998:
(1) Elimination of Blue Lane stickers. Effective April 1, 1998, the requirement for carriers
participating in the APIS program to affix Blue Lane stickers to the travel documents of
passengers for whom API is collected is eliminated.
(2) Blue Lane eligibility. Only those APIS flights which meet the criteria of "Blue Lane
eligibility" will receive special processing benefits outlined in the APIS MOU.
This
determination will be made on a flight-by-flight basis locally at the port-of-entry. All flights
which are Blue Lane eligible will receive the special processing benefits outlined in the APIS
MOU. No flights which are non-Blue Lane eligible flights will receive these benefits.
There are two requirements for Blue Lane eligibility, both of which must be satisfied:
The carrier must be signatory to the APIS MOU (national-level approval)
and
The signatory carrier's flights arriving at the port-of-entry must meet the minimum

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sufficiency rate currently required by the APIS MOU (port-level approval)
(3) Carriers signatory to the APIS MOU (national-level approval). Effective April 1, 1998,
only those carriers signatory to the national APIS 1\I10U will be eligible for the processing
benefits outlined in the APIS MOU. The APIS MOU is a national-level agreement which is
executed at the Headquarters level.
The INS Assistant Commissioner, Office of
Inspections, is authorized to sign the APIS MOU on behalf of the three FIS agencies. An
appropriate airline corporate level officer will sign the APIS MOU on behalf of his/her carrier.
Regardless of whether or not a carrier transmits APIS data, no carrier which is not signatory
to the APIS MOU will be eligible for the processing benefits outlined in the MOU.

Note: Effective April 1, 1998, all flights of signatory APIS carriers will be marked with
asterisks immediately to the left of the two letter carrier code on the port-of-entry flight list,
which is accessed through the IBIS "IOPI" (IBIS Advance Passenger Information) function.
No flights of non-signatory carriers will have asterisks to their left in IOPI. Blue Lane
processing will not be provided for any flight which is not marked with an asterisk in IOPI.
(4) Blue Lane eligible flights (port-of-entry level approval). If a carrier is signatory to the
APIS MOU, processing benefits outlined in the MOU are NOT automatically granted to all of
that carrier's flights. Processing benefits outlined in the APIS MOU are granted on a
flight-by- flight basis at the port-of-entry depending on each flight's APIS sufficiency rate.
This requires that the port-of-entry routinely monitor (at least weekly) the sufficiency rates
for all APIS flights. Blue Lane eligibility is then granted only to those signatory carriers'
flights which meet or exceed the current sufficiency rate specified in the APIS MOU.

Note: Although all flights for signatory carriers will be marked with an asterisk immediately
to the left of the two letter carrier code on the arrival flight list in IOPI, currently the asterisk
does NOT indicate that the flight is Blue Lane eligible, only that the carrier as a whole is
signatory to the APIS MOU. System enhancements are being developed that will eventually
allow for system identification of Blue Lane eligible flights on a flight-by-flight basis.
However, until such time that these enhancements are in place, for flights which have been
marked with an asterisk, the determination as to the flight's Blue Lane eligibility must still be
made at the port-of-entry, based on the flight's sufficiency rate.
Even if all carriers at a given port-of-entry are signatory to the APIS MOU (all flights in IOPI
have an asterisk to the left of the two letter carrier code), not all flights arriving at that
port-of- entry may necessarily be Blue Lane eligible. Each signatory carrier's flight is
evaluated individually, based on its sufficiency rate. Only those signatory carrier's flights
which meet or exceed the current minimum sufficiency rate specified in the APIS MOU
qualify as Blue Lane eligible. The goal of granting and denying Blue Lane eligibility locally
on a flight-by-flight basis rather than carrier-wide is to focus appropriate carrier attention on
specific flight routes which are not providing the minimum acceptable level of APIS data.
(5) Blue Lane processing: all passengers on a flight or none. The APIS MOU requires that
the INS process passengers arriving on Blue Lane eligible flights through dedicated primary
inspectional lanes (Blue Lanes). ALL passengers on Blue Lane eligible flights will be

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processed through Blue Lanes. NO passengers on non-Blue Lane eligible flights will be
processed through Blue Lanes during the time that passengers on Blue Lane eligible flights
are being processed.
(6) Determination of Blue Lane eligibility: weekly sufficiency rate. Each port-of-entry must
determine, on a weekly basis, which flights are Blue Lane eligible. This determination is
based on each flight's sufficiency rate. Signatory carriers' flights which meet the current
minimum sufficiency rate will be granted Blue Lane eligibility.
The APIS MOU requires that a weekly (7 day) average sufficiency rate be used to
determine Blue Lane eligibility. A weekly average sufficiency rate report is available in IBIS.
The report may be accessed by selecting item number 3 (Weekly Carrier Sufficiency
Reports) in the 10PF (API Processed Flights) sub-menu of the 10 (Inspection Operations)
menu. To ensure that a standard weekly Blue Lane eligibility reporting period is used
nationally, all ports-of-entry should enter a 7 day date range beginning on a Monday and
ending on a Sunday when generating the report.
The APIS utilizes on-board passenger counts from the USCS Automated Commercial
System's Entrance and Clearance Reporting subsystem (ECAR) to calculate sufficiency
rates. Sufficiency rates cannot be reported until the on-board passenger counts for each
flight have been entered. On-board passenger counts are entered into ECAR by U.S.
Customs personnel locally at each port-of-entry. Data entry is usually performed daily for
the preceding day.
The INS and USCS APIS coordinators at the ports-of-entry must work together to ensure
that accurate and complete on-board passenger counts have been entered into the system
prior to generating carrier performance reports. It is the responsibility of the INS APIS
coordinators at each port-of-entry to review the on-board passenger counts and correct any
errors or omissions prior to generating carrier performance reports. Passenger counts can
be edited through lOPS - Process API Statistics. When errors are encountered, the INS
APIS coordinator should contact his/her USCS counterpart to ensure that local ECAR data
entry problems are addressed.
(7) Granting initial Blue Lane eligibility. Each new flight entering the APIS
meet the current minimum APIS sufficiency rate in effect for two consecutive
being granted initial Blue Lane eligibility. Notification of this initial grant
eligibility can be made verbally to the carrier's local APIS coordinator. No
notification for the initial grant of Blue Lane eligibility is required.

program must
weeks prior to
of Blue Lane
formal written

For those carriers which are signatory to the APIS MOU on April 1, 1998, ports-of-entry will,
on April 1, 1998, grant Blue Lane eligibility to those flights which have met or exceeded a
60% sufficiency rate for the two consecutive weekly reporting periods prior to April 1, 1998.
(8) Notification to carrier of failure to meet minimum sufficiency rate. If any Blue Lane
eligible flight fails to meet the current minimum sufficiency rate for one weekly reporting
period, the port-of-entry must provide a verbal or informal written notice to the carrier's local

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APIS coordinator. A copy of the weekly sufficiency rate report outlining the flight's deficient
performance should also be provided.
(9) Placing a Blue Lane eligible flight on probationary status. If a flight fails to meet the
current minimum sufficiency rate for two consecutive weekly reporting periods, including the
period covered by the informal notice (above), a formal written warning notice shall be
served on the carrier's local APIS coordinator by the INS Port Director or designee (see
sample notice in Appendix 26-3). A copy of the weekly sufficiency rate report outlining the
flight's deficient performance must also be provided with the notice. This formal written
notice places the flight in a probationary status for 8 weekly reporting periods, beginning
that week. Regardless of the flight's sufficiency rate, the flight cannot be removed from
Blue Lane eligibility during this 8 week probationary period unless agreed to by the carrier
(see voluntary temporary removal below).
(10) Revoking Blue Lane eligibility. All flights which have been served formal written
warning notices placing them on probation for 8 weeks will have their performance reviewed
at the end of that period. For any flight which does not meet the minimum sufficiency rate in
effect for the final four consecutive weekly reporting periods of that period, the INS Port
Director or designee will provide written notice to the carrier's local APIS coordinator,
formally revoking the flight's Blue Lane eligibility (see sample notice in Appendix 26-3). At
that time, the flight will be immediately removed from Blue Lane eligible status and no
passengers on that flight will be processed through the Blue Lanes.
Any flight which has been placed on probation for 8 weeks and has met the minimum
sufficiency rate for the last 4 consecutive weekly reporting periods will be automatically
returned to full Blue Lane eligible status.
(11) Reinstating Blue Lane eligibility. In order to reinstate a flight which has had its Blue
Lane eligibility revoked, the carrier's local APIS coordinator must submit a written request to
the INS Port Director asking for reinstatement. The written request must outline the
problem which caused the poor performance and the measures taken by the carrier to
correct the problem.
The first time that a flight's Blue Lane eligibility is revoked, reinstatement is contingent upon
the flight meeting the minimum sufficiency rate in effect for 4 consecutive weekly reporting
periods prior to reinstatement. For any flight which has had its Blue Lane eligibility revoked
more than once, reinstatement is contingent upon the flight meeting the minimum
sufficiency rate in effect for 6 consecutive weekly reporting periods prior to reinstatement.
(12) Voluntary temporary removal. Any carrier which is aware that it is (or will be) facing
significant systems outages or long term telecommunications problems beyond its control
(facility fire, extreme weather conditions, etc.), may request from the INS Port Director that
a flight or flights be immediately removed from Blue Lane eligible status. By immediately
removing flights which are temporarily unable to transmit APIS data from the Blue Lanes,
the carrier is providing a service to other APIS carriers, as well as to the FIS agencies, by
helping to maintain the level of passenger data integrity in the Blue Lanes.

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Under theses circumstances, the INS Port Director will, upon request, immediately remove
the flight(s) from Blue Lane processing without issuing any type of formal written notice.
The flight(s) will continue to be ineligible for Blue Lane processing until such time that the
problem is fixed and the carrier requests the INS Port Director to begin processing the flight
through the Blue Lanes again. Upon receiving this request, the INS Port Director will
immediately resume processing the flight through the Blue Lanes and return the flight to the
status it had at the time of voluntary removal (i.e., if the flight was Blue Lane eligible, it
returns as Blue Lane eligible; if the flight was in the third week of probation, it returns in the
third week of probation, etc.).
(13) Continued Blue Lane eligibility: sufficiency rate increases. Beginning April 1, 1998, the
minimum sufficiency rate for Blue Lane eligibility is 60%. The APIS MOU specifies future
dates on which higher minimum sufficiency rates for Blue Lane eligibility become effective:
January 1, 1999
October 1, 1999
April 1, 2000

75% sufficiency rate
80% sufficiency rate
90% sufficiency rate

Each of these dates fall somewhere in the middle of the standard Monday-Sunday weekly
sufficiency rate reporting period. For flights that do not meet the higher standard on these
dates, no adverse action will be taken until that weekly period is over and the weekly
sufficiency rate report has been generated. Flights which meet or exceed the new, higher
rate for the reporting period will continue to be Blue Lane eligible. Flights that do not meet
the higher sufficiency rate will be handled in accordance with standard procedures outlined
above.
(14) Accessing carrier performance reports through IBIS. Ports-of-entry are responsible for
providing daily, weekly and monthly APIS carrier performance reports to carrier
representatives upon request, and for providing reports when issuing formal warning and
revocation notices. Summary APIS carrier statistics, as well as detailed flight level error
reporting, are available through the 10PF sub-menu of the IBIS 10 menu. 10PFcontains
three options:
1. Daily Port Summary of Carrier Performance (Display Only)
2. Carrier APIS Daily Error Reports (Print)
3. Weekly Carrier Performance Report (Print)

As stated earlier, the weekly sufficiency rate report used to determine Blue Lane eligibility is
generated via item 3. AlthoUgh this report provides a statistical summary of carrier
performance, it does not contain the detailed information necessary for carriers to identify
specific types of APIS errors. The best method of identifying the types of APIS errors that
are being encountered on a particular flight is to generate a list of the actual transmission
errors (incorrect names, dates of birth, etc.). This list, which can be released to carrier
representatives, may be generated through the following procedure:

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Access IOPF menu item 1 (Daily Port Summary of Carrier Performance)
Enter the date for the report, the carrier code and flight number (or scroll through the screen
to the flight)
Enter a "V" (View Pax) to the left of the carrier code and press ENTER
This screen lists only those APIS records for the flight that are identified as errors. Press
F16 to print this list
To display the entire flight list (all accurate and error APIS records transmitted) press F15.
This screen lists the entire APIS passenger list for the flight and includes errors and
corrections. Press F16 to print this list.

Note: The above procedure is the only authorized procedure for generating detailed APIS
passenger lists which can be released to carrier representatives. APIS passenger lists
which contain IBIS query results cannot be released. The release of any passenger lists
which contain IBIS query results is a security violation. The above procedure produces
passenger lists which do not contain IBIS query results.
(15) Blue Lane queue management. One key to the success of the APIS program is
proactive INS management of the Blue Lanes at ports-of-entry. Blue Lanes must be
managed in such a way as to ensure that:
1. Only those passengers on Blue Lane eligible flights are processed through the Blue
Lanes
2. All flights processed through Blue Lanes meet the processing goal times specified in the
APIS MOU
3. Passengers on non-Blue Lane eligible flights continue to be processed within the 45
minute Congressionally mandated time.
When a port-of-entry is simultaneously processing Blue Lane and non-Blue Lane eligible
flights, it is recommended that, in order to ensure that the Blue Lane eligible flights are
provided the necessary resources to meet the processing time goals specified in the APIS
MOU, to the extent possible, the staffing of lanes for non-Blue Lane eligible flights shall not
exceed that necessary to meet the 45 minute Congressionally mandated time.
Under no circumstances should passengers on Blue Lane eligible flights be queued behind
passengers on non-Blue Lane eligible flights. When clearing passengers on non-Blue Lane
flights through empty Blue Lanes, passengers should be moved over one or two at a time
(or in family groups) from the front of the non-Blue Lane queues to the empty Blue Lanes.
Entire non-Blue Lane flights should not be moved en masse to form queues in the Blue
Lanes.

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Facility constraints such as shallow queuing areas, too few primary booths, etc. may
severely limit the number of queue management techniques that can be employed at some
ports-of-entry. However, physically separating Blue Lane eligible flights from non-Blue Lane
eligible flights is critical to the success of the APIS program. At locations where separating
flights is problematic, to the extent practical, consideration should be given to changes in
existing queue configurations (such as changing the lanes from single lanes feeding a
single booth to bank lanes feeding a number of booths, or a combination of both, or locating
the Blue Lanes near an entrance utilized primarily by Blue Lane eligible flights, etc.). If the
three FIS agencies, carriers and port authority at a port-of-entry all agree that Blue Lane
separation cannot be accomplished at INS primary, the group must continue to work
together to provide enhancements at other points in the passenger clearance process which
clearly benefit the passengers on Blue Lane eligible flights.
(16) APIS FIS processing cycle times. The definition of the FIS processing cycle time is
contained in paragraph 3.3 of the APIS MOU: "Processing cycle time will begin with first
passenger entry into the FIS arrivals area and will end with last passenger, requiring only
primary inspection, through the facility exit." Due to the operational complexities of
accurately measuring the cycle time as defined by the APIS MOU, a cycle time estimation
methodology has been adopted. This methodology assumes a processing cycle time that
begins when the "average" passenger on the flight (rather than the first passenger) enters
the FIS arrivals area and ends when the "average" passenger on the flight (rather than the
last passenger) exits the facility.
The method for establishing the time the "average" passenger on a flight enters the FIS
arrivals area is to add a "terminal average walk time" to the flight block time. For simplicity,
a single average walk time will be used for each arrivals terminal. The terminal average
walk time equates to the time it takes the middle passenger on a flight arriving at the middle
gate to deplane and walk to the FIS arrivals area.
The terminal average walk time will be established locally through informal time studies
conducted jointly by port-of-entry management. Carriers and the port authority at the
port-of- entry should be involved in measuring this time and all parties must agree that the
walk time number to be used is a reasonable estimate. The terminal average walk time
must be established for each arrivals terminal prior to April 1, 1998. The walk time should
be re-measured as necessary when conditions change or when it appears to be providing
inaccurate estimates.
The USCS is responsible for establishing the time the "average" passenger on a flight exits
the facility. This may be determined by using one of a number of a sampling techniques or
other agreed upon methodologies. Until such time that this process can be automated
through IBIS, USCS at each port-of-entry is responsible for providing FIS cycle time reports
to the carriers and to INS management.
(17) IBIS processing times (first to last primary query). Because the system collects flight
information for all passengers on all flights (APIS and non-APIS) queried on primary, the

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system can calculate the time from the first INS primary query to the last INS primary query
for all flights processed through the port-of-entry. However, it is important to note that the
first-to-Iast passenger query time does not necessarily equate to the actual INS flight
processing time. The system simply calculates the elapsed time from the first query
associated with a particular flight time to the last query associated with that flight. If, for
example, a group of VIPs are expedited, the time will start with the first query of the
expedited passengers, even though the bulk of the passengers may not be presented for
inspection for some time.
(18) Accessing port-of-entry primary processing statistics through IBIS. Port-of-entry
primary processing reports which contain processing information for every flight processed
at the port-of-entry (APIS and non-APIS) are available in IBIS. These reports contain
information on passenger counts, number of lanes through which passengers were
processed, first-to-last query time, and a 24 hour time line that graphically displays
terminal-wide processing volume. Primary processing reports are available through the
MIYO (IBIS On-Demand Reports) sub-menu of the IBIS MI (Management Information)
menu. On-demand reports must be submitted to the mainframe and then re-accessed a
short time later to obtain the results. The procedure for submitting and retrieving a
port-of-entry primary processing report is as follows:
Select item number 5 (Submit On-Demand API Confirmation Report) from the MIYO menu.
Enter the dates for the report and accept the rest of the defaults. Press ENTER then press
F4 to return to the initial MIYO menu.
After several minutes, select item number 1 (View On-Demand Report) from the MIYO
menu. A list of reports which you have previously submitted will display.
If the code to the right of the report is "C" the report is ready for viewing. If the code is "S"
the report has not yet been processed by the mainframe.
If the code to the right of the report is "C," enter a "V" in the space to the left of the report to
be viewed. Press ENTER.
The report is a wide format report and does not display on a single screen. The best way to
view the report is to print it on a wide carriage printer. Press F16 to print the report.

26.3 Carrier Consultant Program (CCP)
(a) Background. Section 124 of the Illegal Immigration Reform and Immigrant Responsibility
Act of 1996 (IIRIRA) required the Service to provide training to airline personnel in the detection
of fraudulent documents. This section of IIRIRA amended Section 286(h)(2)(A) of the
Immigration and Nationality Act (INA) and specifically required that expenses incurred under the
user fee account shall include "the detection of fraudulent documents used by passengers

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traveling to the United States, including training of, and technical assistance to, commercial
airline personnel regarding such detection." In addition, the new law requires that for any fiscal
year, not less than five percent of the total revenues collected shall be used for this purpose.
The Immigration and Naturalization Service (INS) designated the management for carrier
training within the Office of Inspections, Field Operations, Carrier Affairs Office (CAO). This
activity is designated the Carrier Consultant Program (CCP).

(b) Mission and Goal. The mission of the CCP is to provide national guidance and assistance
to all Government officials involved in the assisting of air transportation industry on issues of
admissibility and fraud document detection in order to encourage carrier compliance with United
States immigration laws. A goal of the CCP is to reduce illegal migration by means of training
airline personnel on how to identify inadmissible aliens before arrival in the United States and to
provide standardized training in order to maintain the equitable treatment of carriers in the
assessment, defense and collection of fines and liabilities. In addition the goal includes the
reductions of the number of fines assessed as a result of airlines transporting inadequately
documented individuals to the United States.
(c) Carrier Consultant Program Responsibilities. The CCP provides national guidance and
assistance to members of the air transportation industry on issues of admissibility and
document fraud in order to encourage carrier compliance with United States immigration laws.
The goal of the CCP is to reduce or eliminate the arrival of improperly documented passengers
at the ports-of-entry (POEs). These efforts include the development of national policy on the
relationship between the INS and the transportation industry, the creation and implementation
of a standardized training curriculum on international travel documents, the initiation of training
instructors who are INS personnel, and the creation of a central database for all carrier
training-related information and intelligence for use in planning a world-wide program.

(d) CCP Strategy. The basic strategy of the CCP is to work with members of the transportation
industry to reduce or eliminate the arrival of improperly documented passengers at United
States air ports-of-entry by intercepting inadmissible passengers prior to their departure to the
United States. This strategy uses two approaches, first, by providing training to airline
personnel in the detection of fraudulent documents; and second, by insuring that this training is
standardized in order to maintain the equitable treatment of carriers in the assessment,
defense, and collection of fines and liabilities by the National Fines Office (NFO) under Sections
233 and 280 of the Act.
(e) Three Levels for Interdiction Training. The program provides for three levels of interdiction
training. The first is overseas locations, the second at domestic ports-of-entry and the third at
centralized operation with a carrier response center located in Washington, D.C. At the
overseas offices, specially trained officers conduct training and respond to inquires from the
carriers at various overseas locations. The second line of interdiction occurs at ports-of-entry
where specialized units conduct training at the major air ports-of-entry and are available to
respond to the unique conditions or patterns of fraud at that port and once again be available to
the airlines to respond to airline carrier inquires. The third and final line of interdiction is at the
national level where staff develops standardized training, trains instructors who serve at the
ports-of-entry and at the overseas offices, and at a twenty-four hour seven day a week facility
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will be fully staffed to respond immediately to any inquires coming from airline carriers
anywhere in the world.

(f) Carrier Consultant Program Staffing. The CCP is staffed with Immigration Inspector (Carrier
Consultants) [GS-1816 - 12] and a Director [GS-1816-13].
(g) Carrier Consultant Program Steering Committee. The steering committee advises the
Director of the Carrier Affairs Office on issues that impact on the Carrier Consultant Program.
The committee is comprised of program managers from Carrier Affairs Office, Carrier
Consultant Program, Field Operations, Inspections, International Affairs, Intelligence,
Personnel, Training, and the Department of State Office of Fraud Prevention Programs.
(h) Carrier Consultant Working Group (CCWG). The CCWG is comprised of staff from the INS
Headquarters Offices of Field Operations, International Affairs, Inspections, Intelligence, Carrier
Affairs Office, Carrier Consultant Program, Forensic Document Lab; the Department of State
Bureau of Consular Affairs Office of Fraud Prevention Program, the Bangkok, Mexico City and
Rome District Offices; Central, Eastern and Western Regional Inspections, the ports-of-entry of
Atlanta, Chicago, Dallas, Hawaii, Long Beach, Los Angeles, Miami, Newark, New York,
Orlando, San Francisco, San Juan, and Washington. Reports on carrier training programs are
presented at the meetings along with continued introduction of the program to INS program
managers and filed input to the continuing development of the program.
(i) Communication within and outside the Service.
(1) CAO Bulletin Board / SITA: The bulletin board was established on November 12, 1998.
Bi-weekly articles are posted that deal with distribution of information to intercept
inadmissible travelers prior to their arrival in the United States. CCP has requested SITA
terminals at the CAO, Headquarters Inspections, and 15 ports-of-entry. The SITA terminal
will provide immediate access to the carriers, as it is the carrier's method of communication
between their organizations and each other.
(2) Airline Working Group / Inspections User Fee Advisory Group / IATAICAWG Meetings:
The CCP presents reports on projected plans to our partners in the airline industry at these
meetings.

U) Yearly Strategic Plan. An initial methodology was developed to determine how to select sites
for training carriers.
Data from the National Fines Office System (f\lFOS), Record of
Inadmissible Passengers (RIPS), and Intelligence recommendations were utilized. Future plans
will include data collected from carrier intercepts.
(k) Standardized Training. The CCP has the basic responsibility for the development and
formulation of policy and training materials to accomplish the above strategy. The CCP
manages overall training of INS personnel and carriers, both domestic and overseas. It
determines and develops training content, proposes standard training and core curriculum,
develops an annual training schedule, and trains trainers who conduct seminars on a routine
basis throughout the world and respond immediately to special problems as they occur at

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domestic and foreign locations. The overseas operations staff accomplishes the majority of the
field training of carrier and foreign officials. The NFO and the Forensic Document Lab (FDL)
are used to provide expertise in the development of the training materials. Coordination and
oversight is a major responsibility of the CCP. This includes working with the carriers and
carrier organizations to identify training and other needs, providing assistance to the carriers in
the development of their own training programs, and providing follow-up support and guidance
to carriers on inspectional issues.

(I) Training Curriculum. The CCP developed an Interim Training Program to be used until the
permanent training curriculum development is completed in 1999. It consists of modules on
basic document examination, United States documents from II\IS and the Department of State,
passenger assessment, and detecting impostors. It incorporates material for both basic and
advanced lesson plans designed for presentations to airline and aviation security personnel.
The emphasis is on the introduction of standard processes and procedures for examining
documents and identifying document security features. The training also includes an advanced
lesson plan for personnel with significant experience examining travel documents. The
emphasis is on building a proper knowledge of standard processes and procedures for
examining documents and identifying document security features.
The CCP is in the process of establishing a professionally designed "Carrier Training Course"
with both a Distance Learning Program and Instructor Led course. The course covers topics
such as Advanced Passenger Information System (APIS), Entry Requirements, Document
Examination, Fraudulent Document Detection, Passenger Assessment, Impostor Identification,
and Current Trends. The courseware will allow trainers the freedom to evaluate their learning
audience and select modules that provide the most benefit to the students. The proposed
Distance Learning Course will be CD-ROM based and is intended for new carrier employees
requiring general guidelines and basic information. A comprehensive guide is also being
developed for an Instructor Led course that will be used by all U.S. Government officials who
are presenting the courseware to individuals who have completed the Distance Learning
training or have some measure of field experience. A sample passport is also being developed
as a training aid. It will contain the majority of security features common to all travel documents
in the world.
The CCP plans to train II\IS Officers in a series of Interim Training Program Familiarization
Conferences. These chosen by their District Director or Port Director will comprise the initial
cadre of carrier instructors at domestic ports-of-entry and overseas locations. After completion
of the final training product, the CCP will host a Train-the-Trainer course on the new curriculum.
This cadre of carrier instructor is an alternative method the CCP developed to expand the
effectiveness of the Carrier Consultant Program, both domestically and internationally without
additional permanent positions.

(m) Carrier Training for Mitigation of Fines.

Section 209(a)(6) of the Immigration and
Nationality Technical Corrections Act of 1994, Public Law 103-416, dated October 25, 1994,
provides procedures carriers must undertake for the proper screening of aliens at the port of
embarkation. Carriers must demonstrate that they have taken reasonable steps to prevent the
boarding of improperly documented aliens destined to the United States, and are willing to

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participate in INS training programs. The CCP designed and published training aids (the
Carrier Information Guide, the Quick Check Guide and Easy Come, Easy Go) for distribution to
the carriers in support of the fines mitigation Memorandum of Understanding. Carriers may
request training by submitting a written request to the Director of the Carrier Affairs Office. The
CAO will coordinate with the overseas offices, the ports-of-entry, and the Department of State
to facilitate the most efficient method to provide training to the carrier.
Examples of the reasonable steps a carrier must undertake to show proper screening of
passengers includes: 1) providing information regarding the carrier's document screening
training program, including attendance of the carrier's personnel in any Service, Department of
State, or other training programs, the number of employees trained, and a description of the
training program; 2) information regarding the date and number of improperly documented
aliens intercepted by the carrier at the port(s) of embarkation, including, but not limited to, the
alien's name, date of birth, passport nationality, passport number, other travel document
information, reason boarding was refused, and port of embarkation, unless not permitted by
local law or local competent authority, in such instances, the carrier shall notify the Service of
this prohibition and shall propose alternative means for meeting this objective; and 3) any other
evidence to demonstrate the carrier's efforts to properly screen passengers destined to the
United States.
The CCP will maintain this information in databases to evaluate the
effectiveness of the CCP training programs, for the reduction of fines under Section 273, and to
develop the annual strategic plan.

(n) Carrier Questions, 24 hours-per-day / 7 days-per-week. The Service will provide a variety
of locations for carriers to consult prior to boarding a passenger to travel to the United States.
Carriers will be able to have their questions concerning the authenticity of a passenger's
documentation or in determining whether a person is properly documented answered. The
domestic and overseas offices of the INS will be available for consultation with carriers 24
hours-per-day.
In addition, a 24 hour-per-day, worldwide carrier response center will be established. This will
be the primary contact point at the national level for transportation companies who are assisting
INS in the enforcement of our immigration laws. This center will provide definitive guidance
regarding issues of admissibility and carrier liability. The domestic and foreign district directors
will be part of this worldwide operation to handle local issues. Immigration Officers with
decision-making authority will be on duty and will respond to all carrier inquires. These
activities typically occur at airport ticket counters and boarding gates overseas minutes before a
scheduled flight departure

(0) Expansion of Carrier Consultant Program. The CCP has proposed to strengthen the INS's
ability to reduce illegal migration, facilitate field-headquarters communication, and support
carrier-training requirements.
This proposal will provide resources to insure worldwide
guidance and assistance to domestic and overseas offices and the transportation industry on
issues of admissibility, fraud deterrence, and carrier responsibilities in order to encourage
carrier compliance with U.S. immigration laws. This increased staffing will expand the
programs at both the domestic and international level. The proposed expenditure of five
percent from the Inspections User Fee Account will include enhancements to the Carrier
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Consultant Program, domestic ports-of-entry (POEs), International Affairs, and the Forensic
Document Laboratory and provide for funding to other government organizations such as the
Department of State on an as needed basis.
(Added IN99-18)

26.4 Inspections Response Teams (IRT)
(a) Background. On June 19, 1996 the Commissioner approved the Enforcement Standards
for Service Special Response Teams (SRT's). At that time IRT was recognized and designated
as one of two national INS SRT's. Formed at the same time was the INS Special Response
Review Board which was tasked with many authorities and responsibilities, one of which is the
approval of each SRT's standard operating procedures. The IRT's SOP was approved late in
1996.
(b) Mission. The mission of IRT is to plan, coordinate, lead or assist in the continuance of the
inspection process or in the protection of persons and or property under the control of this
Service, domestic or foreign. The IRT was formed as an answer to the growing number of
emergency situations, arising at ports of entry, which required an immediate and organized
response from Inspections personnel. The team is a highly mobile, fully trained unit capable of
meeting the need of a district during a defined incident or emergency. IRT will afford a level of
expertise which will complement other INS operating components which might also respond to
a given situation.
(c) Structure. The IRT is composed of a commander, deputy commander, and three regional
assistant commanders. Within each regional IRT there are four squads of seven inspectors
each and an alternate roster of 12 members. Each squad has a squad leader appointed by the
respective regional assistant commander. When not active IRT falls under the direction of the
assistant commissioner for Inspections. Once activated IRT is under the direction of either the
executive associate commissioner for operations or a regional director.
All Inspections Canine Teams are ad hoc members of the IRT. Most IRT operations utilize
canine teams to perform searches for both concealed aliens and narcotics.
(d) Membership. IRT members are volunteers selected from the Inspections ranks and must
be full time permanent employees and graduates of either IOBTC or the Border Patrol
Academy. Membership is limited to GS-9 Inspectors, Senior Inspectors, Special Operations
Inspectors, GS-11 Supervisory Inspectors and GS- 12 first line Supervisory Inspectors. An
application for membership is submitted to an appropriate regional assistant commander. The
application must include a first line supervisor's recommendation which includes the
concurrence of the port director and district office concurrence. Attached to the application
must be a list of the applicant's special skills, abilities, training, and previous detail experience.
All applicants are required to pass the FLETC Physical Evaluation Battery (PEB) which will be
administered by a certified IRT evaluator. Additionally, all IRT candidates must submit copies
of firearms qualification scores demonstrating that they have, or can, qualify at the 85%
minimum for IRT.

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IRT has the capability of responding to an emergency situation at or near a port of entry,
conducting special operations on a national or regional basis, and performing threat
assessments at ports of entry.
(e) Training. IRT members attend Basic IRT training at Artesia and Port of Entry Readiness
Training (PORT) at BORTAC headquarters in EI Paso, Texas. Additionally all IRT members
are required to attend 8 hours of training per month or 24 hours within a quarter.

26.5
Immigration and Naturalization Service Passenger Accelerated
Inspection System (INSPASS)
(a) General. INSPASS is the combination of an enrollment procedure, automation, and
biometrics (the precise measurement of one or more biological characteristics) which
allows approved frequent travelers (both United States citizens and aliens) to bypass
the normal one-on-one inspection in favor of a fully automated process. Participants, in
effect, inspect themselves upon arrival at an INSPASS equipped port-of-entry to the
United States. The INSPASS, a mainframe-based application, is a joint project of INS
and the U.S. Customs Service (USCS). The INSPASS is a facilitation initiative within
the PORTPASS program discussed in Chapter 26.1. The PortPASSIINSPASS card
contains three lines of information written in Optical Character Recognition, Type B
(OCR-B) font. Data is printed in the OCR-B zone that will be used at the time the
cardholder returns to the United States.
(b) Application procedures. Those eligible must apply by filing Form 1-823, Application Alternative Inspection Services, with the INS, at an INSPASS Enrollment Office.
Application forms are available and may be filed at any INSPASS or
PORTPASS-equipped port-of-entry, or by mail. The application requests information
relating to the purpose and frequency of travel to the United States. In addition, the
applicant's signature is required, certifying the accuracy of the information.
(c) Initial Processing. Upon receipt of an application, check lookout databases including
the Interagency Border Inspection System (IBIS), and as appropriate, the National
Automated Immigration Lookout System (NAILS), Nonimmigrant Information System
(NilS), and the National Crime Information Center (NCIC). If no information prejudicial
to the applicant is obtained, retain the application pending appearance of the applicant
before an immigration officer.
(d) Decision. When an applicant appears for inspection and card issuance, conduct an
interview to verify admissibility, take a digital photograph, collect his/her hand geometry and two
index fingerprints using the various biometric image collection devices incorporated in the
INSPASS enrollment system. The captured biometric measurements, with other data, are
encoded into an OCR-B format for scanning by document readers. In addition, the magnetic
stripe located on the reverse of the card contains basic information that can be machine read
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and used to access the corresponding enrollment record. After satisfactory checks have been
made and the applicant is found to be eligible for the program, complete INSPASS enrollment
processing, save the completed enrollment record, and proceed to issue a PortPASS/INSPASS
card. Possession of the PortPASS/INSPASS card does not relieve the holder from complying
with any currently existing documentary requirements or from inspection by other Federal
agencies. The Service retains the right to conduct a full inspection of the user at any or every
time he or she seeks entry into the United States. This is made known to the traveler on the
enrollment form and again at the time of enrollment.
(e) Conduct of an Inspection Using an INSPASS card. At the time of arrival at an INSPASS
equipped port-of-entry, the INSPASS user proceeds to the automated inspection stand for
accelerated inspection processing. The captured biometrics and enrollment data are the basis
for establishing identity, admissibility and participation in the program. In practice, this means
the INSPASS user places his/her machine-readable card in the document reader. Participation
in INSPASS is then confirmed against the enrollment database. If confirmed, the traveler is
instructed to place his/her hand on the hand geometry reader, which confirms that the person
being inspected is the same individual who was enrolled into the INSPASS Program. If the
user's identity is confirmed and the database checks are satisfactory, a receipt is printed for
U.S. citizens and non-controlled aliens. The departure portion of Form 1-94 /1-94W is printed for
controlled aliens. At some INSPASS ports-of-entry, removing the receipt or 1-94 form from the
printer causes an electrically locked gate to open and the traveler is allowed to exit the INS
portion of the Federal inspection area. At most INSPASS ports-of-entry gates are no longer
used. In this scenario, the screen message that directs the traveler to remove his/her receipt
also instructs his/her to proceed to USCS. A record of the INSPASS user's entry to the United
States is noted in the IBIS travel history database and subsequently added to NilS. The printed
receipt or form must be shown to a security person to exit the Federal Inspection Services (FIS)
area. At most INSPASS locations, this is a USCS officer stationed at the exit from the FIS who
usually collects customs declarations from travelers departing the FIS. There are security
features and a daily randomly generated code printed on the paper is used to preclude
counterfeiting of the receipt. Additionally, the computer selects a random sample of persons to
be inspected manually to ensure compliance with all requirements of the program. This allows
the Service to detect instances of abuse of the system or failure to comply with all program
requirements.
(Revised IN99-19)

26.6 Inspections Canine Program
(a) Background. The inspections Canine Program was initiated during 1986 in the San Diego
District after several instances of aliens being injured during searches of large vehicles. it was
decided that the canines would be trained in the detection of human beings and specific
narcotics. A further consideration was that the canines would be trained to "alert" to either
human beings or narcotics in a passive manner to avoid injury to humans and damage to
vehicles. Three canines entered on duty at San Ysidro and one at Calexico Ports of Entry.
Immigration inspectors informally competed for the positions and once selected accepted the
assignment as a collateral duty.

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(b) Training. During the early years of the program different contractors trained both canines
and handlers. During this this period of time a facility was under development in EI Paso,
Texas. In 1992 the National Canine Facility (NCF) opened and all Service canine teams are
now trained at this site. The NCF is currently staffed by Border Patrol personnel. Training for
handlers consists of a six-week program which is both physically and mentally demanding. A
series of written tests are required of the handlers as well as continuous evaluation of their skills
with the canine. The final three days of the training is a written test taking a full eight hours and
two days of evaluation by canine instructors in the handling of their canine in the detection of
both concealed humans and narcotics. If successful the handler and canine are certified as a
team for a period of one year. Once back at their respective port of entry all canine teams train
a minimum of 16 hours per month under the direction of an Inspections Canine Instructor.
(c)
Inspections Canine Handlers. Handlers are selected from the ranks of Immigration
inspectors, seniors and special operations inspectors.
The selection process considers
motivation, previous experience, physical condition and skills that have been determined
desirable in the handling of animals. The handler is required to safely use a canine in an area
generally occupied by many civilians as well as by other law enforcement agencies.
(d) Canines. Canines currently purchased by the Service originate in Europe and are provided
by a vendor under contract to the Service. The canines of choice are Belgian Malinois, Dutch
Shepherds and German Shepherds. These particular breads have historically demonstrated
the required drives necessary in a detection canine. Once delivered to the NCF each animal is
tested to determine that that possess the required drives that will insure their success in the
inspections environment. Only those canines that pass all phases of testing are retained for
training.
(e) Inspections Canine Instructors. Canine instructors are required to complete an eleven week
training program at the NCF. The training includes recognition of canine drives, canine
physiology, correction of unacceptable behavior, canine first aid and the relationships between
the canine and the handler. Case law affecting canine teams as well as legal responsibilities of
the teams are thoroughly studied. During the course all instructors are required to perform the
preliminary training of canines before the arrival of a handler class. once certified as an
instructor they will be detailed to the NCF to conduct the training of new Inspections canine
teams. At their port of entry the instructors conduct the required biweekly maintenance training
of all canine teams at the port. Additionally they conduct the required annual testing of all
teams for recertification. Every two years the instructors are required to return to the NCF for a
one week recertification course.
(f) Utilization. Canine teams perform a variety of functions including the searching of vehicles
and trucks at ports of entry, searching of vessels at seaports, luggage searches at airports,
assisting various law enforcement task forces in the searches of residences and out buildings
and drug searches of Service detention facilities.
The canine teams are used in drug education programs at local schools and civic organization
functions. Several of the teams compete in local, state and national canine trials. Trophies

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adorn the offices of several ports of entry where their teams have been very successful in
competition. Following the earthquake in San Francisco three canine teams were sent in the
effort to locate victims believed to be buried in building rubble.

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Chapter 27: Departure Controls (Added INS - TM2)
27.1
27.2
27.3
27.4
27.5
27.6

General
Prevent Departure Procedures
Aliens Seeking to Depart without Evidence of Compliance with Federal Income Tax
Laws
Protective Custody
Verification of Departure
Departure Controls at Guam, Puerto Rico and the U.S. Virgin Islands

References:
INA:

Sections 215, 231 (b), 251 (c).

Regulations:

8 CFR 215, 22 CFR 46.

27.1 General.

(Revised IN02-34)

Section 215 of the Act includes broad authority to regulate the departure of aliens and citizens
from the U.S. Sections 231 and 251 of the Act require operators of vessels and aircraft
departing the U.S. to submit departure manifests in order for the Service to obtain information
regarding the departure of persons from the U.S. Although as a general rule the Service does
not formally inspect persons departing the United States, regulations provide for departure
control in several specific instances:
(a) Departure control of persons leaving Guam, Puerto Rico and the U.S. Virgin Islands for
other parts of the US are subject to departure inspection. [See Chapter 24.3.]
(b) Crewmembers of vessels departing may be inspected upon departure to insure compliance
with the INA. [See Chapter 23.9.]
(c) Special departure provisions apply to persons falling under the National Security Entry Exit
Registration System (NSEERS). The regulatory authority for the NSEERS program can be
found at 8 CFR 264.1 (f). [See Appendix 15-9(a).]
(d) In an instance where it is deemed prejudicial to the national interests, the Service may
direct, with certain exceptions, that an alien not depart from the U.S.

27.2 Prevent Departure Procedures.
Authority to prevent the departure from the U.S. of persons whose departure would be
prejudicial to the national interests is contained in section 215 of the Act. The specific reasons
for prevention of departure and the rules for the conduct of proceedings are detailed in that
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section and in 22 CFR 46. Form 1-281 is used to notify carriers of the provisions of section 215
of the Act and to advise them that they may be required to prevent the departure of particular
individuals from time to time. Prevention of departure can be accomplished most effectively
through informal liaison with carriers to obtain advance departure flight information, including
both passenger manifests and general departure flight schedules. Notices to prevent departure
at the request of other agencies are maintained locally and should be rescinded at the end of
one year or after they have served their purpose.

27.3 Aliens Seeking to Depart without Evidence of Compliance with Federal
Income Tax Laws.
Any alien, other than a nonimmigrant A, C-2, C-3, G or NATO, seeking to depart the U.S., in
whose case a district director of the Internal Revenue Service has advised in writing that
information indicates the alien may intend to depart in violation of the IRS code, and has
requested prevention of the alien's departure without a certificate of compliance with 26 U.S.C.
6851 (d)(1), shall be served with a written temporary order pursuant to 8 CFR 215.2. The order
shall direct the alien not to depart or attempt to depart from the U.S. until the order is lifted. A
final order preventing departure shall be revoked upon notice from the district director of IRS
that the subject's presence in the U.S. is no longer required under 8 CFR 215.3(g) or (h), or
upon presentation by the subject of an IRS certification that he or she has complied with income
tax laws.

27.4 Protective Custody.
Protective custody may be provided to any consenting alien falling within the purview of 8 CFR
215.3U) and 22 CFR 46.3U), upon authorization from Headquarters, following a request from
the Department of State or, where urgent circumstances warrant it, without such a request. In
the latter instance, Headquarters must be notified of the facts surrounding the decision as soon
as practicable.

27.5 Verification of Departure.
In certain instances, immigration officers will be requested to specifically verify the departure of
a particular person. Such requests are typical in situations where the alien is under a
departure bond, the alien is departing pursuant to an order of deportation or voluntary departure
with an alternate order of deportation or where a carrier has been served with an order to
remove the alien. You may be requested to particularly note the back of the departure 1-94 or
execute Form 1-392. In any such instance, be sure that you verify the identity of the person
departing, comparing the passport photograph to the person departing. Verify that the
individual actually departs, either across the land border into Canada or Mexico or boards the
aircraft or vessel immediately prior to actual departure.

27.6 Departure Controls at Guam, Puerto Rico and the U.S. Virgin Islands.
[See Chapter 24.3.]

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Chapter 28: Missing or Abducted Children and Runaways (Added INS TM2)
28.1
28.2
28.3
28.4
28.5
28.6
28.7

28.8

Introduction
Related Legislation
Abductions, International Abductions and Runways
Primary Inspection
Secondary Inspection
Lookouts
Sources of Assistance
Child Sex Tourism

References:
INA:

Sections 212(a), 235, 287.

28.1 Introduction.
According to research by the National Center for Missing and Exploited Children (NCMEC) and
the Department of Justice, each year there are more than 350,000 family abductions, over
4,000 non-family abductions, and 114,600 attempted non-family abductions. Of the non-family
abductions 300 children were gone for long periods of time or murdered. Since 1983, over 140
infants have been abducted from both hospitals and homes, 450,700 children ran away,
127,200 were intentionally thrown away or abandoned, and 438,200 were lost, injured or
otherwise missing. In addition to the domestic problem of missing and abducted children, the
abduction of children across international borders is increasing.
The NCMEC annually reports hundreds of cases involving international abductions, and the
Department of State Office of Children's Issues (DOS/CNOCI) has about 1,000 international
abduction cases open at any time. In response, several pieces of legislation have been
passed, and over 46 nations have signed the Hague Convention on the Civil Aspects of
International Child Abduction.
Immigration officers working at U.S. ports-of-entry are ideally situated to help identify and
interdict missing or abducted children and to assist local authorities in returning these persons.
This chapter provides the officer with background information on abductions and runaways,
procedures for conducting primary and secondary inspections and reference material to assist
the officer. Included are techniques on identifying abductions or runaways, basic psychological
profiles, and questions and procedures for handling positive identification of an abductee or a
runaway. The reference material covers legislation, organizations, and lookouts.

28.2 Related Legislation.
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(a) The Missing Children Act of 1982 (28 U.S.C. § 534a) - Requires entry into the National
Crime Information Center (NCIC) system of any information that would assist in identifying a
deceased or missing person.
(b) The Missing Children's Assistance Act of 1984 (42 U.S.C. § 5771, et. seq.) - Established
the National Center for Missing and Exploited Children (NCMEC) to provide technical
assistance and to coordinate recovery efforts.
(c) The Uniform Child Custody Jurisdiction Act (no federal citation) - Eliminates nationwide
incentives for forum shopping and child snatching by parents, and encourages communication,
cooperation, and assistance between state courts to resolve interstate child custody conflicts
(see state legal code(s)).
(d) The Parental Kidnapping Act of 1980 (28 U.S.C. § 1738A) - Requires states to enforce and
not modify custody determinations made by other states, allows for the application of the
Federal Fugitive Felon Act, and the issuance of a Federal Unlawful Flight to Avoid Prosecution
Warrant.
(e) The National Child Search Assistance Act (42 U.S.C. ~~ 5779-5780) - Prohibits law
enforcement agencies from maintaining policies requiring waiting periods before a child can be
declared missing. Also requires that information be entered directly into the NCIC system
immediately.
(f) The Hague Convention on the Civil Aspects of International Child Abductions - Is an
international treaty governing the return of internationally abducted children.
(g) The International Child Abduction Remedies Act (42 U.S.C. ~§ 11601-11610) - Established
procedures to implement Hague Convention provisions in the United States.
(h) The International Parental Kidnapping Act of 1993 (18 U.S.C. § 1204) - Makes it a federal
felony to take or detain a child outside the United States with intent to obstruct a parental right.

28.3 Abductions, International Abductions and Runaways.
(a) Types of abductions identified. Abductions can be divided into five major categories:
parental abductions; non-parental family member; acquaintance abduction; stranger abduction;
and, neonatal or newborn abduction. In addition to these categories, this material focuses on
the unlawful taking of children across United States international borders at ports-of-entry. This
material also addresses the issue of runaway children, as these individuals could be
encountered at most ports-of-entry at any time.
(b) Parental abduction. The taking, keeping, or concealing, without permission, of a child by a
parent or a person acting on behalf of the parent, from another parent or legal guardian. Also
called child snatching, child abduction, custodial interference, or family kidnapping. Research

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shows that the primary motive for taking a child is revenge against the parent left behind.
Research shows that abductors and abductions typically possess the following characteristics:

Abductor:
•

either parent may abduct the child;

•

the age range is 25 to 50 years;

•

on the low end of the income and education scale;

•

mayor may not have a criminal record;

•

mothers tend to abduct after custody has been determined while the father will abduct prior
to issuance of the custody order;

•

the abducting parent is likely to have had a negative encounter with the criminal justice
system and know little of their legal rights under the law;
other actions indicating flight.

Child:
•

the abducted child is generally between the ages of 2 to 7 years;

•

the male or female child is equally likely to be abducted; and,

•

the abducted child may experience physical or sexual abuse, emotional neglect, name
change(s), frequent moving, frequent changes in residences and schools, mistrust of
authority figures, or told that the other parent is bad or dead.

Abductions:
•

usually occur two or more years after the breakdown of the relationship;

•

take place at the end of a vacation or weekend visits;

•

usually transported by vehicle; and,

•

the majority of cases may involve attempts at disguising the child.

(c) Non-parental family member, acquaintance and stranger abductions,
This manner of abduction usually occurs when the child is abducted by a person other than a
parent, or person with lawful charge of the child. This can be a relative, a non-related person
known to the child or family (a neighbor or friend) or a. stranger. Motives for this type of

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abduction include: concern for the child because of neglect or abuse; sexual purposes (usually
females); a childless couple or person seeking their own child; refused visitation rights
(grandparents); and, assisting in a parental abduction.

The following characteristics are present (statistics include incidents of rape):
•

half the victims are over 12 years of age;

•

over half are female;

•

two-thirds of the cases involve sexual assault;

•

force is involved in 87 percent of cases, and weapons in 75 percent;

•

abductions usually occur on weekday afternoons;

•

the abductions usually last one day;

•

child molesters may use force, lures, or manipulation;

•

child pornography and erotica may be present; and,

•

a child may view a molester as a friend.

(d) Neonatal kidnapping or newborn abduction.
This type of abduction usually involves the abduction of a child under the age of seven days.
Listed below are the typical characteristics of the abductor, victim and the abduction:

Abductor:
•

usually a woman, overweight, 15 to 44 years old, employed, no criminal record, married or
cohabiting and resides in the local community;

•

wants to replace lost infant or experience a vicarious birthing, may be infertile or afraid
companion will desert her; and,

•

announces phantom pregnancy and may wear maternity clothes.

Child:
•

perceived by the abductor as her own newborn;

•

race or complexion of the infant reflects abductor's companion.

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Abduction:
•

plans abduction and may use birth announcements to locate victim;

•

visits the nursery prior to the abduction and asks detailed questions of the hospital staff;

•

may impersonate a nurse or other hospital staff and visit more than one hospital; and,

•

may be precipitated by impulse and opportunity.

(e) International abductions.
The illegal taking of minors across international borders is increasing as the result of the rise in
marriages between citizens of different countries. The typical profile on an international
abduction includes the following:
•

abductor is usually foreign born and destined to the birth country;

•

abductor has strong family and cultural ties to birth country;

•

abductor has no return ticket, baggage may reflect lack of intent to return;

•

child may have dual nationality and a passport issued by embassy of abductor's birth;

•

child may be destined for a vacation or holiday;

•

family members may be providing assistance while residing in birth country;

•

main destinations for international abductions are: Central and South America, Canada,
Mexico, Moslem countries, and the United Kingdom.

(f) Runaways.
Runaways constitute the majority of missing children and the category most likely to be
encountered at a land border port. In addition, about 20 percent of all runaways are
throwaways. A throwaway occurs when the parents have left and abandoned the child, may not
want the child back, or do not care where the child is. The key concept is that a throwaway
results from parental choice, whereas a runaway situation occurs when the child takes
independent action to leave. The typical profile of a runaway minor includes:

Reasons:
•

running from abuse;

•

for adventure;

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•

school problems;

•

struggles over rules;

•

drugs & alcohol;

•

independence;

•

poverty;

•

neglect; and

•

parental substance abuse.

Age - Nearly all runaways are teenagers:
•

24% between 16 & 17 years of age;

•

46% between 14 to 15 years of age; and

•

28% between 10 and 14 years of age;

Other facts:
•

More than half (58%) are female;

•

Approximately 52% will have a prior history of being a runaway;

•

22% will have runaway six or more times;

•

the majority of the runaways stay close to home;

•

approximately 66% go to a friend's house;

•

one-half of the runaways stay away for under 24 hours;

•

75% stay away for less than three days,

•

25% stay for one week or more;

approximately half the runaways support themselves by illegal activities; the typical runaway
feels isolated, demoralized, unable to trust authority figures, has high anxiety, no commitment
to people or places and is defensive.

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28.4 Primary Inspection.
(a) Basis of INS authority regarding missing or abducted children.
Section 235 of the INA states that all aliens who are applicants for admission, readmission or in
transit through the United States shall be inspected by immigration officers. Section 287 of the
INA authorizes an officer to interrogate any alien or person believed to be an alien as to his
right to be or to remain in the United States. Thus, the officer has the authority to determine the
admissibility of a child and to determine the legitimacy of the relationship between the adult and
the child. If the child or the adult is determined to be a citizen of the United States, then the
officer should follow local port procedures governing United States citizens who may be in
violation of federal or state law.
(b) Identifying missing or abducted children, and their abductors. The officer should focus on
the following indicators when questioning the applicants:
(1) Documentation. Although not specifically required, is the adult in possession of
acceptable identification for the child (birth certificate, passport, hospital records, baptismal
records, custody agreement, adoption papers, a letter from the other parent or court
records, etc.)?
(2) Behavior.

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.0

.0

.'

.'
.'
.'
.'
•
•

0

.'
.'
.'
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28.5 Secondary Inspection.
(a) Objectives for secondary inspection, The essential objectives for secondary inspection are
to ensure that the child is:

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.'

a bona fide applicant to the United States;

•.

not endangered; and

.0

released to the proper authorities, if necessary.

It is the policy of the INS to treat minors with dignity and respect. If a minor is detained by the
INS, the child will be placed in a least restrictive setting appropriate to his/her age and special
needs. However, the setting must be consistent with the need to ensure the minor's timely
appearance and to protect his/her well-being and that of others. Service officers are not
required to release a minor to any person or agency whom they have reason to believe may
harm or neglect the minor, or fail to present him/her to the INS or immigration courts when
requested to do so.
Secondary inspection allows the officer the opportunity to question the adult and child
separately, examine luggage thoroughly, complete more extensive record checks, and
telephonically confirm the child's or runaway's status. Separation of the applicants allows the
officer to obtain information for comparison. The officer should use caution when interviewing a
child. A second officer may be required as a witness or the interview should be video-taped.
The secondary officer should be concerned about gender and may want to request an officer of
the same gender in some cases.
(b) Children's communication abilities. When interviewing a child, the officer must be aware of
certain limits imposed on the ability of the child to communicate, including:
•.

limited cognitive abilities;

•.

immature emotional development;

•.

presence of trauma;

•.

limited communication skills;

•.

limited social skills (child may be shy or embarrassed);

•.

mistrust of authority figures; and,

•.

genuine attachment to the offender.

(c) Juvenile communication and cognitive skills. In general, a two-year old child is only starting
to develop adult speech patterns and memory. A two to four-year old has greater language
skills but still believes in magic, A four to seven-year old can question, experiment and engage
in primitive problem solving. A 7 to 12-year old is concerned with the present and has
developed some defenses to cope with anxiety. A 12 to 18-year old understands cause and
effect, may engage in irresponsible acts and is subject to strong peer pressure. The ability to

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communicate is closely related to the cognitive development of the child,
(d) Interview guidelines for officers interviewing a child,
.'

show interest in what the child is saying;

.'

lean forward without invading the child's personal space;

.'

face the child and use nodding, smiling and affirmative exclamations;

.0

allow the child to complete his/her statements or thoughts;

.'

do not dominate the interview;

.'

avoid emotional involvement or pity;

.'

avoid inappropriate humor or insensitivity; and,

.'

avoid passing jUdgment or placing any blame on the child,

(e) The National Crime Information Center (NCIC) The National Child Search Assistance Act
of 1990 prohibits law enforcement agencies from maintaining policies requiring waiting periods
before a child could be declared missing, and requires that information about missing children
be entered immediately into the NCIC system,
The primary data base for missing children within the NCIC is the Missing Persons File. This file
can be accessed utilizing two methods:
•

by a unique inquiry (OW) which requires a name and one or more numeric identifiers;

•

by a non-unique inquiry incorporating as many identifiers as possible, including: age; sex;
race; eye color; hair color; and, approximate height and weight. This method can be useful
since the abductor will often attempt to disguise the child, including dressing him/her as a
member of the opposite gender,

In addition to the indicators discussed in the primary section

_the primary officer should look for the following indicators:

•

.'
•
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•

..
..
•
•.

Does the adult have a criminal record for sex offenses or domestic disputes?

•

Does the child know the adult(s), how? The molester is often known to the child: family
friend, relative, or employed in a position where s/he can have access to children (teacher,
baby-sitter, dentist, minister, scout leader, coach, etc.).

•.

Is there a custodial dispute in progress or a recent dispute between the parents?

(f) Other points to consider.

•

.
.,

•

.

--

~~....

--~.,.,~

Often the parent or guardian will not be aware that the child is missing. The inspector can
contact the other parent, guardian, appropriate law enforcement agency or non-profit
agency for assistance.

(g) What to do when you find a missing, exploited or runaway child. If a determination is made
that the child has been abducted, is a runaway, or is an endangered child, the officer should
take the following actions:
•

All INS lookout and NCIC procedures should be followed for confirming the record;

•

When an unaccompanied minor (a person under the age of 18) appears to be inadmissible
under section 212(a)(6)(C) or (7) of the Act, officers should first try to resolve the case
under existing guidelines. Existing guidelines permit granting a waiver, deferring the
inspection, or employing other discretionary means, if applicable, including withdrawal of
application for admission. Additional guidance is provided at Chapter 17.15(f) of the
Inspector's Field Manual (IFM);

•

When an unaccompanied minor (a person under the age of 18) appears to be otherwise
inadmissible under the Act, officers should first try to resolve the case under existing
guidelines;

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•

If the child is entitled to enter the United States, appropriate local or onward authorities
should be notified and arrangements coordinated for the child's return to proper custody;

•

If the minor is to be detained by the INS, the officer must follow INS and local instructions
on the processing, treatment and placement of minors. Officers should treat all minors with
dignity and sensitivity to their age and vulnerability. Processing of minors should be
accomplished as quickly as possible. As with all persons being temporarily detained at
ports-of-entry, officers must provide the minor access to toilets and sinks, drinking water
and food, and medical assistance if needed. Minors may not be placed in short-term hold
rooms, nor may they be restrained, unless they have shown or threatened violent behavior,
they have a history of criminal activity, or there is a likelihood the juvenile(s) will attempt to
escape. Unaccompanied minors should not be held with adults; and,

•

Under no circumstances should the officer return a child to another country, or release a
child into the United States, before ensuring that custody of the child is returned to the
appropriate authority, and that the child's safety and well-being are assured.

28.6 Lookouts.
As a general rule lookouts should originate only with legitimate law enforcement agencies which
have created a record of the case and entered it in the NCIC system. Lookouts from non-profit
organizations in the form of posters may be accepted for display either in the public area or
dissemination to Service personnel only. Lookouts from individuals may be tainted by motives
of revenge or fear. Often no law has been broken and the informant can only articulate a fear
that something may happen. Informants should be advised to contact the appropriate local,
state or provincial, or federal law enforcement agency and request that agency to contact the
Service. It is contrary to Service policy to enter a lookout record to Servicewide databases
based on a request from any entity that is not in the law enforcement or intelligence community.
A lookout for a missing child should contain the following information:
•

name of the requesting agency, contact name and 24-hour contact phone number(s);

•.

name, physical description and biographical information for the child;

•

whether the child was believed to have been abducted, is missing or is a runaway;

•.

whether the child is believed to be in danger;

•

suspected abductor's name, relationship, physical description and biographical data;

•

vehicle information, including the: year; make; model; color; vehicle identification number;
state of registration (tags) and license plate number; and any distinguishing characteristics
(i.e. pickup bed cap or liner, roof rack, towing hitch, fog lights, etc.); and/or

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•

supporting documentation (warrant, etc.).

The information should be as complete as possible, and is critical for motor vehicle identification
if there is any possibility of the child crossing across a land border.

28.7 Sources of Assistance.
(a) General Use:
National Center for Missing and Exploited Children, USA

(24 hours) 1-800-843-5678

Office of Passport Services, U.S. Department of State

1-202-326-6168

Office of Consular Services, U.S. Department of State

1-202-647-5225

Operation Child Intercept USINS (Toronto Airport)

1-905-676-2563

U.S. State Clearinghouses

(various)

•

Child Find Canada, Inc.
1-800-387-7962

•

Project Return, Canada (Contact local Canadian Customs office)

(b) Law enforcement agencies only:

•
•
28.8 Child Sex Tourism

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Chapter 31: Service Records (Added INS - TM2)

31.1
31.2
31.3
31.4
31.5
31.6
31.7
31.8

Introduction to Service Records Systems
Systems Security Requirements
Introduction to Service Automated Systems
Image Storage and Retrieval System
Posting, Maintaining, and Cancellation of Lookouts
Lookout Intercepts
Responding to Inquiries Concerning Lookout Records
Regional Random Quality Review of INS Permanent Lookout Records

31.1 Introduction to Service Records Systems.
A major asset of the Service and a critically important tool for you as an inspector is the Service
system of records. The Service must maintain a wide variety and large volume of records
relating to individual aliens, schools, businesses which petition for alien workers, and many
other things. A detailed explanation of the Service's records system and how to use it is
contained in the Records Operations Handbookl. included as a part of INSERTS. You
should familiarize yourself with the types of records available, how they may be accessed
and what you must do to insure the Service maintains correct records relating to actions
which you, as an officer of the Service, undertake. In addition, the Service participates in a
number of multi-agency information initiatives, sharing agency information with other law
enforcement agencies and accessing the data collected by others to better carry out the
agency's mission.

31.2 Systems Security Requirements.
Service records are a critical part of the agency's successful operation. As an officer of the
Service you have a critical need to access information from the agency's records, but you
also have an obligation to protect those records from unauthorized release, tampering or
destruction. INS systems have security features including user passwords, audit trails to
identify unauthorized access and limited access to systems, based on operational needs.
Safeguard your passwords and regularly change them in accordance with systems
requirements. Special requirements for accessing and safeguarding information from
interagency systems are discussed in Chapter 33. [See also AM 3.2.209 regarding ADP
security and AM 3.2.204 regarding ADP password requirements. See also Chapter VI of
the Security Officer's Handbook.]

31.3 Introduction to Service Automated Systems.
The Service has developed, and continues to improve, a significant number of
automated systems and ADP-related programs. As these systems and programs

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have evolved and grown, they have become essential tools necessary for you to
successfully fulfill your role as an immigration officer. Not all systems are available
in all locations, nor will you have need for all of them in your day-to-day activities,
but you should be familiar with their existence or planned development. User
manuals or instructions are available for each operational system and systems
access is available for personnel with an operational need. In addition, INS
maintains a "Help Desk" to assist with systems- related problems you may
encounter. [See AM 3.2.203.]
A catalog of systems including acronym, system name, a brief description and the
name and telephone number of a technical and programmatic point of contact, is
located on the INS Intranet site. To access this catalog, go to the Intranet site and
use the following procedure:
•
•
•
•
•
•
•

click on the Table of Contents
scroll down the screen and click on the entry "HQIRM", in the right-hand column
click on the button marked "Field and Program Management"
in the horizontal bar at the top, click on "INS Information"
scroll down the right column and click on "Systems Information"
scroll down the right column and click on "Systems Catalog"
click on "HTML Document"

A complete list of INS systems is included in the table which appears. This list is
divided into three areas: Enforcement systems, Examinations systems and
Management and Administration systems. Each area contains a complete list of
systems, in alphabetical order by system acronym.

31.4 Image Storage and Retrieval System
(a) Background: The Image Storage and Retrieval System (ISRS) is a web-based system that
permits an on-line immediate query and retrieval of biometric image sets and associated
biographical data. Each biometric image set pertains to a specific individual and consists of a
photograph, signature, and fingerprint used to produce an identit document issued
IN
he system i available via the INS Intranet and has a database
exed data fields include the alien registration number, receipt number,
app Ican s name and date of birth, and card serial number. These data fields will aid the
inspector to initiate a timely query, retrieval and display of the stored images.

~

(b) Documents contained in the ISRS. The ISRS provides digitized photograph, fingerprint, and
signature images of the Resident Alien Card, Form 1-551 issued from1989 (revised and optical
version) to present.
If an alien obtained residency from 1984 to 1989, a microfilm image may be available by
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contacting the Forensic Document Laboratory (FDL) at (703) 285-2482.
Images not in the ISRS or on microfilm can be obtained from the alien's file at the File
Control Office (FCO) or National Record Center (NRC) as indicated in the Central Index
System (CIS).
The original (White) Forms 1-551 are being digitally converted from microfilm to the
ISRS.
Note: Images for the Nonresident Alien Border Crossing Card, Form 1-586 - Revised
(November 1990 until March 1998) and the Employment Authorization Document, Form 1-766
are being downloaded into the ISRS and may be available.

(c) Guidelines on Secondary Referral for ISRS Record Checks. Bearers of the following
documents may be referred to secondary for the ISRS record checks under the situations
indicated:

Transportation letter claiming to be a Lawful Permanent Resident (LPR) or Conditional
Permanent Resident.
Alien Documentation Identification and Telecommunication (ADIT) stamp.
- Adjustment of status: Applicants for adjustment of status receive an ADIT stamp when
the application has been approve. There is delay between the time the data is forwarded
for card production and when the images appear in the system. The Computer Linked
Adjudication Information Management System (CLAIMS) may reflect that the application
has been approved giving an indication of when the ADIT stamp may have been issued.
- Immigrant Visa: When an individual is processed for immigrant status at the POE, an
ADIT stamp is issued. The immigrant visa (IV) is forwarded to the service center (SC)
where the photograph and biometrics are scanned for card production. Once the IV is
received at the SC, it will take approximately 4 to 6 days for the image set to be
captured in the ISRS.
- Replacement of Form 1-551: There is a delay between the time an ADIT stamp is
issued and the photograph and biographical data associated with the Application to

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Replace Alien Registration Receipt Card, Form 1-90 appears in the ISRS. If the CIS
record indicates that the person immigrated after 1989, the POE should refer to the
images and corresponding applications to determine the true identity of the LPR. To
obtain the earliest known image of an alien that immigrated prior to 1989 requires review
of the original A-file or microfilm as noted above.
(d) Secondary Inspection of Primary Inspection Referrals. If used properly, the ISRS can be a
great tool to identify fraud. When conducting an ISRS check:

(e) ISRS User Guide. Refer to the Web-ISRS User Guide by clicking "ABOUT" located on the
ISRS menu for specific search, retrieval, display, print, and download user query result
procedures.
(f) Evaluating IRSR Image. Although the ISRS provides images on documents that have been
issued, it does not guarantee that the image provided is the true LPR. If an alien has only been
issued one Form 1-551, then the image more than likely should be that of the true bearer of the
document.
The ISRS images are not always displayed in chronological order, nor do they always reflect
the date an image was captured. It may be possible to create a history by using the receipt
number provided in the ISRS to review information about the applications filed to obtain the
benefit and/or document.
If an ISRS query displays multiple images that do not match, obtain the original image from the
A-file.

(1)CIS-

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(B) Number of Forms 1-551 issued; and,
(C) Location of the alien's file.

(2) CLAIMS - Check for any indications that a Form 1-90 has been filed under this A
Number. There are various reason for applying for a new card: to replace a lost, stolen or
destroyed card; renew a 1O-year expiring card, comply with the 14 years of age registration
requirement, reissue an original card produced with incorrect biographic data.
(g) Obtaining an A-File.
(1) National Records Center (NRC). The NCR's Information Liaison Division (ILD) is
available 24 hours a day, 7 days a week at (816) 350-5560 to research, analyze, and
provide information and/or documents contained within any A-File held at the NRC. This
service is for CBP use only, and this telephone number should not be given to the public or
to employees of other government organizations. For routine requests, an electronic
message can be sent to "NRCINFO, NRC". Include the A-file number, subject's name, date
of birth, information needed, the POE telephone number and fax number. A response will
be returned within 3 days.
(2) CIS: In general, requests for an A-file are generated in CIS using 9501. Regular
deliveries are sent within three days from receipt.
For expedited service, request the A-file in CIS using 9506. Expedited requests are
processed within 24hours of receipt. The requesting office is required to pay the shipping
costs associated with overnight delivery.
(h) Supervisory Role and Responsibilities. All cases involving the ISRS data that may result in
an adverse action (e.g. approval of expedited removal recommendations) require supervisory
review. If adverse action is taken, the supervisor will be responsible for signing off on the case
by endorsing the case file checklist or memorandum to the file. Supervisors are responsible to
ensure that a printout of the ISRS record search documenting an adverse action is in the file.
The supervisor is also responsible for determining when periodic training becomes appropriate
for secondary officers or other POE personnel who may perform the ISRS search procedures.
(i) Saving and Transmitting Images. The ISRS has a simple or complex search capability and
has the ability to execute batch retrievals. The biometric image sets are in industry-standard

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formats, (Tagged Image File Format [TIFF], Joint Photographic Experts Group ["IPEG], Wavelet
Scale Quantization [WSQ] Fingerprint Image Compression) which can be saved, printed and
readily included in electronic mail messages.
Therefore, a POE with access to the ISRS will have the capability to share information
contained in the system with other POEs via email.
U) Third Party Requests for ISRS Record Checks. The ISRS permits intra-agency and
inter-agency sharing of biometric images. Requests for ISRS information from Federal, state, or
local law enforcement agencies must be made in writing to the port director. All ISRS
information disseminated to a law enforcement agency must have a disclaimer stating that the
information provided from the ISRS is for informational purposes only and dissemination to a
third party is prohibited.

31.5 Posting, Maintaining, and Cancellation of Lookouts.
(a) Criteria for creating lookout records. Lookout records for persons and/or lost or
stolen passports may be created in the lookout system under the following
circumstances:
(1) For persons who are inadmissible to the United States under one or more of the
grounds described in Section 212(a) of the Act, as amended, and who might attempt
entry into the United States;
(2) For aliens who have been convicted of crimes involving moral turpitude (CIMT);
(3) For citizens of the United States who have violated or are suspected of violating
the criminal or civil provisions of the Immigration and Nationality Act, as amended;
(4) For persons that may be of interest to other Federal law enforcement agencies,
their requests for the creation of lookouts may be directed to the National Targeting
Center (NTC);
(5) For any person who overstays or is refused admission into the United States
under the provisions of the Visa Waiver Program (VWP) under section 217 of the
Act, because of an administrative reason or an applicable ground of inadmissibility
under section 212 of the Act;
(6) For any person who withdraws his or her application for admission to the United
States;
(7) Information pertaining to lost or stolen passports must be forwarded to the NTC
for immediate entry in the Lookout System. If lost or stolen passport information is
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received at a field office, it must be faxed immediately to the NTC at (703)
391-1983. The NTC will enter the information into the appropriate lookout system at
once.
(Revised IN99-27)
(b) Creation of lookout record for a United States citizen. CBP may create lookout
records on U.S. citizens who have violated or are suspected of violating the criminal or
civil provisions of the Immigration and Nationality Act (INA). 8 U.S.C. 1103(a). While
there is no specific statutory or regulatory provision authorizing the creation of lookout
on U.S. citizens, Congress has charged the Secretary of DHS with the administration
and enforcement of the INA. The Secretary of DHS may delegate any of those powers
to the Commissioner of CBP, who, in turn, is authorized to delegate those powers to
CBP officers. 8 U.S.C. 11 03(b); 8 CFR 2.1.
There is no distinction made between U.S. citizens and aliens in describing individuals
who can be arrested by immigration officials for felonies arising under the immigration
laws. Specific enforcement authority is also found at INA section 274, 8 U.S.C. 1324,
which makes it a criminal offense for any 'person' to engage in alien smuggling, civil
document fraud and violations of employment laws. It authorizes officers designated by
the Secretary of Homeland Security to effect arrests for violations arising under this
section.
The lookout record for a U.S. citizen is created pursuant to the procedures described in
this chapter.
(c) Documentary evidence used for the creation of lookout records. The type of
documentary evidence that is gathered as the basis for the creation of lookout records
may vary depending on the type of case that is being considered for addition to the
lookout system. Generally, the A-file will contain copies of immigration documents such
as documents served to the person, sworn statements, warrants of arrest, deportation
orders, detention orders, authorization to withdraw application for admission,
memoranda to the file.
In cases where other law enforcement agencies request that a lookout record be
created on their behalf, the formal request must be in writing. Such agency requests for
lookout posting must meet the criteria for posting unless there are outstanding warrants
of arrest, or any other documentary evidence that originated with a legal entity such as,
but not limited to, a recognized court, foreign or domestic, or police department, or
where the request for action is limited to notifying the appropriate authority of the facts
of arrival of the individual.
(d) Guidelines and standards for the creation of lookout records in NAILS and IBIS.
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(1) General. CBP lookout records for persons entered directly on-line in IBIS remain
in IBIS for 72 hours. After 72 hours, those lookout records are deleted automatically
from IBIS. Since NAILS interfaces nightly with IBIS under the IBIS agreement, any
lookout record posted in NAILS is available in IBIS to all users within 24 hours. In
the event that there is an urgent lookout record that needs to be disseminated
immediately through IBIS, the lookout record may be created on-line in IBIS. If that
lookout record is needed for longer than 72 hours, it also needs to be created in
NAILS.
(2) Lookouts for vehicles. CBP vehicular lookout records entered directly in IBIS will
remain in IBIS for 12 months. After 12 months, the system will delete the vehicular
lookout records automatically. However, the originating officer may extend the
validity of the lookout record beyond 12 months. This may be accomplished using
the review function (MSOM) in IBIS.
(3) Lookouts for persons. Effective August 19, 1994, CBP officers create all lookout
records for persons directly in NAILS. Only a lookout record that is time-sensitive
may be entered also in IBIS for immediate dissemination to all ports-of-entry. A
lookout record created in IBIS will require a local supervisor's review and approval
within 24 hours of the posting of the lookout record in IBIS.
(4) Lookouts for lost or stolen passports. The NTC shall enter lookouts for lost or
stolen passports. If the information pertains to blank lost/stolen passports, the
information will be entered directly into IBIS. The number and nationality of the
blank lost or stolen passport will be entered. If the passport is lost or stolen, but has
already been issued to a person, with name and biographical information, the
lookout record will be placed in NAILS.
(Revised IN99-27)
(e) Procedure for the creation of lookout records. The following is a brief description of
the integral elements that constitute a basic and complete lookout record. Certain
lookout records may require other information depending on the nature of the lookout.
(1) Enter all available data in the appropriate data element fields;
(2) Enter relating A-file Number;
(3) If the information used in the creation of the lookout record originates with the
A-file, and there is no controversy or doubt as to the validity of the dates, events or
facts, and other information, the case code need not be preceded by the letter P for
Possible;
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(4) Enter other relating record numbers, if any, such as FBI, FPS, NCIC, Driver's
License, etc. in the comments field;
(5) The comments field must contain, at a minimum, the following information
elements:
•
•
•
•
•
•
•
•

Full date of event;
Port-of-entry, or DHS office;
Brief explanation of event;
Explanation of actions taken at the time of the event, including officer's
specific reasons used in the determination of the case;
Citation of the applicable section(s) of law;
Action to be taken if the person is encountered again;
Name, telephone number (24 hours if needed), and office/agency of case
agent, if appropriate, for further contact;
Subsequent update of the case, if deferred or paroled into the United States,
to appear at another port of entry.

The writer provides information that explains fully the reason for the creation of the
lookout in the Comments field of the lookout, or notifies an originating port-of-entry
or DHS office with the Message Function that the subject of the lookout was
intercepted or encountered.
In composing the comments of the lookout record, the writer must consider the
audience that will have access to the lookout information. It may used by officers at
ports-of-entry, or at DHS offices in the United States or abroad, or by officers from
other law enforcement agencies, where the subject may appear to request a benefit
or apply for admission to the United States.
The facts of the case and its disposition shall be written clearly and concisely so that
they answer any questions from the reader. The comments describe the purpose of
the lookout information, and the actions that are being requested from any officer
that may intercept the subject. The comments include a brief description of the
contents of the A-file such as sworn statements taken, legal orders issued by any
competent authorities, and any documents retained.
The writer shall avoid jargon, technical terminology, abbreviations, acronyms, or
codes unless they are terms well known throughout DHS or routinely used in written
communications. The writer will provide a succinct narrative that will eliminate or
reduce the need to contact an originating officer for additional basic information to
complete the ongoing proceedings. However, there may be exceptions where
unusual circumstances arise, or the user is requested to contact specific individuals
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or offices.
The most crucial facts of the narrative are contained within the first four lines of the
comments. These are the only lines that are copied in the PALS CD that provides
lookout information via laptops for use during seaport and remote sites inspections.
(f) Creation of Record File (A-file) for Permanent Lookout Records. A search of the
Central Index System (CIS) is necessary to verify whether an A-file already exists. If no
record file exists, one must be created. There must be an A-file for every permanent
CBP lookout posted to NAILS. The documentary evidence used to provide the
information for the lookout record will be contained in the A-file.

There are some exceptions:
(1) A temporary lookout record created for 90 days or less;
(2) A permanent lookout record created for 90 days or less;
(3) Lost or stolen passports; or
(4) A lookout record created by request of another law-enforcement agency.
As mentioned in the exceptions above, the creation of an A-file is not required for
any CBP lookout record that is needed for 90 days or less. The lookout record may
be given permanent status, within the 90-day temporary period, upon supervisory
review without the need to create an A-file. The documentary evidence used to
create a permanent 90-day lookout record may be contained in a chronological file
maintained at the local port-of-entry that created the lookout record. The
chronological file designation will be referenced in the appropriate record number
field on the screen.
(g) Worksheet for the creation of lookout records based on information received from
law enforcement agencies other than CBP. It is well recognized that local offices have
established good working relationships with local law enforcement offices and agencies
to enhance border security. As part of this relationship, the offices and agencies
occasionally request that CBP create lookout records for persons that are of interest to
these agencies.
The worksheet included as Appendix 31-1 standardizes the procedure used to
document the receipt of such requests through telephone calls, faxed requests, or any
other type of communication received from local agencies such as state police, sheriff's
department, local police department, or local office of the Federal Bureau of
Investigation.
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The contact person information refers to the requesting law enforcement agency's
contact person that will be included in the comments. The officer that creates the
lookout record completes the routine contact information field on the second page of
the lookout record.

The worksheet must be attached to any materials and documents received from the
agency; it will be filed in the chronological monthly folders maintained at each port or
Service office, as described above.
(h) Supervisory review of temporary lookout records. When a CBP officer creates a
CBP lookout it will remain in temporary status in NAILS for 90 days. During that 90-day
period, the supervisory CBP officer will review the temporary lookout record to
determine whether the information conforms to the standards established in the
following paragraphs.
Upon approval by the reviewer, the lookout record has
permanent status in NAILS. Supervisors may delegate the authority to review lookout
records to senior officers who have experience in lookout activities.
The reviewing officer will review the lookout record in NAILS through the NAILS on-line
Review Function. The lookout record may be approved, updated, returned to the
originating officer, deleted, or bypassed for later review. When the lookout record is
approved it has permanent status and remains in NAILS for the validity period
programmed for each lookout case code used. Some case codes are programmed to
be valid for one, five, or twenty years or until a certain age of the person for whom the
lookout record is created. In cases where several case codes are used in one lookout
record, the case code with the longest validity will give the lookout record its expiration
date. The NAILS Simplified Operating Instructions (rev. October 1995) includes
additional information on this topic.
(i) Maintenance of record files for lookout records. Record files (A-files) will be
maintained at the National Records Center. No active lookout file will be sent to the
Federal Record Center (FRC), since the intercept of an alien who is the subject of a
lookout may result in a removal hearing. In such cases material from the A-file may
become the record of proceeding and should be readily available.
CBP officers will ensure that the local Systems Control Officer (SCO) has updated the
necessary user level to access NAILS at his/her authorized level.
U) Responsibility for initiating lookouts.
initiation of lookout records.

Field offices are responsible for the timely

(k) Responsibility for updating lookouts. Field offices are responsible for the timely
update of lookout records on persons who have been granted relief from removal. Any
officer who encounters new information on the subject of a lookout may update the
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Inspector's Field Manual
record on-line, if the lookout is under that port-of-entry's or office's jurisdiction, or notify
the originating officer that additional information on the person is available. The
notification may be done on-line in NAILS by using the Message Function.
(I) Clearance for lookouts on subversive cases. Headquarters CBP/OFO shall review
all lookout records on subversive cases. The A-file containing the information shall be
forwarded to Headquarters CPB/OFO for review and approval. Emergency lookouts on
subversive cases may be cleared through Headquarters CBP/OFO by telephone to be
followed by the submission on the A-file containing the source material such as the
investigative report or a request from another agency detailing the derogatory
information.

The lookout system is not a 'classified system'; its information is consipered sensitive.
Reference to confidential source information shall be limited to a general reference
only.
(m) Expiration and/or deletion of lookout records. All DFOs will receive monthly
30-60-90 day warning notices from Headquarters on lookouts that are about to expire
from NAILS. A separate monthly notice on lookouts that have expired will also be sent
to all DFOs.
When expiration or warning notices are received, each DFO is responsible for the
review of the files listed to determine whether posting, amendment, or deletion is
necessary.
No action is necessary when the lookout is to be deleted by the expiration date. If a
lookout is to be amended after a file review, or if the file control office is to be amended,
the file control office that received the lookout record on its expiration list is responsible
for taking appropriate action.
Lookouts may be removed before the expiration date at the request of the originating
agency, or if the alien's ineligibility is permanently waived through the granting of a
waiver or if the alien is determined not to be excludable.
(n) Codes used in the lookout system.
(1) Soundex. A coding system of putting a numeric value of 0 to 6 to the letters in
the alphabet is explained in detail in Chapter 5(C) of the Records Operations
Handbook. A summarized guide to Soundex coding is also available on Form M-114
that is included as Appendix 31-4 of this manual.
(2) Nationality codes.
Codes used in the Service lookout system to denote
nationality are listed in the INSERTS Statistics Handbook, Statistical Codes,

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Inspector's Field Manual
Country and Nationality Codes. A list is also found in NAILS by using key PF-11.
The screen provides a list of tables available to the user.
(3) Case codes. Codes are used to label the lookout by type. A list of the case
codes with the definition of each is on Lookout Case Codes, Form M- 114. A copy
of Form M-114 is included in the NAILS Simplified Operating Instructions, rev.
October 25, 1995. A list is also found in NAILS by using key PF-11. The screen
provides a list of tables available to the user.
CBP Case Codes are separated on the form M-114 into two categories, "Case
Codes Keyed to Section 212 of the Immigration and Nationality Act (INA)" and,
"Special Case Codes". Field users may use any of the codes designated as keyed
to the sections of the INA. Use of Special case codes, with a few exceptions listed
below, are restricted for exclusive use by the Headquarters Lookout Unit.

Inspector's Field Manual

The list two codes are for use when no other code fits the case or action desired. A
full list of codes is included in Appendix 31-4. (Revised IN99-20)

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Inspector's Field Manual

31.6 Lookout Intercepts.
Effective immediately, the NAILS Message Function will be used to prepare reports on
all intercepts of lookout records, except in the circumstance described above. As a
result, any port or DHS office that created lookout records will be notified that there is
more information relating to lookout records that originated at those sites, as well as
any additional offices that may have some interest on the same lookouts. The officer at
the originating port or DHS office will append any new information to the existing
comments in the lookout record. The information is automatically converted into a new
paragraph in the Comments field of the lookout, with a heading that includes the
sending officer's name, location, telephone number, date and time of the message.
The NAILS Message Function is used with key PF7 - Send Message from any of the
NAILS Inquiry/Search screens to communicate with a port or DHS office that originated
the lookout record or any other office that is interested in the lookout record. There are
on-screen instructions that provide guidance to the user. The NAILS Simplified
Operating Instructions (Revised October 1995) provides detailed instructions.
Any officer who is authorized to conduct queries or searches in NAILS may use the
Message Function. Any officer who reviews or updates lookout records created by
other officers at the originating port or DHS office can append a message to an existing
lookout record that originated at that port or DHS office.
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Inspector's Field Manual
The port or DHS office that intercepts the subject of a lookout record will maintain a
local record of the lookout intercept by making a screen copy of the message sent to
the originating office or officer. The copies may be used for statistical analysis and
other necessary record keeping.
As in the case of any other office, the Headquarters Office of Field Operations (Office
Code - COW) creates its own lookout records in NAILS. Intercepts on lookout records
created by Headquarters that specifically request notification from the field will continue
to be reported to Headquarters CBP/OFO via the NTC (703) 621-7700, as requested in
the lookout record. Otherwise a notice of intercept and action will be done through the
NAILS Message Function.
Additionally, all lookout record intercepts originating from the Consular Lookout and
Support System (CLASS), the Non-Immigrant Inspection System (NilS), or the
Deportable Alien Control System (DACS) in NAILS will be sent to COW through the
Message Function for proper disposition.
In the case of lookout records that originated from CLASS, each POE or office will
maintain a record of such intercept by making a screen copy of the message. If the
intercepting office needs to send documentary materials to the Visa Office, make a
screen copy of the message, attach the relating documents, and send the package
directly to the following address:
Chief, Systems Liaison Division, CANO/F/S
Visa Office, SA-1
Department of State
Washington, DC. 20522-0116
or, by facsimile, to: (202) 663-3897.
(Revised IN99-20)
(a) Intercept of lookout record during primary inspection. During primary inspection, a
lookout intercept will be processed according to the case codes in the record, generally
the case codes specify whether the person is to be detained or not. One of two actions
will take place when a person is intercepted:

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-- unng the secondary inspection, a u
query must e ma e 0
ew the background information that is available for the lookout. If a lookout
record is based on unclassified information, NAILS will contain as much information
as held in the lookout file that is unclassified. If possible, the A-File should be
reviewed to obtain comprehensive information.
(b) Secondary inspection of persons with lookout intercepts. Secondary inspection of
persons who are the subjects of lookout intercepts includes gathering all possible
information from a full NAILS query and from all other available automated systems.
When available, the A-file should be reviewed to obtain comprehensive information.
Intercepts on every lookout posted by Headquarters requesting notification shall be
reported to OFO through the NTC at (703) 621-7700 or as specified in the lookout
record.
Lookout intercepts that appear sensitive because of national security concerns or
because of potential public interest shall be immediately brought to the attention of NTC
(preferably while the subject is still at CBP secondary inspection). (IN99-20)

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r-UNl'\

31.7 Responding to Inquiries Concerning Lookout Records.
CBP· has implemented an agency-wide procedure to respond to inquiries from the public
concerning the existence of lookout records in the l\Iational Automated Immigration Lookout
System (NAILS) for certain individuals who may be inadmissible to the United States. The
procedure is designed to standardize the manner and content of the CBP responses regarding
this type of inquiry.
The criteria to create lookout records for individuals encompass two categories of persons.
First, CBP creates lookout records for nonimmigrant aliens, or lawful permanent residents, who
may be inadmissible to the United States under Section 212 of the I1\1 A, or other persons who
may be violating the immigration laws of the United States. Second, CBP creates lookout
records for persons who are of interest to another law enforcement agency.
Private individuals and attorneys occasionally request explanations or information related to the
possible reasons for an individual having been questioned at the time of application for
admission to the United States. If an individual was questioned as part of the normal
inspectional process, the response should be drafted accordingly. However, in those cases
when lookout information was the reason for the referral to secondary inspection, the director
having jurisdiction over the port-of-entry where the event occurred shall evaluate and answer
any subsequent inquiry using the guidance set forth below.
The lookout database is considered a law enforcement system of records of which CBP is not
the sole proprietor. The records to which CBP officers have access during the inspection
process include entries made by other law enforcement and government agencies.
CBP may not disclose lookout information that has been provided by another law enforcement
agency or government agency. CBP will forward the inquiry to the agency that owns the
record. Without making any reference to the agency when responding to the inquiring party,
the CBP response to the inquiring party will be limited to stating that the inquiry is being taken
under consideration.
.
~ copy of the CBP response will be included with the inquiry t
appropriate agency.

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Inspector's Field Manual
Section 601 (c) of the Immigration Act of 1990 states that the Attorney General and the
Secretary of State shalf'develop protocols and guidelines for updating lookout systems and
similar mechanisms for~the screening of individuals applying for visas for admission, or for
admission,to the United States. Such protocols and guidelines are to be developed to ensure
that in the case of an individual whose name is in such a system, and who either applies for
admission or requests a review, without seeking admission, for the continued inadmissibility
under the ~NA, if the individual is no longer inadmissible, his/her lookout record shall be
removed from the lookout system and the individual shall be informed of such removal. If the
indivJ'ii1el,continues to be inadmissible, the individual shall be informed of such determination.
Section 601 (c) of the Immigration Act of 1990 authorizes CBP to disclose information relating to
an individual's inadmissibility when the pertinent content of the record indicates that grounds
already exist to support removal proceedings against the individual. The disclosure of an
individual's lookout record is limited to information that confirms specific removal grounds, such
as prior or final deportation from the United States, conviction for crimes that render the
individual inadmissible from the United States, prior withdrawal of an application for admission
to the United States and prior refusal of entry to the United States.
Any inquiries generated by lookout records created by the Department of State (DOS) may be
forwarded to DOS for appropriate action. The DOS intends to implement an analogous
procedure to respond to inquiries posed at the time of application for admission where an
individual has been entered into the DOS CLASS database. Appendix 31-2 contains copies of
the DOS letter that may be given to any individual who asks for information or assistance if
his/her name appears in CLASS.
The sample letters contained in Appendix 31-2 contain suggested language for a variety of
situations.
•

Letter 1- Letter from the Office of Chief Counsel, when no specific information may be
provided to the requester

•

Letter 2- Letter from the Office of Chief Counsel, when grounds for removal exist

•

Letter 3- Letter when grounds for removal exist

•

Letter 4- Letter when grounds for removal exist

•

Letter 5- Letter when no specific information may be provided to the requester

Appendix 31-3 contains an information notice used by the Department of State concerning
procedures for inquiring about their lookouts.

31.8 DFO Random' Quality Review of CBP Permanent Lookout Records.
The development of a quality review function for NAILS is a key part of the continuing effort to
restructure CBP lookout system procedures that began in Fiscal Year 1993. In March 1994, the
Office of the Inspector General (OIG) issued a NAILS Inspection Report that listed as one of its
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Inspector's Field Manual
recommendations the need to institute a routine systematic assessment of the content and the
quality of the information used to create an INS lookout record. The implementation of this
procedure is in response to that recommendation.
The reviewing officer contacts the reviewing officer at the field office in cases when a lookout
record appears to be lacking sufficient information. After discussing any outstanding issues
concerning the lookout record, the reviewing officer at the field office corrects any deficiencies
in the record, approves it, and notifies the reviewing officer that the correction has been
completed. In the event that the deficiency of the lookout record cannot be corrected, the record
must be deleted immediately.

Chapter 31.9

(Added 2/16/06; CBP 18-06)

1.

2.

1-L11\1 K

Accountability

...

~

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- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

3.

Types of Records

Chapter 32: Intelligence (Added INS - TM2)
32.1
INS Intelligence Program - General
32.2
Intelligence Collection Requirements; Instructions for Completing an Intelligence
Report (Forms G~392 and G-392A)· .
32.3"
The OA'SIS Database (Reserved)
32.4
Headquarters INS Intelligence Bulletin Board
32.5
INS Forensic Document Laboratory (INS/FDL)
EPIC Operations; Instructions for Completing Report of Doc~~ented False
32.6 .
Claim to Citizenship (Form G-329)
l:~
32.7
Interpol

[-.

~.

32.1

INS Intelligence Program - General.
::I'~'~':;..,

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•

Inspector's Field Manual
(Revised December 1999)
(a) Organization. Under the general direction of the Associate Commissioner, Enforcement,
the Assistarif Commissioner Intelligence is responsible for administering the Service
intelligence program. The program is directed in each region by the Regional Intelligence
Officer who is assisted in its execution by intelligence officers in the major districts and
Border Patrol sectors, by designated intelligence officers at the smaller district~)and interior
suboffices, and by Senior Immigration Inspectors and Special Operations Immigration
InsPEtctors at ports-of- entry.
(b)

lJ.ii~' The Intelligence Program provides support to the Enforcement, Benefits, and
M~sion.

l'

Inspections operating divisions as well as to the Commissioner.
missions are:
~,

.. ,.

The pr"ary program
'.',r.

(1) Supply reports which allow mana'gers to make decisions on a national and international
level in support of the Service m i s s i o n ; "
(2) Provide tactical intelligence support and,¢1al9tical reports'fc1rjuse by INS field un'its and
other law enforcement organizations in the detection and disruption of smuggling operations
and fraud schemes;
(3) Provide strategic analyses measuring the scope and nature of domestic and foreign illegal
immigration activities which affect the United States;
(4) Provide fraud detection training to INS, operational.components, international immigration
and enforcement agencies and international air carriers to maximize INS' deterrence effort;
(5) Furnish forensic laboratory support required for the enforcement of INS statutes;
(6) Carry out Service liaison commitments with federal law enforcement agencies and with
members of the intelligence community responsible for the national security of the United
States;
(7) Maintain liaison with foreign law enforcement agencies via Interpol; and
(8) Achieve Service commitments through use of EPIC's joint data bases.
(c) Headquarters Intelligence Division (HQINT). HQINT develops and implements the Service's
intelligence policy and provides operational and administrative program oversight. Service
intelligence collection requirements are established to obtain information which will aid
policy makers in identifying trends which significantly impact on the operation of the Service.
HQINT efforts are also designed to aid enforcement personnel by providing investigative
and enforcement leads.
Liaison between INS and intelligence community agencies is authorized in 8 U.S.C. 1105. The
purpose of this liaison is to exchange information for use in enforcing the provisions of the

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Inspector's Field Manual
Immigration and Nationality Act in the interest of the internal security of the United States.
Direct communication with districts, sectors, and sub-offices is authorized in connection with
intelligence matters.
(d) Inspections Officers' Contributions. Immigration Inspectors playa vital role in identifying
foreign and domestic based smuggling/vending operations through careful questioning of
persons and examination of physical evidence such as business cards and stationery,
address books, travel tickets, etc. Inspections is a key source of information on fraudulent
and counterfeit documents and visas used to attempt fraudulent entry.
(e) The Intelligence Cycle. The Intelligence Cycle consists of four basic steps:
(1) Planning/Direction of Target Selection - A target (which can be a person, organization,
or any issue of intelligence value) is selected, based on the needs of the Service, to support
both enforcement and management objectives. Intelligence Collection Requirements have
been developed to assist Intelligence Program elements in this step;
(2) Collection - The collection cycle starts with the gathering of raw or unprocessed information
from a variety of sources including: public records, newspapers, foreign radio reports,
travelers, refugees, confidential informants, physical and electronic surveillance,
businesses, law enforcement services, foreign governments, military services, and other
organizations;
(3) Processing Information - The information gathered (raw data) is organized (collated) into
a logical sequence or pattern in such a way that relationships may be seen and acted upon.
The potentially valuable information is separated from the raw data and converted into a
finished product (report) which clearly distinguishes between facts and assumptions; and
(4) Dissemination - The finished product of the Intelligence Cycle is distributed to all entities of
the Service that could benefit from the information, on a need to know basis.

32.2
Intelligence Collection Requirements;
Instructions
Completing an Intelligence Report (Forms G-392 and G-392A).

for

(a)

Standard Intelligence Collection Requirements. These standard Intelligence Collection
Requirements (ICRs) relate to individuals and organizations, and their methods of
operations and assets. These general ICRs apply to all threat categories which have been
designated for intelligence collection.

(1)

Organizations. The identity, role, and background of key figures, members, associates,
and cooperating corrupt officials; member selection and recruitment criteria; organization
history, purpose, strategy, and goals; hierarchy and geographic structure; front
organizations; associations with other organizations and supporting groups; political,
economic, and other influences exerted; rivalries, weaknesses, and other factors which

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Inspector's Field Manual
contribute to organizational instability and limit operations.
(2) Method of Operation.
(A)

Operations: The areas, patterns, and methods of operation; the times, frequency, and
sequence of actions in planning and conducting operations; capabilities and intentions for
future criminal activities; false documents and information used in operations; transportation
and travel patterns, routes, areas, and methods, use of commercial carriers, and corruption
of carrier personnel; border crossing sites and methods; indicators of preparation for
criminal activities; characteristics of clientele, methods, and locations for recruiting clients;
cost of criminal services to clients, methods and schedules of obtaining payment; means of
collecting, transporting, and laundering money; use of firearms and violence; other criminal
activities and enterprises; political or other unusual motivation for criminal activities.

(8)

Management:
The means of organizational control and management; location,
procedures, and roles in planning, decision-making, training, and preparing for activities;
recruitment, advancement, discipline, and training methods; intelligence gathering against
rivals; security methods and devices; methods of identifying, evading, and countering rival
organizations.

(C)

Communications: The methods of communication; types, operational characteristics and
locations of communication equipment used, radio frequencies and range;
telecommunication numbers; code words; encryption devices, and methods; computer
software and passwords.

(0)

Countermeasures: The methods of intelligence gathering against law enforcement;
methods of soliciting and rewarding official corruption; means of identifying, evading, and
countering law enforcement; countermeasures to INS patrols, inspections, and
investigations; methods to access, review, create, alter, or destroy files in official record
systems.

(3)

Assets. The source, location, physical characteristics, ownership, identification, and
registration identifiers of property and resources used or controlled by an organization or
individual, including business, residence, safe house, and other facilities, conveyances,
equipment, weapons, bank accounts, credit accounts, safe deposits, investments, real
property, business records, currency, and other forfeitable property.

(4) Individuals.
(A)

Persons: Identity, biographic date, fingerprint classification, physical features; locations
associated with the individual's activities; marital status and family relationships; Social
Security and law enforcement file numbers; criminal record and use of violence; identity
and travel documents used and travel history; false identities and documents used;
motivation, strategy, and goals; front organizations; associations with other individuals,
organizations and supporting groups; political, economic, and other influence exerted;
rivalries, weaknesses and other factors which limit individual operations.

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(B)

Aliens: Immigration admission record, prior removal, exclusion or deportation, current
immigration status, equities in the United States, eligibility for asylum and other relief.

(b)

Threat-Related Intelligence Collection Requirements. These threat-related ICRs
identify specific information needs for each threat category. They apply to all individuals,
organizations, methods of operations, and assets involved in the events and actions which
constitute the threat.

(1) Foreign Conditions Affecting Immigration.
(A)

Socio-economic conditions: Political, social, economic, public health, and similar
conditions in foreign countries, and violent, severe, or rapid changes in those conditions,
that may have an effect on: claims for refuge or asylum; resettlement in third countries;
immigration, illegal, or fraudulent entry to the United States; and overstays or violations of
status by non immigrants.

(B) Government policies: Attitudes and intentions of high level foreign government officials and
international organizations towards emigration, refugee resettlement, and the transit of third
country nationals for entry to the United States; cooperation with State Department and
Service immigration control operations; and the creation of special benefits or programs for
aliens.
(C)

Corruption:
Official corruption which facilitates immigration fraud,
counterfeiting, or illegal entry to the United States.

smuggling,

(2) Domestic Conditions Affecting Immigration.
(A)

Socio-economic conditions: Political, social, economic, public health, and similar
conditions in the United States, and violent, severe, or rapid changes in those conditions,
that may have an effect on immigration, illegal, or fraudulent entry to the United States, and
overstays or violations of status by nonimmigrants.

(B) Government policies: Attitudes and intentions of high level United States Federal, State, or
local government officials toward immigration quotas and preferences, refugee
resettlement, nonimmigrant entry, immigration control, border security, Service enforcement
operations and resources, and the creation of special benefits or programs for aliens.
(C)

Corruption:
Official corruption which facilitates immigration fraud, smuggling,
counterfeiting, or illegal entry to the United States.

(3) Fraud to Obtain Immigration Benefits and Naturalization.
(A) Method of Operation: The type of fraud scheme; type and source of documents used to
support fraud claims; false issuance or creation of supporting documents or issuance of

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quasi-official documentation; instructions to clients.
(8)

Individuals: The identity, location, background, and characteristics of petitioners and
beneficiaries involved in fraud; relationship to other persons involved in fraud schemes;
place and manner of meeting fraud arranger; knowledge of fraud arranger operations
before meeting; source of documents used to support fraud claim; means of obtaining funds
for payment of arranger, and amount paid to arranger and others; intended destination, and
arrangements for employment and residence; purpose of fraud scheme, if other than for
permanent residence.

(C)

Aliens: Immigration admission record, prior removal, exclusion or deportation, current
immigration status, equities in the United States, eligibility for asylum and other relief.

(4) Alien Smuggling.
(A) Method of Operation: The places and means of entry; use and location of staging areas or
facilities; associations with employers, document vendors, and other smugglers.
(8)

Smuggled Aliens: The demographic characteristics of smuggled aliens; relationship to
other smuggled aliens; route and means of alien's travel to and from the border; place and
means of entry; place and manner of meeting smuggler and knowledge of smuggler
operations; source of travel documents; means of obtaining funds for payment of smuggler
and amount paid to smuggler and others; intended destination, and arrangements for
employment and residence; purpose of entry if other than employment.

(5) Counterfeiting Immigration-Related Documents.
(A) Method of Operation: The type and cost of documents loaned, altered, or counterfeited;
documents included in package deals; ordering, production, and delivery times, locations,
and methods; instructions to clients when documents are delivered; method of retrieving
documents to be used again; means of obtaining valid documents for alteration; methods to
falsely issue or certify documents, or access, review, create, alter, or destroy files in record
systems to support counterfeiting; actions to assist or encourage alien noncompliance with
alien registration requirements; issuance of quasi-official identification or travel
documentation.
(8)

Stolen, Compromised, or Missing Documents:
Characteristics of forged, altered,
fraudulently used, compromised, missing, and stolen documents, security forms, stamps,
seals, printing materials, and equipment; description, quantity, serial number and other
identifying data; security identifiers and methods of detecting fraudulent documents; identity
of person or entity from whom stolen or lost; date, circumstances, and location of theft or
loss; description, quantity, and identifiers of lost or stolen documents which are recovered.

(C)

Method of Production: Methods of production or alteration of documents; source and
types of inks, stamps, paper, and other materials, equipment, and processes used;
production site.

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(D) Individuals: The identity of a person or entity from whom a counterfeit, compromised, or
stolen document was recovered or confiscated; date, circumstances, and location of
recovery; characteristics and identities of other persons who may be in possession of similar
documents; purposes for which the document was obtained or used; means of obtaining the
document; relationship to other individuals using or in possession of fraudulent documents;
route and means of travel using fraudulent documents; place and manner of meeting
counterfeiter; knowledge of counterfeiter operations before meeting; means of obtaining
funds for payment, and amount paid to counterfeiter and others.
(E) Aliens: Characteristics of aliens using or in possession of fraudulent documents; intended
destination, and arrangements for employment and residence if used for entry.

(6) Terrorism.
(A)

Method of Operation: Identity and location of a target of terrorist action; reason for
selecting the target person, place, or time; means, nature, place, and time of attack; method
of gaining access to target; use of warnings, timing, and nature of warnings.

(8) Devices: Types of weapons, explosives, chemical agents, and other destructive devices
used by terrorists; triggering mechanism; sources and means of obtaining or producing
devices; means of transportation, emplacement, and concealment; means of detection, and
disarming; safety measures to take during a search for a device and when encountered.
(C) Terrorist Individual or Entity: Motivation, beliefs, values, strategy, and goals of terrorism
activity; prior terrorism actions alleged, claimed, or proved; association with other terrorism
or criminal organizations, or individuals; association with other criminal organizations or
individuals.
(7) Drug Trafficking.
(A) Method of Operation: The activities which indicate preparations for drug production,
smuggling, or distribution operations or other criminal acts; selection criteria and methods of
recruiting couriers for drug smuggling.
(8) Drugs: The location, type, amount, purity level, form, and value of drugs to be smuggled
into or sold in the United States, or seized by, found, purchased as evidence, or
surrendered to INS; source, route, and destination of raw materials, precursor chemicals,
and drugs.
(C)

Method of Concealment: The methods of concealment for drug production, storage,
and transportation; source and type of materials used for packaging, labeling, concealing,
and transporting; the location of facilities used to construct or alter containers and
conveyances for concealment; the location of facilities and identification of persons who
provide packaging, storage, and concealment services; indicators of concealment and
means of detection.

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(8) Entry Without Inspection and Mass Migration.
(A)

Illegal Entry Infrastructure: Staging areas, lodging, travel, transportation, and other
facilities which are available to and used by aliens prior to, during, and after entry without
inspection.

(8) Method of Operation: Routes and methods of entry without inspection; knowledge of and
countermeasures to Service patrols, inspections, and investigations; activities which indicate
the preparation for illegal entry; indications of the presence of aliens, especially in large
numbers, who may seek to be smuggled or attempt illegal entry.
(C)

Aliens: Demographic characteristics of aliens who enter without inspection; number of
times aliens have previously attempted entry or entered without inspection; time elapsed
from prior visa denial, port-of-entry refusal, exclusion, filing or approval of visa petition, or
prior deportation or other removal; employment and other living conditions in home country,
knowledge of conditions in the United States, and the relative importance of factors which
caused aliens to seek entry and choose their intended destination in the United States;
source and type of information leading to the alien's choice of time, place, and manner of
entry, route to and from the border, and means of travel; relationship to persons in the
United States or other aliens attempting illegal entry; arrangements for residence and
employment after entry.

(9) Employment of Unauthorized Aliens.
(A) Method of Operation: The hiring methods and employment practices of employers; type of
employment violations committed; methods of committing violations; other employment
discrimination, labor law or related laws violated; methods of transporting, harboring, or
concealing unauthorized alien employees; methods of inducing or encouraging the illegal
entry of aliens, or encouraging or soliciting the use of smugglers or counterfeiters, to obtain
unauthorized aliens for employment; efforts to resist or obstruct the enforcement of
employer sanctions, or encourage employer noncompliance.
(8) Employers and Facilitators: The identity, location, and characteristics of employers who
engage in the employment of unauthorized aliens; job markets, entities or individuals which
assist unauthorized aliens to obtain employment; the relationship of employer violators to
other employers; employees involved in committing violations.
(10) Aliens Involved in Crime.
(A) Organizations: The hierarchy, methods of operation, and assets of criminal organizations
and groups which are led by or composed largely of aliens, and the characteristics,
background, location, role, and identity of alien leaders, members, and associates.
(8) Criminal aliens previously deported: The identity, location, and characteristics of criminal
aliens who have previously been excluded, deported, or removed at government expense,

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Inspector's Field Manual
and are likely or attempting to seek reentry to, or have reentered, the United States; the
intention of such aliens to reenter.
(11) Sensitive Events.
(A)

Visits, Meetings and Other Events: The date, place, duration, sponsors, purpose, and
parties involved in international competitions, festivals, conferences, diplomatic or political
visits and meetings, or other events to be held in the U.S. or adjacent countries; the number
and characteristics of aliens who are likely to participate or attend as spectators and will
seek entry to or transit through the U.S.; incidents which may require the Service to control
or prohibit the entry or departure of an alien or group of aliens; actions, preparations, and
intentions of citizens or aliens to oppose or disrupt visits, meetings, and other events.

(B)

Individuals: The identity, characteristics, and travel plans of foreign heads of state,
government officials, celebrities, or other well-known or notorious persons whose presence
in or travel through the United States is likely to arouse the interest of or opposition by
citizens, aliens or groups in the United States; the identity and characteristics of aliens who
have been denied a visa to seek entry to or transit the U.S. to attend conferences or other
events.

(12) Threats Against Service Operations.
Identification and location of Service personnel, detainees,
(A) Method of Operation:
facilities, or operations which are the target of a threat; place, time, and nature of hostile or
disruptive action; means of access to Service personnel, operations, and facilities; use of
warnings, and the timing and nature of warnings.
(B) Devices: Types of weapons, explosives, chemical agents, traps, and other hazardous or
destructive devices used; source and means of obtaining or producing devices; triggering
mechanism; means of transportation, emplacement, concealment, and detection of devices;
safety measures to take during a search for a device and when encountered.
(C)

Threat Individual or Entity: Motivation, beliefs, values, strategy, and goals of activity;
prior disruptive or threatening actions alleged, claimed, or proved.

(13) Excludable or Deportable Aliens.
(A) Excludable or Deportable Aliens, and Refugees and Other Aliens: The identity, location,
and characteristics of aliens who are excludable or deportable, or are likely to seek to be
removed from the U.S. at government expense, or are likely to seek refuge, asylum, or
temporary protected status in the United States.
(B) Aliens Previously Deported: The intentions and preparations of such aliens to reenter.
(14) Threats to National Security.

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(A) Method of Operation: Identity and location of a target of terrorist action; reason for selecting
the target person, place, or time; means, nature, place and time of attack; method of
gaining access to target; use of warnings, timing and nature of warnings.
(8) Devices: Types of weapons, explosives, chemical agents, and other destructive devices
used by terrorists; triggering mechanism; sources and means of obtaining or producing
devices; means of transportation, emplacement, and concealment; means of detection and
disarming; safety measures to take during a search for a device and when encountered.
(C)

Terrorist Individual or Entity: Motivation, beliefs, values, strategy, and goals of terrorism
activity; prior terrorism actions alleged, claimed, or proved; association with other terrorism
or criminal organizations or individuals; association with other criminal organizations, or
individuals.

(c) Intelligence Reports.
(1) Preparation. Please assure that all of the following categories are filled in appropriately
before the report is submitted to HQINT or the field for distribution. An Intelligence Report
that is properly and completely filled out is of greater value than ones which contain missing
or incomplete information.
(A) File Number: This space may be used by the reporting office for their own internal
reference and file codes. HQINT does not currently use this space. Preparing officers
should NOT use an alien's file number for this purpose.
(8) CCX:
Cross-references may be listed in this space. At a later date, this space may be
used by HQINT for a referencing and indexing system.
(C) Date of Information: The date of the occurrence of the event being reported or the date the
information is first received by the writer of the G- 392. This is not necessarily the same as
the date the report is written. The Date of Info. is always a date earlier or equal to the Date
of Report.
(D) Subject: The major topic of the report. Generally, the subject should be the same as the
Collection Requirements, e.g., Alien Smuggling, Drug Trafficking, Document Fraud, Illegal
Entry, etc. Aliens names are not to be used as the subject of a report.
(E) Countrv: This space is used to provide the country of birth of the alien(s) involved in the
incident being reported. Intelligence Reports are reviewed by HQINT analysts based upon
the nationality (country of birth, not citizenship). The nationality of the smugglers/arrangers
or the country of citizenship of the alien(s), as additional information, is beneficial; but the
most important country indicator for intelligence purposes is the country of birth of the
alien(s). Do not put U.S. or USA in this space unless the individual was actually born in the
United States.

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(F) OASIS and OASIS 10 No: The report writer should indicate whether or not OASIS was
checked. If the information is checked in OASIS and there is an existing record, the OASIS
10 Number should be recorded on the Form G-392. If no existing information is found, but a
new record is created, the new OASIS 10 Number should be recorded on the Form G-392.
(G) Databases Checked: Any databases checked for information related to individuals involved
in the incident should be noted. This will eliminate duplication of efforts. Information
derived from any positive hits should be included in the body of the report.
(H) Synopsis: A brief description of the incident or intelligence reported under Details.
(I) Details: A description of a single event or topic which responds to a Collection Requirement.
A continuation sheet, Form G-392A, may be used if more space is needed. The body of the
report should begin with a narrative assessment of the reliability of the source of the
information and the accuracy or validity of the information itself. The report should contain
specifics of the incident, the nationalities of the parties involved, any associated trends, and
the outcome of the incident.
Review the intelligence collection requirements which relate to the information you are
reporting. Be timely, specific, and complete. Provide information in the Details section in
the following order.
Include in the first paragraph of details a reference to any previous reports submitted on the
same incident or subject, or identify the specific request for information which the report
answers.
Evaluate, and provide a brief statement indicating the reliability of the source of the information.
The statement should indicate the source's record, if any, for providing reliable information,
and the method or closeness of the source's access to the information. Do not identify
sources of information by name, address, position in an organization, relationship to another
person, or any other information which may compromise the identity or location of the
source. However, if the source is a representative of another agency, indicate the agency
and the level within the agency, such as headquarters, field office, etc. If the source is the
one of the subjects of the report, describe the source's actions or statements from the
viewpoint of a third party observer.
To the greatest extent possible, provide background information which reveals and explains
methods of operation, capabilities, intentions, vulnerabilities, and interrelationships of
individuals and organizations, and specifically identifies individuals, organizations,
conveyances, assets, and locations involved.
If appropriate, explain unusual terms or practices, or provide a brief assessment of the
information reported. This can include a prediction of future actions or trends, a comparison
to past actions, or an estimate of the significance of the reported information.
Conduct record system checks relating to all persons, organizations, and, if applicable,

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addresses, conveyances, and telephone numbers listed in the report. Identify systems
checked and provide file numbers or other data, or indicate that there is no record. If
possible, attach a printout.
(J) Writer: The writer of the report should type their full name, job title, and telephone number.
All inspectors should identify the type of inspector that they are, i.e. II, SRI, SOl, 110, etc.
HQINT has been tasked with providing HQINS with a monthly status report on Inspectors'
participation in the G-392 reporting program. Investigators should put INV after their
names. Border patrol agents should put BPA after their names, as a monthly status report is
also provided to HQBOR. Telephone numbers should be given so that if additional
information is needed, the writer can be contacted.
(K) Date of Report: The date the report is written. This should not be confused with the Date
of Information, which is the date the information was received or the date the incident
occurred. The Date of Report is always equal to or later than the Date of Information.
(L) Reporting Office/Activity: The three-letter office code assigned to the writer's location. For
example, if the writer is assigned to New York City, the code would be NYC. If the writer is
assigned to Swanton, the code would be SWB. If the location has a suboffice, then the
code would be, for example, Toronto, TOR/BUF. Do not use numbers for program
elements in this space. In the past, writers have used 1221, for example. This could be
any Border Patrol location and does not specifically designate a single writer's location.
Please use only specific three-letter codes. It is very important to fill in this space correctly
so that HQINT will know where to return the evaluation of the report and any other
correspondence relating to a report.
(M) Additional Pages: If addition pages are required, use Form G-392.1 (Intelligence Report
Continuation Page). Indicate the topic which was entered in the same block on the first
page of the report and (if applicable) cite the Request For Information (RFI). Since the
synopsis of the report is written on the first page, it should not be repeated on any
continuation page.
(N) Attachments: Attach other reports, record check printouts, maps, photographs, or other
materials. Cite attachments in the report. Do not repeat large amounts of information
reported in attached documents.
(0) National Security Information: Call HQINT (number below) or the Headquarters Command
Center (202-514-8289) by secure telephone if the information reported relates to national
security and may require security classification.
(2) Distribution: Routine distribution is indicated on the bottom right corner of the various
multi-part copies of Form G-392, as follows:
Original - HQII\lT,
Copy 1 - ROINT,
Copy 2 - District or Sector,

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Copy 3 - EPIC, and
Copy 4 - Originator.
Copy 2 is for use when Form G-392 is prepared in offices under the jurisdiction of a district or
sector, i.e., border patrol stations, ports-of-entry, suboffices within a district, etc.
When additional distribution is made, the offices to which the form is sent should be identified at
the top of the form. Examples of supplementary distribution include FDL, ROINTs, other
than the one with jurisdiction over the reporting office, neighboring districts and/or sectors,
etc.
All reports containing drug trafficking information must be forwarded to EPIC. EPIC has been
designated as the primary office with responsibility for collection of intelligence relating to
drug trafficking. Analysis and evaluation of all drug reports is performed at EPIC. Please
forward these reports to:
EPIC
11339 SSG Sims Street
EI Paso, TX 79908-8098
Attn: R&A Trends.
These reports may also be faxed to EPIC, Attention: R&A Trends, at (915) 564-2102.
Forward copies of the report immediately to HQINT, ROINT, EPIC, and the district or sector.
Also forward copies immediately to any other INS office or other agency which has
jurisdiction over, or a likely interest in, the reported information. Notify receiving offices by
telephone if appropriate, and send time-sensitive information by telefacsimile or teletype.
Retain the Originator copy in the local office intelligence files. Do not place a copy of this
report in any alien file or case file.
(3) Obtaining Intelligence Reports. HQII\JT generates a number of reports in various formats
which are disseminated through the Service as indicated. Each month a list of reports and
bulletins issued during that month is published in the Immigration Monthly Summary, along
with information on obtaining copies of any reports which might have been missed.
(A) Officer Safety Bulletin Document Intelligence Alert - This report describes dangers or
threats to line officers. It may involve terrorist threats, concealed weapons, particular
diseases to which officers may be exposed. It is disseminated to all offices as soon as the
threat or danger becomes known.
(B) Executive Intelligence Brief FDL Reference Paper - This ad hoc report deals with priority
issues and is normally distributed to the INS Executive Staff, to Main Justice, and to district
directors and chief patrol agents. Although not targeted to individual officers, any officer
needing a particular copy may request it through HQINT.
(C)

Intelligence Bulletin - This ad hoc report describes trends in various illegal entry and

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smuggling schemes. It is targeted to the Inspector and other line officers.
(0) Strategic Assessment - This is a rather lengthy type of report which is very analytical and
detailed. It provides information on particular large scale smuggling trends and similar
issues.
(E) Operations Analysis - This case support report deals with a particular case, problem, or
issue affecting an individual office. It is only distributed beyond the office involved upon the
permission of that particular office.
(F) Immigration Monthly Summary - This is the only report which is published on a scheduled
basis. In addition to the listing of the reports and bulletins issued during the preceding
month, it also contains summaries of reports issued by regional intelligence officers, with
contact points. On a semi-annual basis, it also contains a listing of all reports and bulletins
issued during the immediately preceding six month period.
A listing of recent document alerts and other intelligence information is contained in Appendix
32-1.

32.3

The OASIS Database.

[reserved.]

32.4 Headquarters INS Intelligence Bulletin Board.
(a) General. Headquarters Intelligence established a Intelligence Bulletin Board (HQINSINTEL)
on the Treasury Enforcement Communications System (TECS) on March 21, 1996. All
TECS users have read only access to the bulletin board. Posting capability to the system is
limited to selected INS personnel. The purpose of the bulletin board is to exchange
pertinent and timely Immigration intelligence.
(b) Rules for Bulletin Board Operation.
(1) HQINT is final authority on article content, length, duration of posting, and officer access.
(2) No national security information or case sensitive information will be posted.
(3) Articles must be short and concise (usually less than two screens).
(4) Articles must have value for INS readers outside of writer's district or sector.
(5) The title of the article must describe the article content.
(6) The bulletin board will rarely be used for lookout entries, such as for terrorists.
(7) Posting articles does not alleviate the responsibility to submit G-392s as required.

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32.5

INS Forensic Document Laboratory (INS/FDL).

(a) General. The Forensic Document Laboratory (FDL) provides a wide variety of
forensic document analysis and law enforcement support services for the
Immigration and Naturalization Service.
The FDL Forensic Section conducts
scientific examinations of questioned document evidence and testifies to their
findings as expert witnesses in judicial proceedings. On a case by case basis,
forensic examinations are conducted for other Federal, State, and local law
enforcement agencies. The FDL Intelligence Section develops and presents
training programs in the detection of fraudulent documents, assists field personnel in
identifying fraudulent documents, and conducts ongoing liaison with other Federal,
State, local agencies and foreign governments to promote common efforts to
combat international document fraud.
The FDL provides the following primary services and products:
(1) A full range of forensic support through the scientific examination of handwriting,
hand printing, stamps, seals, printing, typewriting, the restoration of obliterated or
altered documents, the examination of suspected counterfeit documents, and the
processing of evidence for latent fingerprints.
(2) Expert witness testimony by qualified forensic personnel in judicial proceedings and
hearings on the examinations they conducted. Preparation of photographic court
charts to support the prosecution of these cases.
(3) Technical advice and assistance in developing major cases involving fraudulent
documents. This includes support to approved undercover operations.
(4) Training programs in detecting fraudulent documents, and recognizing and handling
documentary evidence. Training programs can be geared to specific programs or
In order to request a training program, contact the FDL
areas of concern.
Intelligence Staff at (703) 285-2482 during business hours. A listing of several
recent training programs is contained in Appendix 32-2.
(5) Preparation and distribution of Document Intelligence Alerts (high quality, color
photo bulletins distributed worldwide to assist field personnel in the identification of
fraudulent documents recently encountered at the FDL). The FDL currently
distributes over 500 copies of Document Intelligence Alerts worldwide to INS offices,
U.S. Embassies, and other law enforcement agencies. If your INS office is not
receiving copies or if you would like to request previously distributed copies, please
contact the FDL's Intelligence Section at (703) 285-2482. An updated listing of the
Alerts can be found on the cc:Mail Forensic Document Laboratory Bulletin Board.

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Inspector's Field Manual
(6) Maintenance of an extensive library of exemplars of visas, passports, vital statistics
documents, immigration documents, and other documents for use by both Forensic
Document Examiners and Intelligence Officers for comparison with questioned
documents. Copies of documents and other material needed in connection with a
specific case may be obtained upon request. Field personnel are encouraged to
submit intercepted fraudulent documents to the FDL for the FDL Library and for use
in document training and in the production of Document Intelligence Alerts.
Whenever possible, original documents should be provided to the FDL.
(7) Assistance via Photophone in resolving questions concerning suspect travel
documents on a real-time basis. Extended hours of service to INS field by Senior
Intelligence Officers seven days a week.
(8) A close working liaison with the Office of Fraud Prevention Programs (CA/FPP) and
the Bureau of Diplomatic Security (DS), U.S Department of State.
(b) Requests to FDL for Forensic Examination of Evidence.
(1) Assistance in Preparation of Evidence for Submission. For assistance and advice in
the preparation of a case for submission to the FDL for forensic examination,
submitters are encouraged to contact the Chief Forensic Document Examiner at
(703) 285-2482 or fax (703) 285-2208.
(2) Transmission of Evidence to FDL. Each transmission of evidence to the FDL must
be accompanied by a "Request For Laboratory Examination" (G-1 021).
Form
G-1021 is available in electronic format on the FDL Bulletin Board, or may be
obtained by contacting the FDL as above.
All evidence must be transmitted inside a sealed inner envelope, with
G-1021 attached to the outside of that inner envelope. Multiple
submitted in a single Federal Express mailer or other mail medium,
within the outside envelope must be separately packaged exactly
described above.

the completed
cases may be
but each case
in the manner

Any cases that do not adhere to these instructions will be returned to the requestor,
accompanied by instructions on submitting the case in the prescribed manner.
Requests and evidence should be sent via registered U.S. Mail, Certified U.S. Mail,
or the current courier/package delivery service (e.g., Federal Express) in order to
maintain tracking of the chain of evidence. Requests and evidence must be
addressed to:
Chief Forensic Document Examiner
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Inspector's Field Manual
INS Forensic Document Laboratory
Warren Building, Suite 325
8000 Westpark Drive
McLean, VA 22102-3108
In keeping with standard legal requirements, the FDL will return the examination report
and the evidence to the same person who submitted and signed the "Request For
Examination", unless other specific instructions are received.
(c) Preparation for Court. In the event that a case is scheduled for a trial or hearing, it
is very important that the following procedures be followed.
The case officer who submitted the evidence must immediately contact the FDL
Forensic Document Examiner or Fingerprint Specialist who examined the evidence.
The evidence must be returned to the FDL at least two weeks (if possible) before the
trial to permit preparation of court charts.
A subpoena for the Forensic Document Examiner or Fingerprint Specialist must be
obtained and should be faxed to the FDL. The FDL case control number should be
included on the subpoena.
(d) FDL Support of Undercover Operations.
(1) Guidelines. The FDL provides technical support upon request for undercover
operations that have been properly authorized in accordance with the Attorney
General's Guidelines on INS Undercover Operations. FDL Policy Memorandum #3
(April 1997), a copy of which can be provided upon request, provides guidance in
the submission and handling of requests from INS officers for FDL support for
approved undercover operations.
(2) Approval. FDL is authorized to support INS undercover operations only in those
cases where the proposed undercover operation has been approved at the
appropriate level in accordance with The Attorney General's Guidelines for INS
Undercover Operations. The three categories of approved undercover operations
are:
•

Those undercover operations which must be authorized by the INS Commissioner,
with the concurrence of the Assistant Attorney General for the Criminal Division;

•

Those which must be authorized by the INS Regional Director; and

•

Those which must be authorized by the appropriate District Director or Chief Patrol
Agent.
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(3) Preliminary Feasibility Discussions. When an INS officer is planning an undercover
operation which will require support from the FDL in the form of "operational
documents", that officer should call the Chief Intelligence Officer to discuss the
technical feasibility of the proposed request. If the proposed action is considered
technically feasible to carry out, the Chief Intelligence Officer will inform the FDL
Director, and will advise the requesting officer to take the following steps:
•

Ensure that a generalized statement is included in Form G-819 (or addendum to
G-819, if the decision to utilize an undercover document was made subsequent
preparation of the G-819) that the proposed operation will use documents which
be provided by the FDL. The G-819 or addendum should clearly state how
documents will be used in the operation.

the
the
will
the

•

Once the G-819 is approved, a written request from the Assistant District Director,
Investigations or the Appropriate Assistant Chief Patrol Agent must be forwarded to
the Director, INS Forensic Document Laboratory, which will include the following:

•

A copy of the approved G-819, including the approval signatures;

•

A statement as to precisely what is needed (as previously discussed in the
preliminary feasibility discussions);

•

Both the cover data and genuine identifying data of the person for whom the
document is to support;

•

A statement as to who will be the responsible INS officer to control and return the
documents; and

(4) Approval for FDL Production. Upon receipt of the request from the field with the
approvals as described above, the request will be reviewed and considered for
approval both by the Director, FDL and the Assistant Commissioner, Intelligence
(HQINT). This final approval will be attached to the incoming request and becomes
a part of the FDL case file. Actual production and delivery of operational documents
to support approved INS undercover operations will be carried out only after the
above approval process, and in consideration of other INS cases pending.
(e) Undercover Support to Agencies Other than INS. Support to agencies other than
INS will be subject to:
(1) Case load,
(2) Feasibility, and
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(3) Review by the Chief Intelligence Officer and approval on a case-by-case basis by
the Director, FDL and the Assistant Commissioner, Intelligence. (Requests must
come from an appropriate level official at the requesting agency's headquarters.)
Priority will be given to supporting INS operations and INS forensic casework. It is a
general policy of FDL to support only INS undercover operations.
(f) FDL Points of Contact. Questions concerning FDL should be addressed to:

Forensic Document Laboratory
8000 Westpark Drive, Suite 325
McLean, VA 22102-3108
Address the query to the attention of the appropriate FDL staff person(s), as follows:
RE: FDL policy matters: Director,
RE: Forensic and Fingerprint matters: Chief Forensic Document Examiner,
RE: Support to INS Undercover Operations: Chief Intelligence Officer,
RE: Document Intelligence matters: Intelligence Staff, or
RE: Fraudulent Document Training: Intelligence Staff.
(g)

FDL Communications Capabilities.
may be used in contacting the FDL.

Any of the following communications media

•

Telephone at (703) 285-2482 (7am - 8:30pm, Monday - Friday and 10am 6:30pm, Saturday/Sunday/Holidays).

•

Photophones:

•

STU-III Secure Telephone: Call in advance to set up a secure telephone link.

•

Facsimile Machine:

•

INS Headquarters 24-Hour Emergency Number: (202) 616-5000 (INS Command
Center). Ask for assistance in reaching an FDL representative if unable to reach at
FDL numbers above.

(h)

Guide for the Collection and Submission of Exemplars in Cases of Suspected
Passport Fraud. If you suspect that a passport may have been fraudulently altered,
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Inspector's Field Manual
be sure to collect handwriting and fingerprints from the person who is carrying that
passport. You should do the following:

The use of this guide when submitting a passport for examination will help ensure that
the Forensic Document Laboratory will be able to provide the very strongest
conclusion possible from the evidence provided.

FOR ANY ASSISTANCE PRIOR TO COLLE~TION OR SUBMITTING EVIDENCE,
PLEASE CONTACT THE CHIEF FORENSIC DOCUMENT EXAMINER AT
703-285-2482.
(Revised INOO-1 0)

'j.:' ;,

..... ~

32.6
EPIC Operations; Instructions for Completing Report of
Documented False Claim to Citizenship (Form G-329).
(a) General. - The EI Paso Intelligence Center (EPIC) is a multi-agency tactical and operational
intelligence facility located in EI Paso, Texas. The EPIC Charter has three basic tenets for
the coordination of tactical and operational intelligence as it relates to:

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•

Narcotics trafficking,

•

Alien smuggling and other related immigration violations, and

•

Weapons trafficking.

INS is a full-member agency of EPIC, and provides staff through its Intelligence Division. The
INS Advisory Board Member is the Assistant Commissioner for Intelligence, and INS is
represented at EPIC by a Senior Special Agent of the Intelligence Division who also
functions as the agency Program Coordinator.
(b)

INS Mission at EPIC. EPIC was established to collect, process and disseminate
intelligence information concerning illicit drug and currency movement, alien smuggling,
weapons trafficking, and related activity.
These EPIC intelligence requirements are
connected directly or indirectly to the duties of INS officers in the field. Individual INS
officers may query EPIC for intelligence on these topics in support of their enforcement
activities in the field. If there is information on file or if there is a negative response to a
query, EPIC will respond directly to the requestor. If there is an active case involving the
subject of the query by a participating agency, EPIC will advise both the requestor and
original owner of any information or record depositied with EPIC. EPIC will not release
information pertaining to an active investigation (unless the subject is armed and
dangerous), but will facilitate contact between the requester and the relvant case officer.
The INS mission functions at EPIC are listed below:
(1) INS Special Agents support the EPIC Watch Command. The EPIC Watch Command is
operated 24 hours a day, 365 days a year and responds to telephonic, wire, and computer
inquiries from member agencies. EPIC provides real time access to member agency
databases and the EI Paso Intelligence Database (EID).
(2) INS staffs the Nationality Identification Search Unit (NISU) which is a sub- unit of the Watch
Command. This unit provides a wide variety of services to INS and member agencies, as
listed below:
NISU receives and databases into OASIS between 6,000 and 9,000 Alien Smuggler Data Input
Sheets (Form G-170s) per year. The G- 170 is a standard form used by Border Patrol
Agents to report events involving the apprehension of individuals involved in alien
smuggling. It is an excellent source of information for intelligence purposes.
NISU maintains the Fraud Document Index and Database. This system has been in existence
at EPIC for 22 years and is an index of documented false claims to citizenship. The system
presently has 550,000 database records and 1,600,000 documents on microfilm.
INS maintains a staff of Intelligence Analysts who conduct analysis of all smuggling
organizations based on multi-source reporting (i.e., G- 170s, G-166s, and 1-392s).
Additionally, all 1-44s of drug seizures are evaluated and databased.

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(c) Access to EPIC Information. INS officers, since they work for a member agency, can have
a variety of database and lookout systems searched by EPIC if they are not immediately
accessible to the officer in the course of his duties. These include CIS, NilS, TECS/IBIS,
STSC, NAILS, DACS, and CLAIMS. EPIC itself owns a system known as the "Fraudulent
Document Index System" or FDIS. FDIS contains information on more than 500,000 cases
involving fraudulent documents. More than 1.6 million individual documents connected to
these cases have been microfilmed.
EPIC is also the home of the Nationality Identification Search Unit (t\lISU). The NISU stores
and maintains case files realting to individuals who have presented documents in support of
false claims to U.S. citizenship, the true names of impostors, suspect issuing officials,
individuals who have fraudulently filed birth certificates, and other situations incident to false
claim activity.
(d) Contacting EPIC. An INS officer can contact the EPIC General Watch at 1-800-351-6047
(outside of Texas) or 1-800-527-4062 (inside Texas) for general inquiries. The NISU can be
contacted throught the General Watch (NISU is a sub-unit of the Watch Command) or
directly at 915-564-2140/2142/2143 for assistance.
(e)

Instructions for Reporting False Claims and the Fraudulent Use of Documents, and
Related Matters.

(1) Use of Form G-329. Form G-329 provides a statistical and case record of the confiscation
of documents used or produced fraudulently, and a summary of information about the arrest
or identification of an alien who can be charged for a criminal violation involving a false
claim to a lawful status or citizenship in the United States, or other fraudulent production,
use, or possession of a document. Data on Form G-329 is used by INS and other agencies
for intelligence purposes, and may be reported to the Uniform Crime Reports System.
Form G-329 should be executed immediately when a false, altered, counterfeit, or fraudulently
used document is seized, collected, or purchased as evidence by a Service employee
during a law enforcement activity, or when it is determined that an alien has made a false
claim to a lawful status in the United States.
Form G-329 is a record of information obtained through direct observation by a Service officer,
provided by an arrestee, or derived from other sources, concerning the type, source, and
manner of acquisition and use of documents, and the circumstances in which a false claim
was made by an alien. The original or photocopy of reported fraudulent documents must
always be submitted with Form G-329. Therefore, data reflected on the document, such as
name, registration number, or issuing agency, does not need to be recorded on Form
G-329, and space is not provided for this information. Classified national defense
security information should NOT be entered on Form G-329.
(2) Preparation of Form G-329. To ensure legibility Form G-329 should be typed, but may be
printed by hand. Preparing officers are requested to heed the following comments.

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(A) Checklists.
Checklists and block formats on Form G-329 generally provide all possible
choices and indicate whether only one choice or several choices can be checked. When
information is checked off on a checklist, or provided in a block on the form, it is not
necessary to repeat the information in the narrative, unless additional identifying details are
available.
(B) Negative Responses. When Form G-329 is prepared there should not be any narrative
block or checklist section left blank except when specifically allowed in paragraphs f and g
below, or when the information is included in an attached report on another form, such as
Form 1-213 or Form 1-44. Generally, negative responses will be indicated by entering the
word "None", "N/A" or "Unknown", or checking a block labeled "No", "Not Applicable",
"None", or "Unknown".
(C) Abbreviations. Some blocks require the entry of abbreviations. Care should be used to
ensure that abbreviations are clearly legible and not written in a manner which would cause
the answer to be confused with another possible answer.
(D) Date and Time. Dates should be reported in the format mmddyy or mm- dd-yy or mmlddlyy
with leading zeroes. Times should be reported on the basis of a 24 hour clock, e.g. 4:25
p.m. would be stated as 1625.
(E) Other Information. When the space available in the narrative block or other blocks on Form
G-329 is not adequate to contain all the pertinent information, provide the additional
information on an attached memo, G-166 or other report.
When Form 1-213 is used to report the
(F) Redundant Information on Form 1-213.
apprehension of an alien relating to a document reported on Form G-329, enter the Subject
name, and Suspected of Using blocks, and leave the rest of the Subject section of Form
G-329 blank. Complete the remaining sections of Form G-329. It is not necessary to
include in the Narrative information which is included in the Narrative of Form 1-213.
(G) Definitions of Block Headings: Most blocks on Form G-329 are self- explanatory and these
instructions are therefore general in nature. These instructions follow the sequence of
blocks as they appear on the form.
Program, Office, INS File Number.
Indicate the program responsible for
completing the Form G-329. Enter the three letter code designating the district or sector,
and the suboffice, station, port, or other location of the reporting office. Enter the number of
the Service "A" file or case file relating to the principal person or case.
False Claim to (Checklist). Indicate the type of false claim made by the alien, or
for which the document was used or is intended to be used. Check all blocks which apply,
and enter a two or three word description of any other false claim or fraudulent use. Identify
the location, date, and time when the false claim or fraud occurred.

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Subject. Provide summary information about the person who was in possession
of the document, or who made the reported false claim. Report as much identifying
information as is known. If an arrest report such as Form 1-213 is attached, enter name,
date of birth, and file number to assist in cross referral to the arrest report, and complete
only those blocks not included in the attached report.
Suspected of Using. Indicate whether the subject was under the influence of
drugs or alcohol, or used a computer in the commission of the false claim or fraud offense.
Document Data. Provide information relating to the form of the document and
apparent alterations, and the purposes for which the form has been used. Each checklist
indicates the correct number of blocks to check.
Narrative. The narrative should clearly state the information which will support
administrative or judicial revocation or forfeiture, and prosecution. If pertinent information is
contained in other reports or memoranda, refer to those reports. Provide a brief description
of the articulable facts which gave rise to probable cause for the search, arrest, or
apprehension which led to the reported document. Report other significant information
which is not reported or not completely reported elsewhere on Form G-329.
Source. Provide information about the identity of the source of the document,
and the place and manner in which the document was obtained from the source.
Type of Location. Briefly describe the type of location where the document was obtained. Use
terms such as "travel agency," "convenience store," "street corner," and similar phrases.
Other person involved. Identify any other person who was involved in producing or obtaining
the document.
Summary of Documents Provided by the Source (Checklist). Indicate each type of document
provided by the source. Check as many blocks as apply, and enter in the blank spaces any
other type of document not listed.
Other Documents In Possession of the Subject (Checklist). Indicate each type of
document found in the subject's possession, whether or not provided by the source. Check
as many blocks as apply. The first section relates to documents which are known or
believed to be valid and relate to the true identity of the subject, and the second section
relates to documents which are known or suspected to be fraudulently obtained, produced,
or altered. If the SUbject was not in possession of documents, check "None" and leave
these sections blank.
Disposition. Indicate the administrative and criminal proceedings authorized
against the subject of the report. Enter the Title and Section of the United States Code and
number of counts charged against the Subject of the report. If prosecution was accepted by
a State or local jurisdiction, indicate the State by abbreviation, and enter a short title for the
criminal violation charged, e.g. "NY - use false DL".

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(3) Disposition of seized documents. Valid documents relating to an arrested subject should
be stored with the subject's other personal property and turned over to the appropriate
custodial agency. Documents which will be used in evidence should be inventoried and
stored in a secure cabinet. Documents which must be forensically examined should be
forwarded to the INS Forensic Document Laboratory.
(4) Filing and distribution of Form G-329. Place the original Form G-329 in the relating Service
A file or case file. Send a photocopy to HQINT and EPIC.

32.7 Interpol. (Revised 2/10/06; CBP 17-06)
(a) General. INTERPOL stands for the International Criminal Police Organization, the
worldwide law enforcement confederation created to facilitate international police
investigative inquires on individuals, groups, businesses, and organizations involved in
international crime. INTERPOL headquarters are referred to as the Office of the
General Secretariat (SG), and are located at Lyons, France.
INTERPOL has 182 member countries, whose police forces cooperate with those of
other member countries to combat international crime. INTERPOL communications
occur through National Central Bureaus (NCBs) established and maintained by member
countries. The U.S. National Central Bureau of INTERPOL (INTERPOL - USNCB) is
located at Washington, DC, and is an agency within the Department of Justice [Member
Countries Listed in Appendix 32-3].
The INTERPOL organization has no police powers or arrest authority. Instead,
INTERPOL member country NCBs exchange information with other member country
NCBs, each of which relays incoming investigative requests to the appropriate police
agencies in their respective countries. The receiving police agency then handles the
investigative request in accordance with its country's laws and regulations.
(b) History. The concept of achieving cooperation among police agencies in different
countries was realized with the creation of the International Criminal Police
Organization (ICPO) in 1923. Initially conceived as a means for a small number of
European countries to facilitate reciprocal police matters, INTERPOL has grown to a
worldwide consortium of 182 member countries.
In 1938, appropriate legislative authority permitted the Attorney General to accept
membership in INTERPOL on behalf of the United States. The Federal Bureau of
Investigation was initially designated as the U.S. agency to perform INTERPOL
functions. Shortly thereafter, however, INTERPOL operations ceased under German
domination of Europe during World War II. In 1946, INTERPOL was re- established
under a new constitution, which provided for elected directors and other safeguards to
prevent usurpation by any single member country.
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The United States resumed participation in 1947, with the FBI again designated to
perform INTERPOL functions. The FBI withdrew from this role in 1950. The U.S.
Treasury Department, however, wanted to maintain international police contacts for its
far-ranging enforcement responsibilities over currency, customs, and narcotics
violations, and continued an informal liaison with INTERPOL. In 1958, the Attorney
General officially designated the U.S. Treasury Department to perform the INTERPOL
role for the United States.
Early in 1977, a Memorandum of Understanding was effected between the U.S.
Departments of Justice and Treasury to share official U.S. INTERPOL representation
and operating activities. The memorandum was subsequently amended, and in 1981
the INTERPOL - U.S. National Central Bureau (USNCB) was designated as an agency
within the U.S. Department of Justice. In the spring of 2003, this memorandum was
again revised to share official U.S. INTERPOL representation and operating activities
and outline the relationship between the U.S. Department of Justice and the
Department of Homeland Security.
The INTERPOL network utilizes the support of a permanent administrative and
technical staff at the Office of the General Secretariat (SG) at Lyons, France. The
Lyons SG headquarters maintains an extensive and sophisticated, state-of-the-art
telecommunications system, which provides rapid exchange of information between
and among the member countries and the General Secretariat. The United States also
has several investigative personnel seconded to the General Secretariat.
(c) National Central Bureaus (NCBS). Each INTERPOL member country establishes a
point of contact and coordination to perform INTERPOL functions. Generally, this
activity is undertaken by a component of the national police in the capital city of each
country. The designated agency of the member country is then identified as the
INTERPOL National Central Bureau (NCB).
Each INTERPOL member country operates its NCB within the parameters of its
respective national law and polices, and within the framework of the INTERPOL
constitution. As previously stated, the INTERPOL U.S. National Central Bureau is an
agency with the U.S. Department of Justice. Known within the international community
as INTERPOL-Washington, the USNCB fills a unique role within the complex network
of U.S. police and federal enforcement jurisdictions, serving as a point of contact for
both domestic and foreign police seeking assistance in criminal investigations, which
extend beyond national boundaries.
(d) USNCB Staffing. The USNCB is staffed by federal and state law enforcement
agency representatives, complemented by full-time case analysts and
telecommunications specialists. CBP presently has one Senior Program Manager
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assigned to the USNCB. Investigative personnel are also detailed from: Bureau of
Alcohol, Tobacco, and Firearms (ATF); Drug Enforcement Administration (DEA);
Federal Bureau of Investigation (FBI); U.S. Food and Drug Administration (FDA);
Immigration and Customs Enforcement (ICE); Department of Defense/Counter
Intelligence Field Activity (DoD/CIFA); Environmental Protection Agency (EPA); U.S.
Mint (USM); U.S. Department of State (DOS/Office of Diplomatic Security); Internal
Revenue Service (IRS); U.S. Marshals Service (USMS); U.S. Postal Inspection Service
(USPIS); U.S. Secret Service (USSS); and various State police agencies.
(e) USNCB Divisions. Special agents from participating agencies are assigned to duty
in one of four INTERPOL-USNCB Investigative Divisions. The divisions correspond to
the types of criminal cases typically conducted under the statutory authority of the
respective member agencies staffing the USNCB. The four INTERPOL-USNCB
divisions are: Alien/Fugitive, Criminal, Drugs, and Financial Fraud. The CBP
representatives are assigned in the Alien/Fugitive division.
The USNCB-INTERPOL organizational scheme is intentionally broad. By nature, many
foreign and domestic inquires have overlapping areas of investigative interest.
Requests for investigative assistance received by the USNCB cover a wide range of
offenses - from murder and violent crimes, narcotics and robbery violations, large-scale
economic fraud and counterfeiting, to the location and apprehension of international
fugitives and immigration-related offenses, such as document and visa fraud, and
human smuggling.
Some limitations exist, however: Article 3 of the INTERPOL Constitution states, "It is
strictly forbidden for the Organization to undertake any activities of a political, military,
religious, or racial character." Requests for information placed through INTERPOL are
thus evaluated against an agreed standard of operation. Similarly, member countries
restrict processing requests to areas of investigative interest, which are recognized
violations of their criminal statutes.

(f) CBP Requests Via Interpol. The USNCB's statistics reflect that CBP has
consistently made the greatest number of requests among participating U.S. agencies
using INTERPOL's communication channels to conduct foreign inquiries. This occurs
for good reason, as CBP officers routinely encounter foreign nationals in the course of
their assignments. Many of these foreign nationals will either have violated their
immigration status, be unlawfully seeking entry or some benefit under the INA, or are
under investigation by law enforcement agencies for other reasons.
The USNCB facilitates CBP requests for foreign criminal histories, records of conviction
and outstanding warrants, and assists in the positive identification of foreign nationals,
as well as procurement of travel documents. In addition,
INTERPOL has recently provided its cache of fingerprints to US-VISIT, which will in turn
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lead to more interdictions of transnational criminals at our ports of entry. Often, the
USNCB is the sole means available to CBP officers to obtain the information required to
proceed in pending criminal or administrative investigations. CBP officers are
encouraged to take advantage of the facilities available to them through the USNCB.

The INTERPOL - USNCB is accessible 24 hours a day/seven-days-a-week, by
telecommunications (via NLETS and JUST), telefax, letter, DHS e-Mail, and telephone.
Communications references are listed below. When requesting or providing
information, please follow the guidance listed below.
Plainly state the reason for your request (e.g., TECS/US-VISIT Hits, criminal
investigation, unlawful application for benefits, visa/passport fraud), and indicate where
you want your inquiry directed (i.e., to which countries).
Refer to the INTERPOL -USNCB case file number assigned, if applicable, to your
inquiry, as this is the method by which INTERPOL matters are referenced.
Provide CBP file references (alien file number, 1-94 admission number, naturalization
number, etc.) and provide the following information, if known, for each subject of
inquiry: name, aka(s), D/POB, COB, passport number, country of issue, visa
information, last foreign residence, and parent names, together with any additional lead
information which would assist foreign police in responding.
Telephone contacts - identify yourself as a CBP officer and ask for the CBP INTERPOL representative (your request will be processed whether or not CBP
representatives are available).

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Please note that countries receiving requests for information typically request
fingerprints and photos to assist in confirming a subject's identity and the record
information they provide. Information supplied by member countries for individuals in
the absence of fingerprints is subject to caveat.

Please note that your request for information will likely require your office to provide a
disposition in the matter for forwarding to the responding country (e.g., deportation
information, U.S. criminal convictions, etc.). Failure to reciprocate with the responding
countries severely jeopardizes future CBP requests.
(g) INTERPOL Communications.

•

Telephone: (202) 616-9000

•

Telefax: (202) 616-8400

•

f\lLETS address: DCINTEROO

•

JUST address: JIPOL

•

CBP e-Mail address.

Mailing Address:

INTERPOL- USNCB
U.S. Department of Justice
1301 New York Ave. N.W., 3rd Floor
Washington, DC 20530

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Chapter 33: Multi-Agency Automated Systems (Added INS - TM2)
33.1
33.2
33.3
33.4

Interagency Border Inspection System (IBIS)
National Crime Information Center (NCIC)
National Law Enforcement Telecommunications System, Inc. (NLETS)
The California Law Enforcement Telecommunication System (CLETS)

33.1 Interagency Border Inspection System (IBIS). (Revised by CBP 3-04)
(a) Background. The Interagency Border Inspection System (IBIS), a multi-agency
database of lookout information, was initiated in 1989 to improve border enforcement
and facilitate inspection of individuals applying for admission to the United States at
ports-of-entry and preinspection facilities. The IBIS initiative began in response to both
legislative and administrative mandates, as well as to evolving agency needs for a more
efficient primary inspection at land, air and sea ports-of-entry.
IBIS resides on the Treasury Enforcement Communication Systems (TECS) at the CBP
Data Center. Field level access is provided by an IBIS network with more than 24,000
computer terminals located at air, land, and sea ports of entry. A portable system using
CD ROM drives is referred to as the Portable Automated Lookout System (PALS) and
is discussed in Chapter 31.4(b).
IBIS provides the law enforcement community with access to computer-based
enforcement files of common interest. IBIS contains information on suspect individuals,
businesses, vehicles, aircraft, and vessels. It also provides access to the FBI's National
Criminal Information Center (NCIC) and allows its users to interface with all fifty states
via the National Law Enforcement Telecommunications Systems (NLETS). NCIC
access includes records on wanted persons, stolen vehicles, license information,
criminal histories, and previous Federal inspections.
CBP also has the authority to collect passenger name record information on all
travelers entering or leaving the United States. This information is strictly used for
preventing and combating terrorism and serious criminal offenses, with the principal
purpose of facilitating CBP's mission to protect the borders through threat analysis to
identify and interdict persons who have committed or may potentially commit a terrorist
act.
In addition to CBP, law enforcement and regulatory personnel from 20 other federal
agencies or bureaus use IBIS, including the FBI, Interpol, DEA, ATF, IRS, the Coast
Guard, FAA, and Secret Service, among others. [See MOU in Appendix 33-1.]
Because of the multi-agency participation, as well as the system requirements to
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provide, in addition to its basic lookout capability, a wide range of other special user
requirements such as intelligence, investigative and other law enforcement activities,
IBIS has evolved to provide a wide range of special features, including:
•
•
•
•
•
•
•
•
•

Imagery
Electronic Mail
On-line Help
Query Notifications
Commercial Directories
Primary Query History
On-Line User Manual
Machine-Readable Documents
Biometric 10 Technology

(b) IBIS Policy. Data in IBIS is "Law Enforcement Sensitive." Access to data is
granted on a need-to-know basis for official use only. All IBIS users must be certified
through an on-line security certification test and must be certified every two years.
Abuse of misuse of IBIS could result in loss of access, termination of employment, and
may include criminal prosecution.
(1) The restrictions in the use of IBIS are as follows:
Never leave your terminal unattended. If you must step away, log off completely.
(A) Do not leave IBIS materials unattended in unprotected places.
(B) Ensure that IBIS printouts are secured or destroyed.
(C) Never confirm or deny the existence of an IBIS record to the public or
unauthorized user. This includes oral, handwritten and printout information.
(D) Only use IBIS to perform official duties required by your job. Browsing is not
permitted. Never access IBIS information out of curiosity. Do not query your
friends or members of your family.
(E) Information released outside of DHS must be accompanied by a Customs
Form 191 (CF 191) and must be approved by a supervisor. Mark IBIS
information "Law Enforcement Sensitive" when releasing to an authorized use
outside of DHS.
(F) Do not disclose your password.
(G)Do not store IBIS information or records on the hard drive.
(H) If any IBIS data is stored on diskettes, label diskettes with "Law Enforcement
Sensitive" and secure the diskettes while not in use.
(I) Report violations to your supervisor or to the Office of the Inspector General
(OIG).
(2) Policy regarding IBIS equipment at a POE is as follows:
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(A) POE and field office technical support staff will follow the guidelines outlined
in memorandum entitled "IBIS Technical Support Guidelines at POE's" dated
March 2, 2001.
(B) Internet access at a POE is to be restricted to one or two workstations that do
not have access to IBIS. Designated Internet access workstations should be
labeled appropriately, including a warning not to configure or provide access
to IBIS from these workstations. All workstations at a POE, where practical,
are required to have access to the intranet. Only approved browser software
is permitted on designated internet workstations.
(C) All workstations' Virtual Terminal Access Module (VTAM) identification (10)
addresses and Internet Protocol (IP) addresses will be statically assigned and
coordinated with IBIS personnel prior to installation or changes.
(c) Planned IBIS Enhancements.

[reserved]

(d) Availability of IBIS training. PHOENIX is the computer-based training system which
resides on the TECS mainframe computer. It is used to administer self-guided
specialized training to field users. All TECS/IBIS users have the capability of accessing
PHOENIX and taking courses offered. Many of the TECS/IBIS courses are optional.
However, if you are a TECS/IBIS user, you must take the TECS Security Certification
Test and, if you are an NCIC/NLETS user, you must take the NCIC Certification test.
Your local Systems Control Officer has been issued a manual which will show you how
to access and use the PHOENIX system. Additionally, a training region of the
mainframe applications is available to simulate real-time events at ports-of-entry.
(e) Procedures for Computer System Failures
This section clarifies and documents the standard operating procedures to be followed
in circumstances where the primary system, Interagency Border Inspection System
(IBIS) becomes unavailable at ports of entry (POEs). All officers performing
inspectional duties are required to be proficient with IBIS, to include the Advance
Passenger Information System (APIS), and all other systems available, e.g., National
Automated Immigration Lookout System (NAILS) and Portable Automated Lookout
System (PALS), which support the inspectional process. These procedures must be
followed in sequential order when access to the IBIS database is unavailable.
All system problems and outag~d to the Customs and Border
Protection (CBP) Help Desk a t _
(1)

IBIS/APIS Failure at Air Ports of Entries (POEs):

If IBIS/APIS becomes unavailable at an individual air POE, inspectors must query all
arriving passengers in NAILS. Directors, Field Operations (or Port Directors) should
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ensure that all officers performing inspectional duties have access to NAILS and are
proficient in the use of NAILS. If for any reason APIS is unavailable, port managers
should obtain the APIS manifest and the "short list" (this list will consist of all primary,
secondary and National Crime Information Center (NCIC) possible matches) of ossible
APIS matches for these arriving fli hts.

e
In or
IS
egardless of the manner In w IC
receive , 0 Icers conducting inspections must confirm that each passenger's APIS data
is complete and accurate. If the data is not complete and accurate, the data must be
modified and queried through the available systems.
(2)

IBIS and NAILS Failures at Air POEs:

In situations where both IBIS and NAILS become unavailable, inspectors must query
arriving passengers in PALS. Ports are directed to immediately identify how PALS can
be made accessible, either by the local area network or on stand-alone computers.
Steps must be in place so that PALS may be accessed rapidly and correctly when
required.

(3)

IBIS Failure at Land POEs:

(4)

IBIS and NAILS Failure at Land POEs:

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(5)

IBIS/APIS Failure at Sea (cruise or non-cruise) POEs:

33.2 National Crime Information Center (NCIC).
(a) General. The National Crime Information Center (NCIC) is a nationwide computerized
information system established as a service to all criminal justice qgencies--Iocal, state,
and federal.
The goal of NCIC is to assist the criminal justice community in the
performance of its duties by providing and maintaining a computerized filing system of
accurate and timely documented criminal justice information readily available to as many
criminal justice agencies as possible. For NCIC purposes, "criminal justice information" is
defined as: "information collected by criminal justice agencies that is needed for the
performance of their legally authorized, required function. This includes: wanted person
information, stolen property information; criminal history information; information compiled in
the course of investigation of crimes that are known or believed on reasonable grounds to
have occurred, including information on identifiable
individuals; and information on
identifiable individuals compiled in an effort to anticipate, prevent, or monitor possible
criminal activity."
General policy concerning the philosophy, concept, and operational principles of the system is
based upon the recommendations of the NCIC Advisory Policy board to the Director of the
FBI. The Board is composed of the top administrators from local, state, and Federal
criminal justice agencies throughout the United States. Through Board input, changes in
current file applications, the addition of new files, and new procedures (edits, codes,
validations, etc.) are coordinated with all NCIC participants.
Through the use of computer equipment located at FBI Headquarters in Washington DC, the
NCIC System stores vast amounts of criminal justice information which can be instantly
retrieved and furnished through an NCIC terminal to any authorized agency. The NCIC
data bank can best be described as a computerized index of documented criminal justice
information concerning crimes and criminals of nationwide interest and a locator-type file for
missing persons.

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The NCIC serves criminal justice agencies in the 50 states, the District of Columbia, the
Commonwealth of Puerto Rico, the US Virgin Islands and Canada.
(b)

Use of NCIC information. The data stored in the NCIC is documented criminal justice
information and this information must be protected to ensure correct, legal, and efficient
dissemination and use. The individual receiving a request for criminal justice information
must ensure that the person requesting the information is authorized to receive the data.
The stored data in NCIC is sensitive and should be treated accordingly, and unauthorized
request or receipt of NCIC material could result in criminal proceedings.

A Secondary Dissemination Log must be kept if a criminal report is ever given to a second
party. If a criminal history report is requested, the attention field in the query is "filled in"
with the requesting party. If the report is given to someone other than what was entered in
the attention field, an entry in a secondary dissemination log must be entered providing the
date, the name of the person to whom the report is given, signature and which criminal
history was disseminated. A safe policy to adopt is to give a party just enough information
to run the report themselves so that there is no need to maintain a dissemination log. But,
just in case the day comes and a criminal history is given to someone other than the
requesting party the log will be available and on site.

33.3 National Law Enforcement Telecommunications System, Inc. (NLETS).
The National Law Enforcement Telecommunications System, Inc. (NLETS) is made up of
representatives of law enforcement agencies from each of the 50 states, District of
Columbia, Puerto Rico and several Federal law enforcement agencies. The purpose of the
organization is to provide for an improved interstate law enforcement and criminal justice
communications system.
The NLETS system provides a communications link to law enforcement systems across the US,
through a switching computer located in Phoenix, Arizona. NLETS queries may be made
on state criminal history, vehicle registration, and drivers license information. Administrative
messages are also supported.
NLETS is comprised of eight regions representing six or seven states that are grouped together
to represent a regional community of interest. The Board of Directors meets at least once
each year to conduct the organization's business. All policy decisions are made by the
Board of Directors. The policy decisions range from how the system is to be operated to
how the Corporation's general business will be handled. The offices phone number is
(602)-224-0744.
Authorized INS personnel may access NLETS through IBIS.

33.4 The California Law Enforcement Telecommunication System (CLETS).
The California Law Enforcement Telecommunication System (CLETS) allows California IBIS

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users direct access to California state motor vehicle information and
criminal justice systems information.

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Chapter 34: Tools and Equipment (Added INS - TM2)
34.1
34.2
34.3
34.4
34.5
34.6
34.7
34.8
34.9
34.10
34.12
34.13

General
Firearms and Other Defensive Equipment
Ultraviolet and Infrared Viewing Equipment
Magnifying Devices
3-M Verification System Device
High-Intensity Light
Photophones
Machine-Readable Document Readers
CU-5 Camera Equipment
Admission Stamps and Security Ink
Government Vehicles
Audio-Visual Equipment

References:
AM 2.2.100, AM 1.5.215

34.1 General.
As an inspector, you will have available a wide variety of tools and equipment essential to the
effective performance of your job. As new technologies are developed, you will have to
continue to upgrade your inspectional skills to fully make use of them. Each new device
which the Service purchases for use by its officers requires training in proper operation and
maintenance. Much of this equipment requires special precautions to insure its security.

34.2 Firearms and Other Defensive Equipment.
(a)

Firearms.
There is one Servicewide policy relating to firearms.
encompasses a wide range of topics including such things as:

This policy

authorization to carry weapons
issuance and control of weapons
use of firearms (deadly force policy)
firearms training and qualification
acquisition of firearms and ammunition
reporting and investigating shooting incidents
The entire firearms policy is included as Appendix 34-1 of this manual. (IN99-24)[ See

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Chapter 21 of the Personal Property Handbook (M-429)]
(b) Oleoresin Capsicum (OC) Spray Devices. Extreme caution shall be exercised in the use of
OC spray, a form of less than lethal force, which immigration inspectors may have to use
under certain circumstances. Authorization to be issued and to use OC devices shall be
granted only to immigration officers, including immigration inspectors, who have received
appropriate INS training and certification on the use, maintenance, and safeguarding of
these devices. All OC spray devices made available to INS employees shall be INS-issued
and shall be properly safeguarded at all times. If used, OC spray devices shall be utilized
only after less invasive less than lethal use of force options have been considered and/or
used. The use of OC spray devices shall be in conformity with policies and/or procedures
established by INS governing their use.
(c) Batons. Immigration Inspectors may be authorized to carry one or more types of batons
which may need to be used in specific instances while in the performance of official duties.
Authorization to be issued and to use batons shall be granted only to immigration officers,
including immigration inspectors, who have received appropriate INS training and
certification in their use. All batons made available to INS employees shall be INS-issued
and shall be properly safeguarded at all times. As an impact weapon and because its
improper use can result in serious bodily injury and/or death, the decision to use a baton
requires careful judgment. An affirmative decision to use a baton should be based on
articulable facts which, if considered by any reasonable person, would support the use of
this type of less than lethal force.
(d) Body Armor. The use of bullet-resistant body armor is a personal choice issue left to the
discretion of individual immigration inspectors. While Inspections Program officers are not
administratively mandated to use this type of equipment, the INS has nevertheless
encouraged its use by making units of bullet-resistant body armor available to immigration
inspectors on a funds-available basis. The INS is also evaluating the practicality and
feasibility of including bullet-resistant body armor as an optional purchase item which
uniformed INS officers can obtain under the INS Uniform Contract.
(e) Other Tools and Equipment. The INS will also consider making other equipment available
to Inspections Program personnel on an as-needed basis. Examples of such equipment
include, but are not limited to, flashlights, buoyant life preservers, and special purpose
footwear.

34.3 Ultraviolet and Infrared Viewing Equipment.

34.8 Machine-Readable Document Readers.
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A growing number of countries are now issuing machine-readable passports or visas. Most
documents use an international standard established by the International Civil Aviation
Organization (ICAO) and are readable by a standard electronic scanning device. In most
locations, these devices are connected to the IBIS system. The reader serves to automate
the lookout name query.

34.9 CU-5 Camera Equipment.
The CU-5 camera and accessories are used to make copies of documents for port records, for
intelligence collection and for posting lookouts. The camera can also enlarge a document
or fingerprint image. With the use of a filter, the camera can be used to examine glossy
finishes. The camera can also be used to make 35mm slides for slide presentations.

34.10 Admission Stamps and Security Ink.
a)

Admission Stamps
Historically the Service has permitted individual ports-of-entry (POE) to acquire and
maintain inspector admission stamps. This policy and procedure has led to numerous
versions and styles of admission stamps that are susceptible to fraud.
In May 2001, the Service replaced all admission stamps utilized by its inspection staff
with a standardized admission stamp. Additionally, the Service centralized the issuance
of replacement stamps, and provided for maintenance of the stamps. The design of the
standardized admission stamp incorporates several security features.
These features are described in the Forensic Document Laboratory (FDL) Document
Intelligence Alert #2001A-45 illustrated this new stamp design. For additional
information pertaining to the new INS admission stamp contact the Intelligence staff at
the FDL.

The Service has contracted with the vendor for the maintenance of the stamps. This
includes the mechanical condition of the stamping unit (carrier) as well as the quality of
the plate text and the digits within the rotating head. Admission stamps can be returned
to the vendor for maintenance and/or replacement of the plate text, rotating dater or
carrier. There is no expense to the Service for maintenance of the admission stamps
(except for costs of shipping the stamp to the contractor). The shipping of stamps to the
vendor for repair should be done through a mail system that permits tracking of the
package (i.e., FEDEX, UPS, certified mail/return receipt). A brief memorandum that

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includes the return mailing address and the point of contact must be included in the
container used to ship the stamp to the vendor. The memorandum must also provide a
description of what repairs are required or the reason for return.

b)

Security Ink

All stamps used to endorse documents that show evidence of status or immigration
benefits must use security ink. Examples include admission stamps, "temporary 1-551"
stamps, line stamps, 1-95 stamps, parole
nta de arture stamps, refugee
stam sand
er code stamps.

c)

Control of Admission Stamps

1.

Tracking.

A record of each Service admission/approval stamp must be kept on an individual Form
G-570, Record Receipt-Property Issued to Employee, and maintained numerically
according to the stamp number. The Form G-570 must be executed upon receipt of
each new stamp by the office controlling the stamp.

2.

Distribution:

In offices where stamps are procured centrally and distributed to more than one
location, the office controlling the stamp, or the procurement/ordering official, must
maintain either individually or by block of numbers a record indicating the controlling
location and date of shipment. The receiving station must then create an individual
Form G-570.
3.

Tracking Requirements:

The Form G-570 for each stamp must contain the following information:

a)

Stamp type and number

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(e.g., line date NYC-1 or admission stamp NYC-1);

d)

b)

Date received at POE or controlling location;

c)

Date issued to officer;

d)

Receiving officers name, typed or printed, and signature;

e)

Date returned to Property Custodian;

f)

Date of destruction, loss, theft, or withdrawal from use, if any; and

g)

Supervisor's name, typed or printed, and signature.

Lost, Stolen or Compromised Admission Stamps or other Secure Property

Every effort must be made to ensure that admission stamps and other secure property
are guarded from being lost, stolen or compromised. Guidance on handling secure
property can be found in Chapter 10 of the Security Officers Handbook. If an admission
stamp or other secure property item --such as security ink or a pad-- is lost, stolen or
compromised, it will be immediately reported orally to supervisory personnel, and
reported in writing to supervisory personnel within 24 hours of the incident. Port
Directors are responsible for ensuring that the actions in subparagraph "e" below, and in
the Security Officers Handbook for reporting lost or stolen equipment, are initiated as
expeditiously as possible. The Security Officers Handbook is available on INSERTS.
e)
Preparation of Intelligence Report Concerning Loss, Theft, or Compromise of Secure
Property

1.

A Form G-392 Intelligence report on each incident involving a lost, stolen, compromised
admission stamp, and stamps that have been permanently removed from use is to be
prepared and routed to the Offices of Intelligence, Internal Audit, Investigations and the
INS FDL within 24 hours of the detection of the loss, or theft, or the discovery of a
compromised admission stamp or other secure property such as ink pads or security
ink.

2.

The INS FDL will maintain a listing of all lost, stolen, compromised stamps or stamps
that have been permanently removed from use.

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3.

The report on a lost, stolen, or compromised admission stamp, or related security
property, must include all pertinent data, such as the date, time, and place of the loss,
theft, or the discovery of the compromised admission stamp, the name of the officer to
whom the stamp was assigned, what efforts where made to recover the lost stamp, or
the circumstances surrounding the discovery of the compromised stamp and any other
pertinent facts relating to the incident.

34.12 Government Vehicles.
Inspectors may be assigned to use a govenrment vehicle (or they may use their privately owned
vehicle) to perform inspections or inspections-related activities. Service polices governing
vehicle use are included in AM 2.2.101 and the Personal Property Handbook (M-429).

34.13 Audio-Visual Equipment.
Some ports-of-entry use either tape recorders or video cameras to record certain activities such
as sworn statements or secondary interrogations. Use of such equipment may provide
evidence to support a case and may also be helpful to defend Service employees against
allegations of improper conduct. Service policy governing use of audio-visual equipment is
included in AM03.400.

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Chapter 41: Liaison Activities; Facilities (Added INS - TM2)
41.1
41.2
41.3
41.4
41.5

Liaison with Federal Inspection Agencies
International Border Liaison
Liaison with International Air and Sea Carriers and Foreign Governments
Liaison with Other Federal Agencies
Liaison with Port Authorities; Inspectional Facilities

References:
INA:

Regulations:

Section 239.
8 CFR 239.

41.1 Liaison with Federal Inspection Agencies.
(a)

General. Several Federal agencies share responsibility for inspection of international
passengers and the items in their possession at the time of arrival. Besides INS, the
Customs Service, Animal and Plant Health Inspection Service and Public Health Service all
have responsibilities for the inspection of international travelers. These agencies are
referred to collectively as the Federal Inspectional Services (FIS). In recent years, the roles
of these agencies have evolved from each agency operating relatively independently to a
more cooperative, joint effort. This joint effort has resulted in more efficient and effective
inspectional procedures. The Interagency Border Inspection System (IBIS) is a prime
example of this cooperative effort.

(b) Port Quality Improvement Committees. In June and July of 1995, the Federal Inspection
Services (FIS), consisting of the Immigration and Naturalization Service (INS), the United
States Customs Service (USCS), the Animal and Plant Health Inspection Service (APHIS),
and the Bureau of Consular Affairs of the Department of State (DOS), participated in a
National Performance Review (NPR) Border Process Reengineering conference with a
common purpose of reengineering the primary inspection process at air and land border
Ports-of-Entry (POEs). Three teams convened to develop recommendations to improve
efficiency, effectiveness, and cycle times of primary travelers and vehicle processing
through integrated inspection processes at airports and at both land borders.
In the Fall of 1995, the Executive Oversight Committee, comprised of agency representatives at
the Deputy Commissioner/Administrator level of each FIS, and the Senior Implementation
Group, comprised of agency representatives from the national unions as well as executive
level managers, were formed to monitor and evaluate the testing of BPR recommendations.
In January 1996, nine pilot sites were selected to further test the NPR recommendations and
five additional sites were identified shortly thereafter. A total of eight airport and six land
border sites were chosen. In addition, Miami was designated a NPR Reinvention Lab.

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These sites were provided training in Business Process Reengineering, Performance
Measurements, and Project Management. These fifteen locations account for more than
50% of the total traveling public.
The vehicle for implementation of the NPR recommendations was the Port Ouality Improvement
Committee (POI C), a concept previously and successfully explored at the six Office of
Management and Budget test locations established in 1993. The POICs were instituted at
each of the NPR POEs and are comprised of management and labor representatives from
each of the FIS agencies as well as local stakeholders. Since their inception, together,
USCS, INS, and APHIS have tested many recommendations for improvement or
enhancement of the primary inspection process.
The POIC concept will be expanded beginning in June 1997, starting with the original OMB
sites and continuing on through the major land and air POEs throughout the United States.
In the case of INS, the administration of the new POICs will be the responsibility of the
Regions but the testing of I\JPR recommendations to improve the primary process will
continue.
In May 1996, the Unified Port Management initiative was tested at both Buffalo and Nogales
POEs.
The test was designed to test the viability of a single port manager with
responsibility for all USCS and INS operations. In May 1997, the test was concluded and
the POIC concept was recommended as the proper vehicle for enhancing inter-agency
communication and cooperation.
(c) Primary Land Border Inspections. On February 5, 1999, INS established guidelines for
an integrity policy for primary land border inspections. this policy provided four vehicles and
prdestrian lane scheduling options. To further enhance the integrity of this policy, primary
lane changes of INS staff with Customs staff is desireable. Schedules and frequencies
should be negotiated with Customs counterparts locally. The integrity policy for primary
land border inspections is discussed fully in Chapter 2.10. (Paragraph (c) added 6/23/99;
IN99-22)

41.2 International Agreements and Border Liaison.
(a) General. Canadian and Mexican government officials at land border ports play an important
role in the success of INS' mission. Cooperation and regular liaison between local INS port
officials and their Canadian and Mexican counterparts are necessary in order to improve law
enforcement and intelligence efforts, to solve mutual facilities issues and for a variety of
other reasons. Many ports-of-entry have regular liaison meetings and conclude local
agreements to provide information and assistance which is mutually beneficial. Typically,
local cross- border agreements provide for assistance in removing third-country nationals
and provide a means for identifying fraudulent documents purported to be issued by the
other's immigration or passport authorities.
A Statement of Mutual Understanding (SMU) on Information Sharing between Canada and the
United States was signed in June of 1999. This document directs Canadian and United
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States immigration and consular officials to enhance cooperation in areas of mutual concern
relating to migration. The SMU is the commitment that United States and Canadian
immigration and consular authorities will cooperate in preventing unlawful immigration to the
fullest extent permitted by our respective laws. Refer to Appendix 41.2.
(b)

Document Collection. Canadian officials have agreed to collect departure documents
(Forms 1-94) for INS when they encounter nonimmigrants entering Canada who will not be
returning to the U.S.

41.3
Liaison with International Air and Sea Carriers and Foreign
Governments.
(a)

General. Liaison with transportation carriers exists at two levels: mandatory regulatory
requirements which carriers must abide by in order to bring passengers into the United
States and voluntary programs established jointly between FIS agencies and the
transportation industry in order to achieve mutually beneficial goals. The former have
remained largely unchanged for many years; the latter have evolved rapidly in recent years
to cope with mutual problems and to capitalize on opportunities arising from new
technology. Crowded facilities, unstable political systems around the world, increasing
incidence of fraudulent travel documents, Government downsizing, and technological
breakthroughs have posed challenges and opportunities for the public and private sectors
of the industry. INS has qggressively sought opportunities to work cooperatively with
leaders in the transportation industry.

(b) Mandatory Requirements and Local Initiatives. International carriers are required to provide
advance information on arriving vessels and aircraft so that Federal inspectional agencies
can provide adequate inspections resources [See Section 239 of the INA and 8 CFR 239.].
This information should be regularly provided to local port directors sufficiently in advance to
provide necessary staffing. Supervisory personnel should regularly hold liaison sessions
with common carriers operating at their ports in order to ensure that available scheduling
information is delivered as early as possible, to discuss long term traffic estimates, to
identify problems which carriers may have involving FIS activities and to jointly discuss other
issues which involve the efficient operation of the port. [See also, Transportation
Agreements, Chapter 42 of this manual.]
(c)

National Initiatives. A number of special programs involving INS and individual
transportation lines or umbrella organizations such as the International Air Transport
Association (lATA) or the Air Transport Association of America (ATA) are operational or in
the developmental stage. The Advance Passenger Information System (APIS), discussed
in Chapter 26.3. the Carrier Consultant Program (CCP) discussed in Chapter 26.4,
INSPASS, discussed in Chapter 26.7, and expansion of preclearance are all examples of
cooperation between government and industry to improve conditions in federal inspectional
facilities, for the benefit of the traveling public.

INS is a regular participant in the lATA Control Authority Working Group (CAWG), a group of
senior government and industry representatives who meet to discuss and resolve issues of

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mutual interest including standards for international travel documents, inspectional facilities
issues, travel traffic forecasting, legislation and regulations affecting travelers and
transportation companies, trends in international terrorism and alien smuggling, etc.
(d)

EDISON Project. The EDISON system was developed by the Centrale Recherche
Informatiedienst,
the Dutch equivalent of the Federal Bureau of Investigation, a
law-enforcement agency of the Government of the Netherlands. The EDISON system
stores and retrieves high-quality images of travel-related documents to enhance border
control activities.

Presently, there are six countries who are members of the EDISON Steering Committee: United
States, Netherlands, Canada, United Kingdom, Australia, and Germany. The Committee
develops and establishes the policies and procedures under which EDISON is used in these
countries, as well as in other countries that request to purchase the technology for border
control activities within their own territories.
The EDISON system is a common database of genuine travel documents, such as samples of
a country's passport versions, that will help in the detection of fraudulent travel documents
purportedly issued by legitimate document-issuing authorities within individual countries. As
of March 1996, EDISON contains 930 documents (images and descriptive text) from 184
countries. The INS Forensic Document Laboratory, in McLean, Virginia, uses the EDISON
technology. The EDISON system is in use at the international airports in New York, Miami,
Los Angeles and Atlanta. Development and distribution of the system continue.

41.4 Liaison with Other Federal Agencies.
Many agencies which are not FIS agencies have an interest in activities at ports-of-entry.
Virtually all Intelligence agencies and law enforcement agencies at the federal, state, and
local levels have a need to interact with managers at ports- of-entry. Frequently, there are
requests to post local lookouts or to assist in other law enforcement functions. Similarly,
INS is dependent on other agencies to assist in carrying out its mission. Providing this type
of assistance whenever possible is a critical part of the inspector's job.
Possibly the most important and frequently relied upon liaison for INS inspectors is with
overseas Department of State visa issuing posts. A complete list of DOS contacts, with
their telephone and fax numbers is listed in Appendix 41-1.

41.5 Liaison with Port Authorities; Inspectional Facilities.
It is important that local port directors maintain close contact with officials in charge of facilities.
At land border locations, such facilities may be owned by the Federal Government and operated
by the General Services Administration, they may be privately owned and operated, or they
may be owned and operated by local, quasi-public organizations. At most airports, the facilities
are owned and operated by local port authorities.

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There are established standards for inspectional facilities, including security requirements,
inspection booths and other physical requirements. These standards have evolved over the
years and periodically change for various reasons. All new facilities and modifications to older
ones must be approved by regional and Headquarters Facilities Management officials. It is
critical that such officials be contacted during the earliest stages of planning for any new or
modified facility [See discussion in AM 2.1.204 and Chapter 4.10 of the Facilities Management
System Guidebook].

Chapter 42: Transportation Agreements (Added INS - TM2)
42.1
42.2
42.3
42.4
42.5
42.6
42.7
42.8
42.9

General Considerations
Transit Agreements
Visa Waiver Program Agreements
Guam Visa Waiver Agreements
Preinspection Agreements
Contiguous Territory Agreements
Landing Rights and Carrier Requirements
Progressive Clearance
Section 273(e) memorandum of Understanding (MOU) (Added IN99-34)

References:
INA:

Sections 212(d)(4)(C), 217, 233, 234, 273.

Other law:

Omnibus Territories Act, Pub. L. 99-396.

Regulations: 8 CFR 212.1,214.2,217,233,234,273.

42.1 General Considerations.
Transportation companies involved in the carriage of passengers into the U.S. may incur
obligations to the government in two ways: general statutory obligations, such as those
found in §§ 231, 251, 271, and other sections of the Act and specific contractual obligations
voluntarily undertaken by specific carriers in consideration for particular privileges. This
chapter contains a discussion of both types of obligations. Penalties for violations of those
obligations are discussed in Chapter 43.
The Service will evaluate a carrier's fines, liquidated damages, and user fee payment record
before entering into any agreements with the carriers. Future agreements with carriers may
be conditioned upon payment of overdue fines, liquidated damages, or user fees. The
Service will also terminate existing agreements with carriers whose payments are
outstanding for more than 30 days, unless the fines, liquidated damages, or user fee
payments are under appeal by the carrier. Section 233 of the INA provides authority for
these actions. All agreements are affected by this policy.

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42.2 Transit Agreements.
(a) TWOV Agreement. The Attorney General has the authority under section 233 of the
Act to enter into agreements with transportation lines to guarantee the passage of
aliens without visas who are in transit through the United States to a foreign country.
Requirements for TWOV admissions are discussed in Chapter 15.6. A carrier
desiring to enter into a transit agreement with the Service must be a commercial
carrier regularly involved in the transportation of ticketed passengers.
The
prospective carrier may obtain a contract/information kit from the National Fines
Office (NFO). The carrier must complete and sign Form 1-426, Immediate and
Continuous Transit Agreement, also known as the Transit Without Visa (TWOV)
Agreement, providing two signed originals to the NFO along with the carrier's
two-character airline designation code, complete mailing address and telephone
number, and information as to the type and number of vessels or aircraft owned.
Once the NFO has determined that the carrier is eligible for participation in this
program and appears to be current in its payment of fines, liquidated damages, and
user fees, the NFO Director will return a signed and dated copy of the 1-426 to the
carrier along with a notice of approval. In addition to maintaining a hard contract file
for each signatory carrier, the NFO will maintain a local database an up-to-date list
of all signatory carriers. On a monthly basis, the NFO will publish an updated list of
signatory carriers on its electronic bulletin board. A list of signatory carriers is also
contained in Appendix 42-1; however, carriers who have recently signed a TWOV
agreement may not yet be listed. Contact the NFO during business hours if there is
a question regarding a current contract. (Revised IN 99-34)
(b) In-Transit Lounge Agreement. A separate agreement, called an In-Transit Lounge (ITL)
Agreement, is available to carriers who desire to transport passengers not in possession of
a valid non- immigrant visa and not exempt presentation of one, whose transit passengers
require only one stop in the U.S., and who desire to use specific airport transit lounges
rather than presenting these transit passengers for primary FIS processing. Carriers are to
obtain a copy of the ITL Agreement from the specific Port-of- Entry. Carriers must sign the
ITL Agreements and then submit them, in duplicate, to Headquarters, Inspections, for
approval. A list of carriers signatory to ITL Agreements at specific ports- of-entry is
contained in Appendix 42.3. The Headquarters, Office of Inspections, will maintain an
up-to-the-date list of all approved ITL carriers at the specific Ports-of-Entry. A separate ITL
Agreement must be signed by the carrier and submitted to Headquarters, Inspections, for
each Port-of-Entry where ITL privileges are requested. Only carriers with a valid TWOV
Agreement with the Service are permitted to apply for ITL Agreements. See also Chapter
22.10 entitled "I nspection of International-to-I nternational (ITI) Transit Passengers."
(Revised IN99-04)

42.3 Visa Waiver Program (VWP) Agreements
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The Attorney General has the authority under section 233 of the Act to enter into
agreements with transportation lines permitting certain nationalities to be
transported to the United States without visas. Requirements for admission under
the Visa Waiver Program (VWP) are outlined in Chapter 15.7, section 217 of the
Act and 8 CFR 217. A carrier desiring to enter into a VWP agreement with the
Service must be a commercial carrier regularly involved in the transportation of
ticketed passengers. The prospective carrier may obtain a contract/information kit
from the National Fines Office (NFO). The carrier must complete and sign Form
1-775, Visa Waiver Program Agreement, providing two signed originals to the NFO
along with the carrier's two-character airline designation code, complete mailing
address and telephone number, and information as to the type and number of
vessels or aircraft owned. Once the NFO has determined that the carrier is eligible
for participation in this program and appears to be current in its payment of fines,
liquidated damages, and user fees, the NFO Director will return a signed and dated
copy of the 1-775 to the carrier along with a notice of approval. In addition to
maintaining a hard contract file for each signatory carrier, the NFO will maintain a
local database an up-to-date list of all signatory carriers. On a monthly basis, the
NFO will publish an updated list of signatory carriers on its electronic bulletin board.
A list of signatory carriers is also contained in Appendix 42-2; however, carriers who
have recently signed a VWP agreement may not yet be listed. Contact the NFO
during business hours if there is a question regarding a current contract.

42.4 Guam Visa Waiver Program (GVWP) Agreements
The Attorney General has the authority under section 233 of the Act to enter into
agreements with transportation lines permitting certain aliens without visas to be
transported to Guam. Requirements for admission under the Guam Visa Waiver
Program (GVWP) are outlined in Chapter 15.8, section 212(1) of the Act and 8 CFR
212.1 (e). A carrier desiring to enter into a GVWP agreement with the Service must
be a commercial carrier regularly involved in the transportation of ticketed
passengers. The prospective carrier may obtain a contract/information kit from the
National Fines Office (NFO). The carrier must complete and sign Form 1-760, Guam
Visa Waiver Program Agreement, providing two signed originals to the NFO along
with the carrier's two-character airline designation code, complete mailing address
and telephone number, and information as to the type and number of vessels or
aircraft owned. Once the NFO has determined that the carrier is eligible for
participation in this program and appears to be current in its payment of fines,
liquidated damages, and user fees, the NFO Director will return a signed and dated
copy of the 1-760 to the carrier along with a notice of approval. In addition to
maintaining a hard contract file for each signatory carrier, the NFO will maintain a
local database an up-to-date list of all signatory carriers. On a monthly basis, the
NFO will publish an updated list of signatory carriers on its electronic bulletin board.
A list of signatory carriers is also contained in Appendix 42-4; however, carriers who
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have recently signed a GVWP agreement may not yet be listed. Contact the NFO
during business hours if there is a question regarding a current contract.

42.5 Preinspection or Preclearance Agreements
Transportation lines seeking to have passengers preinspected or precleared abroad at
any of the Service's preinspection or preclearance stations must enter into an
agreement with the Service on Form 1-425, Agreement for Preinspection Between
Transportation Line and the United States. Each agreement is valid only for a
specified preinspection or preclearance station. As part of the agreement, the
carrier agrees to bear the costs of maintaining the inspection station abroad and
agrees to board only those passengers who have been examined and found
admissible to the United States.
A carrier desiring to enter into a
Preinspection/Preclearance agreement with the Service must be a commercial
carrier regularly involved in the transportation of ticketed passengers.
The
prospective carrier may obtain a contracUinformation kit from the National Fines
Office (f\lFO). The carrier must complete and sign Form 1-425, providing two signed
originals to the f\lFO along with the carrier's two-character airline designation code,
complete mailing address and telephone number, information as to the type and
number of vessels or aircraft owned, and a detailed schedule of service to the
United States. Once the NFO has determined that the carrier is eligible for
participation in this program and appears to be current in its payment of fines,
liquidated damages, and user fees, the NFO Director will return a signed and dated
copy of the 1-425 to the carrier along with a general notice of approval stipulating
that the preinspection of individual flights and times is subject to the approval of the
Service port director at the preinspection or preclearance station specified on the
1-425. In addition to maintaining a hard contract file for each signatory carrier, the
NFO will maintain a local database and an up-to-date list of all signatory carriers for
each preinspection site. On a monthly basis, the NFO will publish an updated list of
signatory carriers on its electronic bulletin board. A list of signatory carriers is also
contained in Appendix 42-5; however, carriers who have recently signed a
Preinspection or Preclearance agreement may not yet be listed. Contact the f\lFO
during business hours if there is a question regarding a current contract.

42.6 Foreign Territory or Adjacent Islands Agreements
Section 233(a) of the Act requires all transportation lines to enter into a contract with the
Service for the inspection and admission of aliens coming to the United States from foreign
territory or from adjacent islands. Form 1-420 Agreement requires transportation lines to
comply with the Immigration and Nationality Act and regulations, maintain suitable landing
stations at the Port-of-Entry, and bear aliens' detention expenses and Service overtime
expenses, when applicable. Supplementary agreements relating to accidents, mechanical
difficulties, severe weather or other emergencies are on Form 1- 420A. These agreements
are submitted for approval to the appropriate regional director. The Service does not

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maintain a list of carriers with 1-420 contracts. The 1-420 agreement can be obtained from
and must be submitted, in duplicate, to the National Fines Office (NFO) for approval.
(Revised IN99-04)

42.7 Landing Rights and Carrier Requirements.
With certain exceptions specified in §§ 231 and 251 of the Act, international carriers must
provide arrival and departure manifests, present passengers and crew when and where
directed by the Service, and provide advance information concerning arrival, in order to
permit orderly and timely inspection. Penalties for infractions of these requirements are
explained in Chapter 43.
If a carrier repeatedly fails to present correct and legible manifests (Forms 1-94), and a carrier
representative is not immediatly available to make corrections without unduly delaying the
inspection process, consider 'fine proceedings. Before commencing fine proceedings,
document efforts to obtain carrier compliance, using Form 1-83, if appropriate, or a letter or
memorandum. Notify the carrier, using Form 1-80 of specific deficiencies prior to institution
of actual fine proceedings. Specific manifest requirements and procedures for processing
such manifests are discussed in Chapters 22 and 23.
Do not institute fine proceedings for failure to include data in the admission block of a departure
1-94 which is submitted as a "dummy" replacement form when the original 1-94 is not
presented to the carrier by the departing nonimmigrant passenger.

42.8 Progressive Clearance.
Carriers requesting progressive clearance, partial clearance of an arriving flight at the first
port-of-entry with the remaining passengers cleared at an onward port, should be directed
to contact theregional director with jurisdiction over the first port of arrival. if the onward port
is in another region, that regional director is responsible for coordination with the onward
office prior to approval. The regional director will evaluate a carrier's fines, liquidated
damages, and user fee payment record before entering into any agreement with the carrier.
Upon approval of any progressive inspection request which involves multiple flights, the
regional director shall forward a copy of the approval agreement to Headquarters,
Inspections.

42.9
Section 273(e) Memorandum of Understanding (MOU) (Added
IN 99-34)
A carrier that brings an alien to the United States without a valid passport or visa is
subject to a $3,000 fine. Prior to December 25, 1994, this amount could be remitted
or imposed in full but not mitigated to a lesser amount. Section 273(e) of the Act
allows for the reduction of these fines provided that the carrier screens passengers
in accordance with standards prescribed by the Attorney General and/or where

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case-specific circumstances exist which are determined to justify reduction. A
carrier may be eligible for up-front reductions of 25% or 50% by entering into a
Memorandum of Understanding (MOU), thereby agreeing to train its emplo ees

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Chapter 43: Fines and Liquidated Damages (Added INS- TM2)
43.1
43.2
43.3
43.4
43.5
43.6
43.7
43.8

General
Administrative Fine Violations
Processing Administrative Fines at Ports-of-Entry
Passengers Arriving from Contiguous Territory
Processing Administrative Fines at the National Fines Office
Processing Liquidated Damages at Ports-of-Entry
Processing of Liquidated Damages by National Fines Office
Civil Document Fraud Penalties

References:

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--

. _-

-~

--.-

__ .J.-._ _

~

-----....

---.-

~

-.

~

"

-

Carrier fails to submit Form 1-94 Departure Record [Section 231 (b)]; and
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Inspector's Field Manual
Carrier fails to submit properly completed Form 1-94 Departure Record in a timely
manner [Section 231 (b)].
(3) Section 251. A fine is imposed under Section 251 when a carrier fails to provide a
complete, true, and correct list of alien crewmen, Form 1-418, upon arrival or
departure, or when a carrier fails to report cases of desertion or illegal landing of
alien crewmen as required. A fine may also be imposed under Section 251 if an
alien crewman performs certain types of longshore work not included in normal
operations and service on board the vessel under Section 258.
Typical Violations of Section 251:
Carrier fails to provide timely a complete arrival manifest for alien crew;
Carrier fails to provide timely an accurate departure manifest for alien crew; and
Carrier fails to report illegally landed crewman when discovered.
(4) Section 254. A fine is imposed under Section 254 when a carrier fails to properly
control alien crewmen.
Typical Violations of Section 254:
Carrier fails to detain alien crewman on board vessel prior to inspection;
Carrier fails to detain alien crewman on board vessel after inspection, when ordered
to do so; and
Carrier fails to deport (remove) an alien crewman as required.
(5)

Section 256. A fine is imposed under Section 256 when a carrier pays off or
discharges a nonimmigrant alien crewman without first obtaining the consent of the
Attorney General.

(b) Other Violations.
(1) Section 234. Section 234 relates to the control of aircraft. A fine is imposed under
this section when a nonscheduled carrier fails to provide advance notice to the
government of intent to land in the United States or if an aircraft arrives at an
undesignated port of entry.
(2) Section 243. A fine is imposed under Section 243 when a carrier fails or refuses to
detain, deliver, or deport an alien as required, or fails to pay the removal expenses
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Inspector's Field Manual
of an alien who was brought to the United States by the carrier. Circumtances
under which Section 243 fines can be imposed are outlined in Section 241. Section
243 applies to alien passengers and stowaways but not alien crewmen.

(3) Section 255. A fine may be imposed under Section 255 when a carrier brings to
the United States an alien employed on a passenger vessel who is afflicted with
certain disabilities (feeble-mindedness, insanity, epilepsy, tuberculosis, leprosy, or
any dangerous contagious disease.
(4)

Section 271. A fine is imposed under Section 271 for failure to prevent the
unauthorized landing of an alien in the United States at any time or place other than
as designated by the Service.

Typical Violations of Section 271:
International passengers are disembarked into a domestic terminal, bypassing
immigration inspection (The inspector should recommend a fine for all passengers
on the flight, unless the carrier proves that a passenger is a United States citizen);
and
Alien passengers arrive from foreign and land at a place other than as authorized by
the United States government.
(5) Section 272. A fine may be imposed under Section 272 when a carrier brings to
the United States an alien subject to exclusion on a health-related ground
[excludable under 212(a)(1 )].

43.3 Processing Administrative Fines at Ports-of-Entry.
(a) Completing Form 1-849 & Documenting a Case.
(1) General. All administrative fine recommendations submitted to the NFO are to
include a properly completed Form 1-849, Report to the National Fines Office of
Possible Violation of the INA (7/21/2000), which summarizes the circumstances of
the incident. Form 1-849 includes completion and documentation instructions and a
summary table of fineable sections of the INA. As a Privacy Act concern, a
completed Form 1-849 should not make specific references to political asylum or
credible fear issues. The completed form should include the signatures of both the
recommending officer and a designated concurring officer. Whenever possible, a
copy of Form 1-849 should be provided to the carrier representative, and the carrier
receipt area of the form should be appropriately endorsed to indicate the date and
method of receipt. (Revised INOO-42)
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(2) Local Tracking Numbers. The primary purpose of the local tracking number is to
enable a port to retrieve and refer to a particular case whenever necessary. A local
tracking number must be assigned to each administrative fine recommendation
before submission to the NFO. The local tracking number is to be recorded in the
space provided on the front of Form 1-849. The recommended format for a local
tracking number is as follows:
The letter 'X' + 3-letter port code + terminal name code (if applicable) + the 2-digit fiscal
year indicator + the sequential number for this violation for the specified fiscal year.
As an example, the first local tracking number assigned to a case by Los Angeles
for a violation detected at the Tom Bradley Terminal (TB) in Fiscal Year 2001 would
be:
XLOSTB010001.
If a terminal name code does not exist, a port may use "IA" (international arrivals
terminal) or "AP" (airport) or "SP" (seaport).
(3) Photographs of Alien Passengers. When recommending a fine in a case where an
alien passenger arrives in the United States with no travel documents whatsoever, a
passport-style photograph must be taken of the alien and attached to the photo box
on the front of Form 1-849.
(4) Officer's Summary of Case Circumstances. The officer's summary on the reverse
of Form 1-849 should include all specific facts of the violation and explain how the
violation and responsible carrier were determined. If the Officer's Summary block
does not provide enough space, the officer should indicate in the block that a
In summarizing the circumstances of a
separate memorandum is attached.
perceived violation, it is very important that all relevant information be provided. In
cases where there is no physical evidence for the file showing that an alien arrived
on the flight or vessel indicated, the completing officer must articulate how the
named flight or vessel was determined. The completing officer should not make
specific references to "political asylum" or "credible fear" on the form, even when a
particular case involves such claims.

(5) Supporting Documentation. It is important that each Form 1-849 be accompanied
by any and all available documentation to support the circumstances of the violation.
Supporting documentation may include, but is not limited to: sworn statements by
aliens and other parties involved in the incident; complete copies of documents used
for travel (passports, visas, transportation letters, resident cards, employment
authorization cards, identity documents, etc.); Forms 1-94, Forms 1-95, arrival and
departure manifests; Customs declarations; memoranda describing case
circumstances; photographs of alien passengers; used airline tickets; copies of flight
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Inspector's Field Manual
logs; baggage claim checks; and Service forms related directly or indirectly to the
incident.
The recommending officer should anticipate all possible defense
arguments that the carrier might later present to the NFO and ensure that all
aspects of the incident in question have been documented as thoroughly as
possible. A case that does not contain sufficient information or documentation may
ultimately result in cancellation if the NFO is unable to adequately counter a carrier's
defense arguments by referencing evidence contained in the case file.

(A) General Documentation for PassportNisa Violations:
Photocopies of passport pages showing expiration date(s); photocopies of passport
extension pages (even if extension pages are blank).
Photocopies of all U.S. visas, including expired or "used" single- entry visas.
Photocopies of any relevant admission stamps.

-

A statement from the inspecting officer as to why there was not a visa or why the
visa was invalid.

-

A statement from the alien explaining the reason for traveling on travel documents
presented and what transpired at the time of check- in and boarding.

(8) Specific Documentation for Incidents Involving Passengers Ineligible for VWP:

-

A statement by the inspecting officer explaining whether the alien is:
not in possession of a valid, unexpired passport issued by a participating country;
ineligible for the VWP because of nationality;
arriving on a nonsignatory carrier; or
statutorily ineligible for the VWP because of purpose or length of trip.
The inspector is to include any remarks made by carrier personnel to the alien at the
port of embarkation during check-in.

A statement by the alien regarding his or her purpose of travel and intended length
of stay in the United States.
A photocopy of the alien's airline ticket showing port of embarkation, port of arrival,
and port of departure.
The inspector is to review United Kingdom passports for designations of right of
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abode in the United Kingdom and include copies of all relevant passport pages. In
instances where a passport has a reference(s) to additional page(s), a copy of that
page must be provided.

(C) Specific Documentation for Incidents Involving Document Destroyers or Fraudulent
Documents:
-

A photograph of the alien. In taking this photograph, the inspector is to use the
same angle as used in the fraudulent document to enable comparison of the two
photos.
The inspector is to specifically establish whether the alien:
was observed or intercepted disembarking the aircraft;
was detected in the terminal intermingled with passengers from the same flight;
had baggage tags or was carrying items such as napkins from a particular airline; or
states arrival on a specific flight.
Photocopies of supporting evidence. Examples are:
copies of identity documents;
any items the alien may possess that link the alien to the carrier (such as baggage
tags with the name used for travel); or
any item bearing the carrier's logo.
If the alien was intercepted at the gate, a statement to that effect by the officer(s)
involved is to be included.
If the alien claims to have traveled under rlis or her true name, the alien is to be
questioned further concerning the details of how he or she boarded the aircraft. The
alien may claim to have traveled under his or her true name but the true name does
not appear on the carrier's arrival manifest. The inspector should pursue further
questioning if it is suspected that the travel was under an assumed name.
A statement from the officer describing what features show that a document is
obviously altered or counterfeit. The officer should not describe the security
checkpoints but only those features that should be obvious to non-INS personnel.
Also, a color photograph or color photocopy is recommended.

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Do not make specific references to political asylum or credible fear on Form 1-849.
(D) Specific Documentation for Incidents Involving Passengers Ineligible to TWOV:
-

A statement by the inspecting officer explaining whether the passenger is:
statutorily ineligible to TWOV due to his/her nationality;
statutorily restricted to TWOV unless on a continuous direct-through flight;
arriving on a nonsignatory carrier; or

-

attempting entry at a port not designated for the TWOV program.
A copy of Form 1-259, if served.

-

A copy of the alien's passport, 1-94T, airline tickets, and any other information
relevant to his itinerary and intended admission as a TWOV passenger.

(E) Specific Documentation for Incidents Involving Absconded TWOV Passengers:
-

A statement by the inspecting officer stating how the Service was made aware that
the TWOV passenger absconded.
The unused Form 1-94T Departure Record. If unavailable, the inspector is to state
why the form is unavailable.
The Form 1-94T Arrival Record, if available.

(F) Specific Documentation for Violations Involving Immigrants and Resident Aliens:
Computer printout of relevant INS records checks.
If available, photocopies of the documents
carrier to board the aircraft.

w~lich

alien claims were presented to the

Photocopies of passport pages showing expired ADIT stamps; photocopies of any
forms issued by the Service.
A statement from the immigrant or resident alien parent of baby born outside the
United States indicating why the baby does not meet the criteria of 8 CFR
211.1 (a)(1) or 8 CFR 211.1 (a)(2).
A statement from lawful permanent resident (LPR) who claims to have lost an 1-551
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Inspector's Field Manual
or 1-151. The inspecting officer should verify the location where the card was lost
and whether it was lost before or after obtaining boarding pass.
Statement from LPR who is not traveling with Alien Resident Card that solicits the
following information. What was presented to the carrier? Did the carrier check
documentation, at check in and prior to boarding? Why is the LPR not in
possession of card?
(G) Specific Documentation for Incidents Involving Stowaways:
A statement by the inspecting officer regarding:
how it was determined that the alien arrived on the vessel in question;
when the Form 1-259 was issued;
when and under what circumstances the alien departed the vessel; and
the whereabouts of the stowaway when the vessel departed foreign.
A sworn statement from the stowaway will strengthen cases in which a Form 1-259
was not issued.
(H) Specific Documentation for Incidents Involving Vessels and Crewmen:
Copies of Forms 1-418, 1-409, and 1-410.
Copy of Form 1-259 establishing carrier liability under Section 254 for:
detained crewman who absconds after inspection; or
an alien crewman not removed.
(6)

Questions Concerning Form 1-849. Questions regarding any particular field on
Form 1-849 can be answered by calling the NFO.

(Revised INOO-20)
(7) Requests for Additional Information. Upon review of a fine recommendation at the
NFO, it may be determined that additional evidence, information, or clarification is
required. In such instances, the NFO may issue a memorandum to the port
requesting additional information or documentation.
If the requested material is
available, it should be forwarded to the NFO within thirty (30) days of the date of the
memorandum.
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If the requested information or documentation is not available, the responding officer
should provide a brief statement and/or explanation in the space provided on the
NFO's memorandum and return the memorandum to the NFO within thirty (30) days
of the date of the memorandum.
(8)

Submission of Fine Recommendations to NFO. A recommendation for an
administrative fine must include a completed Form 1-849, reviewed and signed by a
The
supervisor, and all supporting documentation related to the incident.
recommendation package should be submitted in duplicate, via regular mail, to the
Director of the NFO as soon as possible following an alleged violation. The address
of the NFO is:

National Fines Office
1525 Wilson Boulevard, Suite 425
Arlington, VA 22209.
Multiple recommendations may be included in a single mailing; however, each separate
incident should include (in duplicate) a separate Form 1-849 with supporting
documentation relevant to that case.
(b) Special Requirements for Documenting Section 231 Fines.

43.4 Passengers Arriving from Contiguous Territory.
Regardless of documentary deficiencies, carriers are not liable for fines under Section 273 of
the INA in instances where flights enter the United States directly from Canada or Mexico.
However, contiguous territory is not a factor with violations occurring under sections of the
INA other than Section 273. (Revised INOO-42)

43.5 Processing Administrative Fines at the National Fines Office.
(a) Initial Processing.
(1) File Creation, Coding, and Electronic Entry. Upon receipt at the NFO, a file is to be created

for each fine recommendation. Where appropriate, a series of codes signifying the type of
violation, passport and visa status, disposition of alien, etc., are to be assigned to the case
in the course of an initial review. Case codes and data taken directly from the Form 1-849
are to be entered into the NFO System [NFOS]. NFOS will assign a unique fine number to
the case. (Revised INOO-42)
(2) Fines Officer Review. Once a fine number has been assigned, each new case is to be

reviewed by a fines officer for legal and documentary sufficiency.
must make one of three possible determinations:
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Inspector's Field Manual
that fine proceedings should be initiated;
that fine proceedings should not be initiated; or
that additional information and/or documentation is needed before fine proceedings can be
initiated.
(A) Sufficient Circumstance/Evidence for Fine. If the reviewing fines officer determines that the
case, as submitted, is sufficient to initiate fine proceedings, the reviewing officer must sign
the appropriate area of Form 1- 849, recommending that a Form 1-79, Notice of Intent to
Fine, be issued to the appropriate carrier. This recommendation is to be forwarded to the
Director of the NFO for concurrence.
(8)

Insufficient Circumstance for Fine. If the reviewing fines officer determines that fine
proceedings are not warranted, the officer must note the reason(s) for his or her
recommendation and forward the case to the Director of the NFO for concurrence. If the
Director determines that fine proceedings are in fact warranted, the Director will order that a
Notice of Intent to Fine be issued to the appropriate carrier; otherwise, the Director will
approve the fines officer's recommendation for termination, the case shall be terminated in
the NFO System, and no notice shall be sent to the carrier.

(C) Request for Additional Information. If the reviewing fines officer determines that additional
information or evidence is needed in order to strengthen the Service's case against the
carrier, the reviewing officer is to issue a memorandum to the port requesting additional
information or documentation. This memorandum must reference the local tracking number
assigned to the case by the originating port and provide the port with thirty (30) days to
respond. The NFO will refrain from issuing a Notice of Intent to Fine until the 30 days have
elapsed or a response to the memorandum is received at the NFO. If no response is
received within the 3D-day period, the reviewing officer and the Director of the NFO shall
decide either to initiate fine proceedings on the basis of the evidence which is available, or
to terminate the proceedings.
(b) Notice of Intent to Fine (Form 1-79). When it is determined that fine proceedings should be
initiated against a carrier, a Notice of Intent to Fine, Form 1-79, is to be issued to the
responsible carrier via certified mail. This notice informs the carrier of the Service's
intention to impose a fine under a specified section of law and for a specified monetary
amount. The carrier is provided with thirty (30) days to submit a written defense to the NFO
stating the reasons why the proposed fine should not be imposed, or if imposed, why the
fine should be mitigated or remitted. A copy of the Notice of Intent to Fine is to be filed with
the appropriate case, pending further action.
(c)

"Decision to Impose Administrative Fine" Notice. If, after thirty (30) days, a carrier does not
respond to a Notice of Intent to Fine, the NFO will issue to the carrier a "Decision to Impose
Administrative Fine" notice. This notice allows the carrier an additional thirty (30) days to
file a written defense to the proposed fine. The carrier is advised that failure to provide a

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written defense within this 3D-day period will result in formal imposition of the fine and that
all periods for filing a written defense will have expired. A copy of the Decision to Impose
Administrative Fine is placed in the case file, pending further action.
(d) Form G-261 (Bill) and "Final Decision" Notice. If a carrier fails to respond to both the Notice
of Intent to Fine and the Decision to Impose Administrative Fine, the Director of the NFO
shall order that the fine be formally imposed. A bill, Form G-261, shall be created and sent
to the responsible carrier along with a "Final Decision" notice explaining that the fine is
imposed in full and all periods provided for the filing of a written defense have expired. The
Final Decision notice shall further instruct the carrier that payment should be made within
thirty (30) days to the Administrative Center Finance Office specified on the accompanying
G-261.
(e) Receipt of Written Carrier Defense. A timely written defense submitted by a carrier (or
on a carrier's behalf) to a Notice of Intent to Fine or a Decision to Impose Administrative
Fine is to be placed in the appropriate case file, pending review and a decision by a fines
officer. The NFO shall not issue a bill, Form G-261, to a carrier so long as a defense is
pending.
(f)

Attorney Representation. Correspondence received at the t\lFO which references a
specific carrier or a specific violation must be submitted by the responsible carrier unless
accompanied by a properly completed Form G-28, Notice of Entry of Appearance as
Attorney or Representative. The NFO shall not discuss cases nor accept defense materials
with any entity other than the responsible carrier unless a Form G-28 has been filed.

(g) Oral Interviews. If desired (and within the time frame allotted for filing a defense), a carrier
representative may request an oral interview to defend a case with a fines officer. Oral
interviews may be conducted telephonically or in person; if in person, the carrier
representative must travel to the NFO. An oral interview is requested in conjunction with a
written defense. Authority for conducting a personal interview is contained in 8 CFR 280.12.
Procedures for conducting a personal appearance are contained in 8 CFR 280.13. [See
Appendix 43-3 which contains the public notice concerning the oral interview requests.]
The NFO procedures for a request for a personal interview include the following:
The request must be made in conjunction with the written defense and submitted within 30
days of service of the Notice of Intent to Fine, Form 1-79. The immigration officer assigned
to conduct the personal interview shall contact the representative of the carrier to set a date
and time for the personal interview at the NFO, or a telephonic interview in lieu of a personal
interview.
If additional evidence is to be presented by the representative during a personal interview,
the evidence must be submitted at the time of the personal interview. If a telephonic
interview is to be conducted and additional will be presented, the representative must
submit the documentation at least 24 hours before the start of the telephonic interview for
consideration and inclusion in the file.

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Once a date and time for the personal or telephonic interview have been established, the
representative is obliged to appear in person for the personal interview or telephonically
contact the NFO for the telephonic interview on the scheduled date and time. If the
representative cannot appear for the personal interview or cannot call for the telephonic
interview on the scheduled date and time, the representative must call the NFO at least 24
hours in advance to reschedule the interview. The immigration officer will reschedule one
additional date on which the personal or telephonic interview is to be held. The rescheduled
interview date will be set within thirty (30) days of the original interview date and must be
conducted and completed within that time frame. If the representative fails to appear or
telephonically contact the t\lFO on the date and time that has been rescheduled by the
immigration officer, the representative will have forfeited his or her opportunity to discuss or
present information regarding those determined cases. The immigration officer will make a
decision on the case based upon the existing record.
The immigration officer assigned to conduct the personal interview may limit the discussion
of a particular case to a reasonable time period at his or her discretion. The immigration
officer may also limit the total time period allotted in a day for the scheduled personal or
telephonic interview.
In the discretion of the immigration officer assigned to conduct the personal interview, the
representative may also discuss another case assigned for personal interview to the same
officer, provided that the written defense and any additional evidence relevant to that other
case has been filed. The representative may not discuss any case for which no request for
a personal interview has been made, nor any case assigned to another immigration officer.
The immigration officer will prepare a report of the personal or telephonic interview,
summarizing the evidence and containing his or her findings and recommendation, and
present it to the Director of the NFO.
(h) Decisions to Carrier Defenses. All aspects of a timely defense (oral or written) and any
accompanying documentation shall be considered by a fines officer. The fines officer shall
determine whether the proposed fine should be imposed in full, terminated, or mitigated (in
cases where mitigation is permitted).
If the reviewing fines officer determines that imposition of the fine (in full or in part) is warranted,
the reviewing officer shall compose a formal order stating the facts of the case, the
arguments presented by the carrier representative, the reason(s) why the fine should be
imposed, and the monetary amount recommended for the imposition.
This
recommendation shall be endorsed by the reviewing officer and forwarded to the Director of
the NFO for approval or denial.
If the Director concurs with the fines officer's
recommendation, the Director shall endorse the formal order and order that the fine be
imposed. The formal order shall be sent along with a bill, Form G-261, along with
instructions to the carrier regarding the filing of an appeal to the Board of Immigration
Appeals [BIA].

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If the reviewing fines officer determines that imposition of the fine is not warranted, the
reviewing officer shall note the reason(s) for his or her recommendation and forward the
case to the Director of the NFO for approval or denial. If the Director concurs with the
officer's recommendation for termination, the Director shall approve the fines officer's
recommendation, the case will be canceled in the I\JFO System, and a notice shall be sent
to the carrier stating that the fine has been terminated. The reviewing fines officer's
recommendation, Director's concurrence, and a photocopy of the termination notice shall be
placed in the appropriate case file.
(i) Appeals to Board of Immigration Appeals (BIA). Within eighteen (18) days of issuance of a
formal order by mail, a carrier may appeal the NFO's decision to the Board of Immigration
Appeals [BIAl. by submitting Form EOIR-29, Notice of Appeal to the Board of Immigration
Appeals, along with the required filing fee, to the NFO. The NFO shall deposit the filing fee
into the Federal Reserve and forward the original file along with the appeal application to
the Office of Appellate Review.
U) Motions to Reopen / Motions to Reconsider. Within 90 days of the formal imposition of a
fine, a carrier may file a motion to reopen with the NFO. Within 30 days of the formal
imposition of a fine, a carrier may file a motion to reconsider with the NFO. Both types of
motions require a non- refundable filing fee. The Director of the NFO shall consider a
Motion to Reopen provided that additional evidence and/or information is presented which
was not available prior to the fine's imposition.
A motion to reconsider must state the reasons for reconsideration and be supported by any
pertinent precedent decisions to establish that the decision was based on an incorrect
application of law or Service policy. A motion to reconsider a decision on an application or
petition must, when filed, also establish that the decision was incorrect based on the
evidence of record at the time of the initial decision [See 8 CFR 103.5.].
A carrier may appeal the Director's decision to the BIA [See 8 CFR 3.1 (b).].

43.6 Processing Liquidated Damages at Ports-of-Entry.
Under Section 233 of the INA, liquidated damages is the sum a carrier agrees to pay for a
breach of the Immediate and Continuous Transit Agreement (Form 1-426) when it appears
that a transit-without-visa (TWOV) passenger failed to depart the United States or did not
depart the United States by the scheduled departure date. Liquidated damages under
Section 233 are always assessed against the carrier responsible for the passenger's arrival
in the United States.
In instances where it is known at the port-of-entry that a TWOV passenger has absconded, the
incident is to be reported to the NFO in the same manner as an administrative fine [See
Chapter 15.6 and Chapter 43.3(a)(5)(E).]. In most instances, however, the process by which
liquidated damages are initiated originates with the Service contractor and requires no
special action on the part of the inspector. The inspector's primary role in the liquidated
damages process is to ensure that all Forms 1-94T are properly completed and forwarded to

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the Service contractor.
Inspectors are reminded that a TWOV applicant must meet the requirements under 8 CFR
212.1 and 8 CFR 214.2 for admission as a TWOV passenger. If an alien passenger does
not meet the requirements of either of these sections, an administrative fine for a violation
of Section 273 of the INA is to be recommended to the t\lFO [See Chapter 43.3.]

43.7 Processing of Liquidated Damages by National Fines Office.
(a) Notice of Intent to Assess Liquidated Damages. Failure on the part of a carrier to submit a
Departure Record, Form 1-94T, showing departure within eight (8) hours of a TWOV's
arrival (or the next available flight), results in no electronic "match-up" (of arrival versus
departure information) in the Service contractor's database. When this occurs, the Service
contractor issues a Notice of Intent to Assess Liquidated Damages to the carrier
responsible for the alien passenger's arrival in the United States. This notice informs the
arrival carrier that liquidated damages in the amount of $500 will be assessed unless the
carrier is able to provide evidence to the NFO showing that the passenger in question
departed the United States in a timely manner. The carrier is given thirty (30) days to
provide this evidence.
A copy of the Notice of Intent to Assess Liquidated Damages is simultaneously forwarded by
the Service contractor to the NFO, where a case file is created.
(b) Decision to Impose Liquidated Damage Assessment. If a carrier served with a Notice
of Intent to Assess Liquidated Damages fails to respond to the notice within the 30-day
period provided, the NFO shall issue a Decision to Impose Liquidated Damage Assessment
informing the responsible carrier that an additional 30-day period is provided to submit
evidence of the passenger's timely departure from the United States. This notice informs
the responsible carrier that if the requested evidence is not received within this second
30-day period, the liquidated damages case will be imposed in full and there will be no
further periods provided for the submission of departure evidence. A copy of the Decision
to Impose Liquidated Damage Assessment shall be placed in the case file.
(c) Imposition of Uncontested Cases. If a carrier served with a Notice of Intent to Assess
Liquidated Damages and a Decision to Impose Liquidate Damage Assessment fails to
respond to either notice within the total provided time frame, the liquidated damages case
shall be assigned a fine number and imposed in full in the NFO System. The t\lFO shall
then issue to the responsible carrier a Final Decision notice and a bill, Form G-261. The
Final Decision notice in this instance shall inform the responsible carrier that the liquidated
damages case is imposed in full due to the fact that the carrier failed to respond to the two
previous notices. A copy of the Final Decision notice and bill shall be forwarded to the
appropriate Administrative Finance Center, and a copy the Final Decision notice and bill
shall be placed in the case file.
(d) Adjudication of Contested Cases. If a carrier served with a Notice of Intent to Assess
Liquidated Damages (or both a Notice of Intent to Assess Liquidated Damages and a

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Decision to Impose Liquidated Damage Assessment) submits a defense to the NFO within
the time frame(s) provided, the NFO shall consider the evidence submitted and determine
whether the case should be terminated or imposed.
(1) Insufficient Proof of Departure (Imposition). If the information provided by the carrier in
defense of a proposed liquidated damages assessment is reviewed by the NFO and
determined to be insufficient evidence of a passenger's timely departure from the United
States, the liquidated damages case shall be assigned a fine number in the NFO System
and imposed in full. The NFO shall then issue to the responsible carrier a Final Decision
notice and a bill, Form G-261. The Final Decision notice in this instance shall inform the
responsible carrier that the liquidated damages case is imposed in full due to the fact that
the evidence submitted by the carrier was insufficient to warrant termination of the case. A
copy of the Final Decision notice and bill shall be forwarded to the appropriate
Administrative Finance Center, and a copy the Final Decision notice and bill shall be placed
in the case file.
(2) Sufficient Proof of Departure (Termination). If the information provided by a carrier in
defense of a proposed liquidated damages assessment is reviewed by the NFO and
determined to be sufficient evidence of the passenger's timely departure from the United
States, the case shall be terminated in the NFO System. The NFO shall issue a notice of
termination to the carrier and place a copy of the termination notice in the case file.
(e) Creation of Administrative Fines Under Section 231 (b). If sufficient evidence of timely
departure for a passenger is provided by an arrival carrier in reference to a liquidated
damages case and the liquidated damages case is therefore terminated by the NFO, the
NFO shall then initiate an administrative fine against the departure carrier for failure to
provide to the Service a properly completed Departure Record, Form 1-941. [See Chapter
43.5.]

43.8 Civil Document Fraud Penalties.
On October 2, 1996, a federal district court in Seattle, Washington issued an injunction against
the Service in Walters v. Reno, the lawsuit challenging the Service's implementation of the
section 274C civil document fraud program. The injunction was effective immediately and
the Service is required to comply with the injunction.
Until further notice the Service is barred from:
issuing 274C Notices of Intent to Fine;
issuing 274C Final Orders;
deporting any person who is the subject of a section 274C final order if that person waived
or failed to request a hearing, even if the deportation is based on other grounds;

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initiating removal proceedings based on such a final order; and
attempting to rely on such a final order to oppose or deny any application for benefit.
It should be noted that this bar does not limit the Service's ability to rely on the facts of the
underlying fraud in opposing or denying the application or benefit. Any questions regarding
section 274C may be directed to the National Fines Office.

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Chapter 44. Conveyance Seizures (Added INS - TM2)
44.1
44.2
44.3
44.4
44.5
44.6
44.7
44.8
44.9
44.10
44.11
44.12
44.13
44.14
44.15

Background
Violations
Probable Cause
Seizure Justification
Procedure
Conveyance Appraisal
Custody and Storage
Notification
Personal Interview
Returns Prior to Forfeiture
Procedure for Return
Judicial Forfeiture
Administrative Forfeiture
Disposal
Disposal by the United States Marshals Service

References:
INA:
Regulations:

Section 274(b)
8 CFR 274.

Other: INS Conveyance Seizure Manual (AFO) M-397; M-397A, DOJ Policy; M-69, The Law of
Arrest, Search & Seizure; 28 CFR 9

44.1 Background.
On November 2, 1978, Congress provided the Immigration and Naturalization Service with the
authority to seize and forfeit conveyances used for the smuggling of aliens into or within the
United States. The intent of the law is to permit the seizure of a vehicle, vessel, or aircraft
in a situation where the owner is a consenting party or privy to the illegal act of smuggling
aliens. Immigration and Naturalization Service officers seize and forfeit more conveyances
than any other law enforcement agency.
(a) Authority to Seize Conveyances. Pursuant to 8 CFR 274.2, any Immigration Officer is
authorized to seize conveyances, provided the Officer has been delegated the authority by
the Commissioner. Service officers vested with seizure authority include, but are not limited
to:
Border Patrol Agents
Deportation Officers

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Immigration Examiners
Immigration Inspectors
Special Agents
(b) Conveyances Which Can Be Seized. Any conveyance, including any vessel, vehicle or
aircraft, which has been or is being used in the commission of a violation of Section 274(a)
of the INA is subject to seizure. A conveyance is simply a mobile object, such as a vehicle,
which can be used to transport a person from one location to another. A trailer is a vehicle
if it is being towed or is readily capable of being towed [8 CFR 274.1]. Seizure is not
mandatory. A conveyance need not be seized if a law enforcement purpose will not be
served. The decision to seize is discretionary. Seizures should only be made where the
primary emphasis is to deter smuggling or transporting illegal aliens.

44.2 Violations.
A violation of Section 274 of the INA is required before a conveyance can be seized and
forfeited. Section 274(a) of the Act describes five separate criminal offenses including
bringing to, bringing into, transporting within, harboring and encouraging entry of illegal
aliens, and any attempts to commit these violations:
Section 274(a)(1)(A) prohibits bringing a person known to be an alien to the United States at a
place other than a designated Port of Entry or place designated by the Commissioner.
Section 274(a)(1 )(B) prohibits transportation within the United States of an alien either
knowingly or in reckless disregard of the fact that the alien has illegally come to, entered, or
remains in the United States, where such transportation furthers the alien's illegally coming
to, entering, or remaining in the United States.
Section 274(a)(1)(C) bars concealing, harboring or shielding of an alien either knowingly or in
reckless disregard of the fact that the alien has illegally come to, entered, or remains in the
United States.
Section 274(a)(1)(D) proscribes encouraging or inducing an alien to come to, enter, or reside in
the United States either knowingly or in reckless disregard of the fact that such coming to,
entry, or residence is or will be unlawful.
Section 274(a)(2) makes it illegal to bring an alien to the United States either knowingly or in
reckless disregard of the fact that the alien has not received prior official authorization to
come to, enter, or reside in the United States.

44.3 Probable Cause.
(a) General. A conveyance subject to seizure pursuant to Section 274 of the INA may be
seized without warrant if there is probable cause to believe that the conveyance has been or
is being used in violation of the aforementioned section and circumstances exist where a

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warrant is not constitutionally required. For example, where the conveyance is mobile and
likely unavailable for later execution of a warrant. Generally, no warrant is required to seize
a conveyance for a violation occurring at a port-of-entry.
Probable cause has been defined as the knowledge or trustworthy information of facts and
circumstances which would lead a reasonably prudent person to believe that an offense has
been committed or is being committed. Probable cause is more than mere suspicion. In the
conveyance context, probable cause may be based on a number of factors.
(b) Sworn Statements from the Violators or Witnesses. Statements should be obtained from
violators, informants, witnesses and Service officers and these statements may be used to
support the probable cause for the violation. Sworn statements are preferable because
they have greater evidentiary value than unsworn statements or narrative reports. In taking
a statement, the seizing officer should attempt to obtain the following information:
•

The identities and immigration status of the violators with details regarding any false claims
presented;

•

The relationship between the individuals participating in the violation;

•

The stated destination and purpose of any attempted entry and the actual destination and
purpose;

•

The basis for the alien's inadmissibility or unlawful presence in the United States;

•

Any history of problems at entry, warnings of seizure provisions, refusals or referrals to
secondary inspection at ports-of-entry;

•

Information concerning smuggling arrangements and payments; and,

•

Knowledge of inadmissibility.

When the registered owner is not present at the time of the violation, the seizing officer should
determine the operator's relationship to the registered owner, as well as the operator's right
to use and control the conveyance. This information is useful in determining the beneficial
owner of the seized conveyance. The Individual who has actual use of the conveyance will
be considered to be beneficial owner. In most cases, the registered owner and the
beneficial owner will be one and the same individual. However, in some cases, the actual
user of the vehicle will not be the registered owner. When this occurs, the actual user of the
vehicle may be considered a beneficial owner.
(c) Physical Evidence. A seized conveyance may contain physical evidence to support the
probable cause for the violation. Physical evidence may include:
•

Photocopies of documents used to assert immunity;

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•

Evidence of documented false claims to citizenship or immigration status;

•

Evidence of illegal status;

•

Round trip airline tickets purchased in or originating in the United States;

•

Maps or directions to unguarded ports-of-entry;

•

Lists of information to be memorized to support a false claim; and/or,

•

Other physical evidence (coins, papers, phone numbers, photographs, etc.).

Physical evidence should be secured as evidence and photographs taken for inclusion in the
conveyance seizure file.
(d) Investigative Reports. Probable cause to seize a conveyance may be developed during the
course of any Service investigation, such as an employer sanctions investigation. It must
be stressed that all information surrounding the probable cause and seizure must be
reported in an investigative report.
Investigative reports may be in any of the following formats:
•

Memorandum of Investigation, G-166C;

•

Report of Investigation, 1-44;

•

Memorandum;

•

Prosecution Report; or,

•

Case Summary.

(e)

Information from Other Law Enforcement Agencies. Information provided by other
agencies may be used to establish probable cause. The information must have been
obtained as a result of a lawful investigation by an officer having the authority to conduct
the investigation.

(f) Record Checks. Record checks may be used to establish probable cause for the violation.
Official records of the Service or the Department of State showing that the alien had not
received prior official authorization to come to, enter, or reside in the United States or that
such alien had come to, entered, or remained in the United States in violation of law, may
be used to establish that the alien was illegal. [Section 274(b)(5)(B) of the INA]. In addition,
record checks from the various computer systems showing license information or
conveyance registration may prove to be valuable circumstantial evidence of unlawful

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residence in the United States. Record checks from foreign or domestic law enforcement
agencies may be used to prove criminal record which renders the alien inadmissible.

44.4 Seizure Justification.
The officer's report should articulate facts to support each element of the particular criminal
offense which forms the basis for the seizure. Each of the five separate criminal offenses of
Section 274(a) of the Act requires knowledge of either alienage or illegal status on the part
of someone other than the transported alien (conspiracy). The mere presence of an illegal
alien in a conveyance does not by itself provide the necessary probable cause for a seizure.
A commonly raised question is whether a conveyance can be forfeited under Section 274(a)
of the Act when it has been driven by an illegal alien who is the sole occupant of the
conveyance. It is generally recognized that an alien could not be prosecuted for smuggling
or transporting himself into the United States. Therefore, unless it can be established that
the conveyance is directly involved in a larger smuggling or transporting scheme, the
conveyance would not be subject to forfeiture. Consultations and authorizations prior to
seizure may be required depending upon established district procedures.
A key concept of seizure and forfeiture law is that the forfeiture of a conveyance is a civil action
rather than a criminal prosecution. The action is against the conveyance and not against
the persons who own or use the conveyance. It is not necessary to prosecute the owner
criminally to sustain a forfeiture. If the owner is criminally prosecuted a forfeiture of the
conveyance may occur, even if the prosecution results in a conviction, dismissal or even
acquittal.

44.5 Procedure.
The following procedural steps must be taken after the decision to seize a conveyance has
been made.
(a) Determination of Property Interests. The Service shall attempt with due diligence to identify
all ownership interests in the seized conveyance. [8 CFR 274.5(a)]. Department of Motor
Vehicle (DMV) records should be checked to identify the registered owner. This record
check should be completed within twenty-four (24) hours of the seizure. Record checks for
lienholders must also be expeditiously completed.
(b)

Check for Stolen Conveyances. The Seizing Officer must check records to determine
whether the conveyance has been reported as stolen. This check should be completed
within twenty-four (24) hours of the seizure. A conveyance which is unlawfully in the
possession of a person other than the owner at the time of the violation is statutorily exempt
from forfeiture. [Section 274(b)(1 )(8)].

(c) Inventory. The following procedures should be followed by Service employees at the time of
the seizure or as soon as possible thereafter. An inventory of the seized conveyance
should be conducted by one Service Officer and witnessed by another officer. As much

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personal property as possible must be removed from the conveyance and returned to the
owner at the time of the seizure. Generally, a list of all the property returned should be
made in order to document this action. If possible, the owner should sign a receipt for the
returned property. The owner's property may be given to the operator if there is no
indication that the conveyance is stolen. Whatever the owner (or operator) takes at the time
of seizure will not be subject to abandonment proceedings.
The owner (or the owner's agent) should be given a reasonable opportunity to make
arrangements for the removal of any remaining property. Generally, the owner should be
afforded seventy-two (72) hours to remove any remaining personal property. At the time of
the inventory, the owner may elect to voluntarily abandon to the Government all interest in
some or all of the personal property. A list of all personal property which the owner decides
to voluntarily abandon should be made and the owner should sign this inventory list thereby
granting consent to the voluntary abandonment of the listed personal property.
After the expiration of the seventy-two (72) hour period, most of the personal property should
have been returned to the owner or voluntarily abandoned. If any personal property
remains in Service custody, it should be listed on a separate inventory form and
abandonment proceedings should be initiated. The owner must be given written notice that
the remaining personal property is subject to abandonment proceedings (Refer to M- 397,
Chapter 11). If the owner or operator does not receive the Personal Property Notice in
person, the owner of the personal property must be sent the notice in the mail. The notice
should be sent to the owner's address of record. This notice must inform the owner that all
personal property not claimed within seven (7) days of receipt of the notice will be
considered voluntarily abandoned to the United States.
All closed containers must be opened and their contents inventoried as part of the inventory,
unless their content can be accurately ascertained by examination of the container.
At the time of the inventory, Service employees must be on the alert for evidence which would
identify the person who regularly uses the conveyance. For example, insurance cards,
gasoline credit card receipts and repair invoices may serve to identify the true user of the
seized conveyance. Any items of special value must be individually identified and described.
Expert appraisals of their value should be obtained, if necessary, by telephone. Every
reasonable effort shall be made to return perishable products to the owner or his/her agent.
Attach the warning sticker, Form 1-638 to the conveyance. Any damage or rust observed in or
on the conveyance should be listed on a damage report. Any obvious repairs should also
be listed on a damage report. Note whether basic equipment is missing and, if possible,
attach photographs to the report. List all special equipment in the conveyance including CB
radios, stereo cassettes, extra speakers, and handicap accessible features. The damage
report form should be included in the seizure file.
(d)

Documentation. The following documentation should be completed as soon as possible
after the seizure. Information on the seizure should be entered into appropriate computer
databases. A stolen conveyance check should be completed and a copy should be

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included in the seizure file. The seizure form should be completed. The case number
should be included on the form. Either the Record of Seized Vehicle, Vessel, or Aircraft,
Form 1-620 or the Consolidated Asset Tracking System (CATS) Seizure Form will be used.
All reports which set forth the probable cause for the violation should be completed.
Any relating reports including
Investigative reports may be in memorandum form.
prosecution forms, exclusion forms, Officer memos and sworn statements should be
included in the seizure file. The inventory forms, the damage report and the Personal
Property Notice should be completed and included in the seizure file. A registration check
should be completed and included in the seizure file. A copy of the notification letter must
be maintained in the seizure file.

44.6 Conveyance Appraisal.
(a) General. The term appraised value means the estimated price at the time and place of
seizure if such or similar property were freely offered for sale [8 CFR 274.1 (a), 28 CFR
9.2(a)]. The value of a seized conveyance must be supported by reference guides or the
estimates of experts.
The approved reference is the National Automobile Dealers
Association (NADA) guide for the geographic area in which the conveyance is seized. The
wholesale value (average trade-in value) is to be used. Additions or deductions will be
made to the value for optional equipment, high/low mileage and condition. If the value of
the conveyance is not included in the NADA guide, consult other reference guides or a local
dealership and obtain a telephonic appraisal. Usually, the value of the conveyance is not
relevant in the determination as to whether a conveyance is to be seized.
Generally, value declarations from the owner or operator, or comments concerning newly rebuilt
engines or new tires should be disregarded. HQAFO should be contacted for assistance in
obtaining reference guide values for unusual conveyances.
That office maintains
subscriptions to many reference guides.
(b) Appurtenances. A conveyance includes all tools, appurtenances and accessories provided
by the manufacturer. Consequently, not all tools, appurtenances and accessories of the
conveyance are forfeitable. An appurtenance is something that is annexed to another thing
which, generally, makes the thing more valuable. Whether an appurtenance is forfeitable
depends on a number of factors relating to whether the item is permanently attached to the
conveyance. Generally, if the item was installed after manufacture and was affixed with the
intent to remain permanently with the conveyance, the object will be subject to forfeiture.
Factors used to determine whether an object is permanently affixed are located in the Law
Outline (M-397A).

44.7 Custody and Storage.
The USMS must be notified of the seizure as soon as possible after the seizure. Arrangements
should then be made for the prompt transfer of custody to the US MS. The local USMS may
have specific requirements for paperwork to support the custody transfer. The USMS may
require some or all of the following:

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•

Seizure Form (1-620 or CATS)

•

Damage Report

•

Seized Property and Evidence Control (USMS-102)

•

Conveyance Registration; and

•

Photographs of the Conveyance

The conveyance should be transferred to the USMS as soon as possible after the seizure.
There may be exceptions for conveyance which present special problems. In certain
instances, the USMS will designate the Service as the substitute custodian in which case
the same duties and obligations imposed on the USMS as custodian will be transferred to
the Service.
Conveyances that remain in Service custody while awaiting transfer to the USMS should be
kept secure. Precautions should be taken to prevent the theft of stored conveyances,
vandalism or theft of property from the conveyances. Conveyances should also be
protected against owners returning to unlawfully retrieve their conveyances.
Seized
conveyances should not be operated by Service employees.
The USMS guidelines require the seizing agency to remove all property not subject to seizure
from the conveyance prior to the transfer of custody. Personal belongings must be
removed before releasing the conveyance to the USMS.

44.8 Notification.
(a) Notice Requirements. Individuals
must receive timely notice of their
with an ownership interest in the
following seizure. In most cases,
M-397, Chapter 14).

or entities having a property interest in the conveyance
rights and remedies. Official notification to any person
seized conveyance should begin as soon as possible
this should be done on the day of the seizure (Refer to

DOJ Policy states that notification letters shall be sent to all interested parties (including owners
and lienholders) known at the time of seizure not later than sixty (60) days from the date of
seizure. Refer to M-397A, DOJ Policy, Sixty-Day Notice Period in All Administrative
Forfeiture Cases.
The notification letter should be provided to the owner at the time of seizure if that person is
present. By regulation, 8 CFR 274.8, this notification letter must describe:
•

The procedure to obtain a personal interview pursuant to 8 CFR 274.5;

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•

The procedure to request judicial review of the seizure by filing a claim and posting a cost
bond pursuant to 8 CFR 274.10; and

•

The procedure for filing a petition for relief from forfeiture pursuant to 8 CFR 274.13-17.

In order to prepare the notification letter, the following information must be obtained:
•

The appraised value of the conveyance;

•

The case number from the automated system, and

•

The name of the newspaper in which the Advertisement of Seized Conveyance will be
published.

All notification letters to owners must be accompanied by copies of:
•

8 CFR Part 274, Seizure and Forfeiture of Conveyances;

•

8 CFR 103.7(c), Waiver of Fees;

•

28 CFR Part 9, Remission or Mitigation of Civil and Criminal Forfeitures;

•

Section 274 of the INA, Bringing In and Harboring Certain Aliens, and

•

The advertisement of seized conveyance.

(b) Related Notification Information. The amount of the cost bond is calculated based on ten
percent (10%) of the appraised value, with a minimum amount of $250 and a maximum
amount of $5,000. The advertisement must be published once a week for three (3)
successive weeks in a newspaper of general circulation in the federal judicial district in
which the seizure occurred. The advertising order and the notification letter should be
prepared to ensure that owners are afforded a twenty (20) day period from receipt of
notification in which to file a claim and cost bond.
If the notification letter is given to the owner at the time of seizure, the seizure file must so
indicate. The owner should sign for the receipt of the letter, but if the owner is unwilling to
sign, the seizure file should reflect the refusal. If the owner is not present, serve the
When someone else claims ownership of the
notification letter on the operator.
conveyance, serve him/her with the notification letter.
If there is reason to believe that any other individual is a beneficial owner, as defined in 28 CFR
9.2(c) and 8 CFR 274.1 (b), a notification letter should be provided to that person. If the
conveyance is registered in the name of a company, notification should be sent to the
company s address. Leasing companies (even companies are treated as lienholders and
must be sent to the notification letter for lienholders.

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If the owner is not present at the time of the seizure, or if a subsequent record check indicates
another owner, or if there appears to be anyone else with an ownership interest, send these
interested parties the notification letter by certified mail, return receipt requested.
Notification letters must be sent to any party with a property interest in the conveyance even if
he/she has been arrested and incarcerated. In that instance, notification should be sent to
the owner at the place of confinement aswell as the last known address.
Particular care must be taken to ensure that notification is sent to the proper address. If the
notice letter is returned as undeliverable or unclaimed, the returned letter should be kept in
the seizure file to serve as proof of attempted service.
(c) Lienholders. There is a specific notification letter for lienholders (Refer to M-397, Chapter
14). Lienholders must also be sent copies of the regulations, the statute and the proposed
advertisement. In addition, lienholders must be sent the Financial Statement (Refer to
M-397, Chapter 14, Document 4) to complete and return with their petition.
Leasing companies are also sent the lienholder notification letter. Leasing companies are those
businesses engaged in long-term contracts with lessees and the lessee has the actual use
of the conveyance.
(d)

Attorneys.
Attorneys should file a Notice of Entry of Appearance as Attorney or
Representative on Form G-28. Once the Notice of Entry of Appearance has been filed, the
attorney must be sent copies of all notification letters, copies of previous correspondence
from the client(s) and decision letters. The attorney is entitled to a copy of any sworn
statement executed by his/her client. No other investigative material should be released.
Attorneys may attend personal interviews with the clients but not in lieu of the clients.

(e) Publication of Notice of Seized Conveyance. Publication of notice of seizure and intent to
forfeit a conveyance is mandated when the appraised value of the seized conveyance is
$500,000 or less. The seizure of a conveyance whose appraised value is greater than
$500,000 need not be advertised by the Service.
Notice of the seizure and the potential forfeiture of the conveyance is provided to the general
public by publication in the legal classified section of a newspaper.
Please note that the Advertisement of Seized Conveyance must accompany the notification
letters to the owners and the lienholders. The requirements for this advertisement are set
forth in 8 CFR 274.9. The advertisement must include:
•

A description of the conveyance including vehicle identification number;

•

The time and place of seizure;

•

That the conveyance is subject to forfeiture;
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•

That there are two exceptions from forfeiture, set forth at 8 CFR 274.5(b);

•

That the Service is considering forfeiture and that the seized conveyance may be sold or
disposed of otherwise if declared forfeited; and

•

That any prospective petitioners for relief from forfeiture should submit petitions pursuant to
8 CFR 274.13 - 17 within thirty (30) days of the date of the first advertisement.

Although the regulations do not require that the Advertisement of Seized Conveyance inform
the reader of the availability of judicial review, the policy of the Service is to include
information on the filing of a claim and posting of a cost bond pursuant to 8 CFR 274.10.

44.9 Personal Interview.
The owner of a seized conveyance may request a personal interview in order to determine
whether the Service will continue with the forfeiture proceedings. Any person or entity who
appears to have an ownership interest in the conveyance should be provided notice of the
opportunity for an interview. Beneficial owners and registered owners may request an
interview. Note that lienholders (including companies who lease conveyances to customers
in accordance with a long-term lease and the lessee has the actual use of the conveyance)
are not generally afforded interviews. The Service may schedule personal interviews for
more than one person or entity having an interest in the conveyance. The owner is advised
of the opportunity for an interview in the notification letter. The interview should be held as
promptly as possible after the date of seizure.
The interview should be conducted by an immigration officer. This officer should not necessarily
be the seizing agent. The owner may request a personal interview with an immigration
officer other than the officer who initially seized the conveyance pursuant to 8 CFR 274.5.
Owners are entitled to representation by an attorney at the time of the interview. Attorneys
may not attend the interview in lieu of the owner, but may accompany their clients. The
owner may bring an interpreter to the interview.
If the person requesting an interview claims to be the owner of the conveyance even though
he/she is not the registered owner, an interview should be scheduled. The claimant should
produce proof of ownership interest in the conveyance at the interview.
The purpose of the interview is to provide the owner an opportunity to present evidence and
arguments to support his/her position that the conveyance is not subject to seizure or
forfeiture. The burden of proof is on the owner, not on the Service. There is no requirement
that the interviewing officer justify the seizure, present evidence to establish the violation, or
articulate the probable cause basis upon which the conveyance was seized. The owner is
not required to answer questions posed by the interviewing officer.
The evidence and arguments presented by the owner may be oral or written. At the discretion
of the interviewing officer, the interview itself may be held in person or via telephone. If an

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owner requesting a personal interview is inadmissible to the United States or the owner is
incarcerated, reasonable accommodations should be made to conduct the interview.
The interviewing officer should write a brief summary of the interview to be included in the
seizure file. A narrative of what was said and what, if any, evidence was presented should
be included in this report.
The interview also provides an opportunity to further investigate the persons or entities with a
property interest in the conveyance. Questions should be asked to determine beneficial
ownership interest and the identity of secured lienholders. Names and addresses should be
obtained. Photocopies of documents presented as proof of ownership, such as sales
receipts, canceled checks, and lien payment books, should be made at that time.
The following questions will assist the interviewing officer in the determination of beneficial
ownership:
•

Who are the regular users of the conveyance?

•

Do you need to obtain permission to use the conveyance?

•

How many people have a set of keys?

•

Who pays for the insurance?

•

In whose name is the insurance listed?

•

Are there any other names listed on the insurance plan?

•

Who pays for the routine maintenance on the conveyance?

•

Where is the conveyance primarily garaged?

If a decision is made not to return the conveyance to the owner based upon the interview, the
owner should be advised either orally or in writing of the decision. If the decision is oral, the
seizure file should be noted to reflect that decision.
In the event that a determination is made to return a conveyance pursuant to 8 CFR 274.5 and
the case is subject to judicial forfeiture proceedings, these steps should be taken:
•

Notify the United States Attorney that a determination has been made
conveyance is to be returned to the owner; and

•

Request that the judicial forfeiture proceedings be terminated if they have been
commenced.

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44.10 Returns Prior to Forfeiture.
(a) General. Circumstances may arise which will warrant returns of seized conveyances prior to
forfeiture, such as:
•

No conveyance used as a common carrier in the transaction of business as acommon
carrier may be forfeited unless the owner or person in charge of the conveyance was a
consenting party or privy to the illegal act.

•

A conveyance may not be forfeited where the acts giving rise to the seizure were committed
by a person unlawfully in possession of the conveyance in violation of the criminal laws of
the United States or any state.

The burden of proof is on the owner, not the Service, to establish lack of knowledge of the
unlawful use of the conveyance or in establishing that the conveyance is not subject to
either seizure or forfeiture pursuant to 8 CFR 274.5(b) or (c). (Refer to M-397, Chapter 6).
(b) Conveyance Was Used in An Act to Which the Owner Was Not Privy, or Did Not
Consent, and the Owner Took All Reasonable Steps to Prevent the Illegal Use of
the Conveyance, [8 CFR 274.5(c)(3)}. The so-called innocent owner return, is the most
frequently invoked and most frequently misinterpreted category of return. In order to
qualify, the owner must establish not just lack of knowledge and lack of consent, but also
that he/she took all reasonable steps to prevent the illegal use of the conveyance.
An owner who was not aware of the violation, but who took no affirmative steps to prevent the
illegal use of the conveyance, is not eligible for an innocent owner return. For example,
the following individuals would not qualify for an innocent owner return:
•

The owner was convicted of a crime related to the smuggling attempt and was involved in
the illegal use of the conveyance.

•

The owner was not convicted of a crime related to the smuggling
and involved in the illegal use of the conveyance.

•

The owner was not involved in the illegal use of the conveyance but was aware of it.

•

The owner was ignorant of the illegal use, but was negligent in lending his/her conveyance.

•

The owner was not negligent but failed to do all he/she reasonably could to avoid having the
conveyance put to an unlawful use.

attempt but was present

The assertion of lack of knowledge of the operators intent does not establish that the owner
took all reasonable steps to prevent the illegal use of the conveyance. Lack of knowledge of
the intending use of the conveyance, lack of criminal intent, or lack of awareness of the
alien s inadmissibility are all mitigating factors to the forfeiture action but are not sufficient
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arguments for an innocent owner return.
(c) Conveyances Returned in the Best Interests of Justice. The Service may decide that it is in
the best interests of justice not to pursue forfeiture and return a seized conveyance. This
category of return is generally reserved for unique circumstances. It should be noted that
this type of return may be made at any point in the proceedings. Evidence presented at the
interview may lead to a determination of eligibility for return pursuant to 8 CFR 274.5(d).

44.11 Procedure for Return.
If a decision has been made to return a conveyance pursuant to 8 CFR 274.5, the owner must
be informed of the conditions for return. The conveyance will be returned to the owner
contingent upon execution of a Hold Harmless Agreement and payment of all costs and
expenses of the seizure. (Refer to M-397, Chapter 14). Further, the owner must also be
informed that he/she must take possession of the conveyance within twenty (20) days of
receipt of written notice of availability for return and the consequences for failure to comply.
The exception to this rule is where a determination is made that the conveyance was not
subject to seizure, then pursuant to 8 CFR 274.5(e)(1), it is returned without any conditions.
If the owner fails to comply with the conditions of return and gain possession of the conveyance
within twenty (20) days of receipt of written notice of availability for return, then the
conveyance shall be considered voluntarily abandoned to the United States. In this case,
the disposal of the conveyance would be conducted in accordance with procedures for the
disposal of voluntarily abandoned property. [Refer to M-397, Chapter 11].

44.12 Judicial Forfeiture.
(a) Although only a small percentage of conveyance seizure cases are litigated in U.S. District
Courts, the seizing agent must be prepared for that possibility in every case. In addition to
preparing a complete investigative file, the seizing agent will be expected to:
•

Assist in the preparation of the civil forfeiture complaint;

•

Ensure that any requests for additional investigation are promptly addressed;

•

Locate witnesses for discovery and trial testimony; and

•

Be prepared for rigorous cross-examination with respect to documents and reports
contained in the case file.

(b)

Jurisdiction. There are two methods by which jurisdiction over a seizure case may be
transferred to a United States Attorney s Office (USAO) for judicial forfeiture proceedings.
(Refer to M-397, Chapter 7).

•

If the appraised value of the conveyance is greater than $500,000, the seizure case must

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be transmitted to the USAO in the federal judicial district having jurisdiction over the
forfeiture action.
•

If the appraised value of the seized conveyance does not exceed $500,000 and the owner
has filed a proper claim and cost bond (or has obtained a waiver of the cost bond
requirement) within the established time frame, the case is subject to judicial forfeiture
proceedings.

The procedures for requests and processing claims for judicial review may be found in Chapter
7 of M-397.
(c) Offer to Compromise. Not all cases in which judicial forfeiture proceedings are requested
will be transmitted to the USAO. Pursuant to Executive Order 12778 of October 23, 1991,
the Determining Official should attempt to resolve a seizure case administratively whenever
an evaluation of the merits of the case indicates an administrative settlement would be
appropriate. (Refer to M-397A, DOJ Policy, Executive Order 12778, Civil Justice Reform,
October 23, 1991). In addition, DOJ policy states that settlements should be pursued as a
way to conserve resources where the ends of justice will be served. (Refer to M-397A, DOJ
Policy, Policy Regarding Forfeiture by Settlement, October 31, 1991).
There are situations in which administrative relief from forfeiture may be appropriate when a
claim and cost bond have been filed. (Refer to M-397, Chapter 7).

44.13 Administrative Forfeiture.
(a)

General. A conveyance having an appraised value not exceeding $500,000 is
administratively forfeited when no claim and cost bond (as well as no request for a waiver of
the cost bond requirement) have been received within twenty (20) days of the first
publication of the advertisement.

Once the conveyance has been administratively forfeited, a Declaration of Forfeiture, Form
1-634, must be executed. (Refer to M-397, Chapter 14). This form is the title document
which transfers the ownership interest in the conveyance to the United States [8 CFR
274.4(c)]. Any property interest in a conveyance is automatically terminated as of the date
of the seizure, if the conveyance is later declared forfeited [8 CFR 274.4(b)].
In all cases in which a petition for relief from forfeiture has been filed, a Declaration of Forfeiture
must be executed prior to the determination made on the petition [8 CFR 274.15(b) and
274.16(c)].
(b)

Definitions. The Attorney General, or his/her designee, has the authority to remit or
mitigate a forfeiture. The procedure is initiated by a petition for remission or mitigation of
forfeiture.

Remission ameliorates the effects of the forfeiture for those individuals who lacked involvement

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in, and knowledge of, the conduct that resulted in the forfeiture and who took reasonable
steps to ensure that the conveyance would not be used contrary to law.

Mitigation takes the form of a money penalty imposed upon the petitioner in addition to any
other sums that would be chargeable as a condition of remission.
(c) Types of Petitioners. There are three (3) types of petitioners described as follows [Note:
that DOJ regulations also provide for general creditor petitions (28 CFR 9.6(a)]:

Owner. A person who has a right to possess and use a conveyance to the exclusion of other
persons;
Beneficial owner. A person with actual use of, as well as an interest in, the conveyance subject
to forfeiture;
Lienholder. A creditor whose claim or debt is secured by a specific right to obtain satisfaction
against the particular conveyance subject to forfeiture.
(d) Types of Petitions. There are three (3) types of petitions available to request relief from
forfeiture:
Petitions for remission of forfeiture. These petitions are seeking relief from forfeiture in the form
of a non-penalty return of the conveyance. They are commonly filed by lienholders and are
filed prior to the disposition of the conveyance;
Petitions for mitigation of forfeiture. These petitions are seeking relief in the form of a return of
the conveyance after payment of a penalty. They are commonly filed by owners and are
filed prior to the disposition of the conveyance.
Petitions for restoration of proceeds of sale if the forfeited conveyance has been sold; or
petitions for the restoration of the appraised value of forfeited conveyance where the
conveyance has been placed into official use or otherwise disposed. These petitions are
filed after the disposition of the conveyance. For a discussion of restoration of proceeds,
generally applicable to lienholders, refer to M-397, Chapter 9.
(e) Processing Petitions. Petitions for remission or mitigation should be received within thirty
(30) days of the date of first publication of advertisement. (8 CFR 274.14(a)). For the
definition for filing, refer to 8 CFR 274.1 (h). The Service must accept petitions up to the
time of the disposal of the conveyance. A petition for remission or mitigation of forfeiture
which arrives after the disposal may not be considered. Refer to M-397, Chapter 8, Pages
3 - 11, for granting of relief of forfeiture cases, denial and reconsideration requests of
denial.
(f) Release of Conveyance. Once a decision has been reached to grant relief from forfeiture,
the conveyance should be released as soon as possible after compliance with the terms of

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the release.
If the conveyance is in Service custody, a Report of Property Shipped (G-504) should be
executed to provide written documentation of the transfer of the conveyance. The
conveyance should only be released to the owner. If the owner wishes to name another
person as an agent to act on his/her behalf, the owner must provide written authorization.
If the conveyance is in the USMS custody, the petitioner should be provided with the name of
the contact person at the USMS to arrange for the release. The USMS will also have a
document for the transfer of the conveyance (Seized Property and Evidence Control,
USMS-102). Any arrangements to authorize someone other than the owner to pick up the
conveyance must be made with the USMS directly.

44.14 Disposal.
(a) Once the administrative processing of a case has been completed, the conveyance is ready
for disposal action. Disposal action should be initiated only upon completion of each of the
following steps:
•

All petitions must have been adjudicated;

•

Any claim and cost bond must have been withdrawn;

•

The advertisement must have been completed;

•

The thirty (30) day period following the first date of publication of the advertisement must
have passed; and

•

A Declaration of Forfeiture (1-634) must have been issued.

In addition, conveyances which have been declared forfeited to the United States by a court
order are available for disposal action.
(b)

(1) Official Use. Pursuant to 8 CFR 274(b)(4)(A) of the INA, a seized conveyance may be
retained by the Service for official use after the Declaration of Forfeiture (1-634) has been
issued. Any conveyance forfeited under an administrative proceeding or under a court
order may be considered for official use.
The Attorney General s Guidelines on Seized and Forfeited Property (Refer to M-397, Appendix
T) [See AM 4.1.203] set forth the procedures for requesting and approving forfeited
conveyances for official use. Official use means utilization of a forfeited conveyance by a
law enforcement agency in the direct performance of law enforcement activities. The
intended use of the conveyance must be specifically detailed in the request for fleet

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placement.
(2) Approval Process. The field office must forward a written request for a seized conveyance
for official use specifying the type of conveyance needed (sedan, four wheel drive truck, or
small boat). The request must detail the intended use for the conveyance and must identify
by fleet number the fleet conveyance being replaced. If a fleet conveyance is not being
replaced, justification must be given for an addition to the existing fleet. Further, a request
must detail how the conveyance will be used in the direct performance of law enforcement
activities. The USMS should be informed that the conveyance is under consideration for
official use.
Requests for official use will be forwarded to the ROAFO for review and subsequent forwarding
to HQAFO and HO Fleet Management. The seizing office will not necessarily be given first
priority. In fact, the opposite may be true so as to avoid any inference of impropriety relative
to the seizure action.
The conveyance is considered placed into official use as of the date a favorable decision
memorandum is issued by HQ Fleet Management.

44.15 Disposal by the United States Marshals Service.
(a) General. If the conveyance is not to be considered for official use, the USMS must be
informed that the conveyance is available for disposal action. At that time, the USMS must
be provided with a copy of the Declaration of Forfeiture, Form 1-634, and a copy of the
seizure form. Local USMS offices may require additional information.
Directions to proceed with disposal may be accomplished by transmittal of the Report of
Property Shipped, G-504. These forms should be accompanied by a memorandum setting
forth specific instructions as needed. The instructions to the USMS should:
•

State that the Service is not interested in the conveyance for official use;

•

State where the conveyance is located;

•

State whether a local law enforcement agency has submitted an Application for Transfer of
Federally Forfeited Property (DAG-71) requesting Equitable Sharing;

•

State whether there is a need to distribute the proceeds of any sale to a lienholder or owner;

•

If there are proceeds to be distributed, inform the USMS of the Service's costs (including
any penalty) and the recognized net equity of a lienholder;

•

State the name and address of the person to whom any proceeds will be distributed; and

•

State whether or not the conveyance has been altered so as to facilitate the smuggling of

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aliens or contraband.
The USMS generally disposes of the conveyance in the following order:
•

Placement of the conveyance into official use for the seizing agency. Before proceeding to
any other disposal action, the USMS should request a deliniation of official use from the
Service;

•

Transfer of the conveyance to a local law enforcement agency pursuant to an approved
Equitable Sharing request;

•

Placement of the conveyance into official use by the USMS;

•

Transfer of the conveyance to the federal agency which has requested the conveyance;

•

Sale at public auction; or

•

Depending on the appraised value of the conveyance, sale to a salvage yard, sale by
sealed bid or order for destruction.

(b) Prohibition Against Purchase at Auction. Department of Justice employees are generally
prohibited from purchasing property that has been forfeited to the United States and is
being sold by the DOJ or its agents. [28 CFR 45.735-18]. This policy is intended to ensure
that there is no actual or apparent use of inside information by employees wishing to
purchase such property. The purpose of this policy is to protect the integrity of the asset
forfeiture program. (Refer to M-397A, DOJ Policy, Forfeiture Policies, July 3, 1990).
(c) Personal Possessions/License Plates. Prior to the final disposition action, any remaining
personal possessions in the conveyance must be removed and disposed of in accordance
with abandonment proceedings. (Refer to M-397, Chapter 11). In addition, the conveyance
registration plates must be removed from the conveyance. The appropriate DMV should be
notified that the conveyance was forfeited pursuant to Section 274(b) of the INA and sold at
auction. Any original registration documents should be returned to the DMV.
(d)

Withdrawal from Disposal. If the Determining Official receives a petition for relief from
forfeiture after the conveyance has been forwarded to the USMS for disposal, but before
final disposition action has occurred, the petition must be accepted as timely filed. The
Service should notify the USMS (by telephone and in writing) that all disposal proceedings
must be halted until further notice.

While this is inconvenient to all involved, especially when the petition is received the day before
a scheduled auction, the regulations do not permit the Service to reject the petition prior to
final disposal action [8 CFR 274.14 and Chapter 8, Page 3 of M-397].
If after the adjudication of the petition, the conveyance is once again available for disposal, the

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USMS must be informed in writing that they may proceed with the disposal action.
(e) Distribution of Proceeds to Petitioner. The USMS must be advised of the procedures set
'274.16 relative to the distribution of proceeds to a
forth in 8 CFR 274.15 and
petitioner who has not complied with the terms of a grant of relief from forfeiture. The USMS
should be provided a courtesy copy of the letter granting relief from forfeiture. If a petitioner
fails to comply with the terms of the grant of relief, the conveyance may be put into official
use, sold or disposed of otherwise.
If the conveyance is put into official use, the appraised value of the conveyance minus the costs
of the seizure (including the penalty as an item of cost), forfeiture and disposal of the
conveyance must be remitted to the petitioner.
If the conveyance is sold at public auction, the proceeds of the sale must be applied first to the
costs of seizure (including the penalty as an item of cost), forfeiture and sale, and the
balance, if any, is remitted to the petitioner.
In the case of a lienholder who has not complied with the terms of remission, the same
procedure would apply except that the lienholder may not obtain an amount greater than
their recognized net equity in the conveyance.
The USMS is responsible for issuing the check to cover any proceeds owing to the petitioners.
If there are no proceeds available, a letter should be sent to the petitioner informing them of
that fact.
(f)

Case Closure. The USMS will generally forward closing documents to the Service office
when the conveyance is released to the claimant, placed into official use, or sold at auction.
The Seized Property and Evidence Control (USMS-102) is generally used for this purpose
[Refer to M-397, Appendix F]. Requests should be made on a regular basis to the local
USMS office for closing documents.

For judicial cases, local Service offices should ensure that case closure information is updated
on a quarterly basis, at a minimum. If the local USMS office has no information on the
judicial case information requested, this fact should be noted in the case file and entered
into the automated system.
(g) Equitable Sharing. A state or local law enforcement agency may request the transfer of a
forfeited conveyance which was seized pursuant to a joint investigation by the Service and a
state or local law enforcement agency. (Refer to M-397A, Service Policy, Revised Forms
DAG-71 and DAG-72, March 18, 1992). The state or local law enforcement agency should
complete the Application for Transfer of Federally Forfeited Property (DAG-71) in
accordance with the instructions contained on the form. (Refer to M-397, Appendix W).
The state or local law enforcement agency should request a Substitute Custodial
Agreement through the USMS. This will permit the state or local law enforcement agency to
store the conveyance at no cost to the Government until the transfer is approved.

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If a Substitute Custodial Agreement is not obtained, then the state or local law enforcement
agency may request the USMS to waive their costs.
In addition, the state or local law enforcement agency is held accountable for paying twenty
percent (20%) of the net proceeds for the federal share of the seized conveyance. Again,
the state or local law enforcement agency may request a waiver of the federal equitable
share.
If there is a lien on the requested seized conveyance, the state or local law enforcement agency
must state in its request that the lien will be satisfied prior to accepting transfer of the
conveyance. There are no waivers for the payment of liens. State or local law enforcement
agencies should also submit a request to the Service for a waiver of its administrative costs.
The following steps must be completed to process an Equitable Sharing request:
•

Complete the Decision Form for Federally Forfeited Property (DAG-72) in accordance with
the instructions contained on the form (M-397, Appendix S);

•

Submit a copy of the state or local investigative report (in addition to the Service
investigative report);

•

Submit a Declaration of Forfeiture or Judicial Court Order of Forfeiture, and a Report of
Expenses and Proceeds from Disposition of Seized Vehicles (G-746-C); and

•

Submit all of the required memorandums, forms and waivers to the ROAFO with a copy to
the USMS.

Chapter 45: Bonds
45.1 Posting, Cancellation and Breaching of Maintenance of Status Bonds.
(a) Authority. Section 214(a)(1) of the Act provides for the admission to the United States of any
alien as a nonimmigrant shall be for such time and under such conditions as may be prescribed
including, when necessary, the posting of a bond to insure that such alien will depart from the
United States in a timely manner without otherwise violating his or her status. This section
authorizes the Service to require a maintenance of status and departure bond with regard to
either an application for admission to the United States or an application for change of
nonimmigrant status. (While the statute is silent about the posting of a bond in connection with
an application for extension of stay, Service regulations at 8 CFR 214.1 (a)(3) authorize the
posting of a bond for this purpose, in addition to applications for admission and applications for
change of status.) [See also 8 CFR 221.]
(b) Policy. It is important to remember that the posting of a bond cannot serve to make an alien
who is inadmissible to the United States admissible; nor can it make an alien who is ineligible

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for a change of status eligible. A bond only serves to enhance an alien's ability to meet his or
her burden of proof regarding his or her intention to maintain nonimmigrant status and depart
as required by the terms of his or her admission (or change of status). On the other hand, you
should be cautious of anyone who is "too eager" to post a bond, since an alien who intends to
violate his or her status (e.g., by working in the U.S., or by committing an act of terrorism) may
consider the posting of (and loss of) the bond to be nothing more than "the cost of doing
business."
(c) Procedures. See 8 CFR 103.6(c)(2) and Chapter 12 of the Deportation Officer's Field
Manual for procedural information on the posting, breaching and cancellation of bonds.

Chapter 46: Fees (Added INS - TM2)
46.1
46.2

General
Cash Collection at Ports-of-Entry

References:
INA:
Regulations:

Section 286.
8 CFR 286.

46.1 General.
(a) General. In recent years, the Service has moved from receiving virtually all of its funding
from appropriated sources to a situation where revenues are received from a mix of
appropriated and several separate "fee accounts." There are two very visible results at
ports-of-entry which result from this change: an increase in resources available to
accomplish the mission of the Service and an increased frequency of receiving remittances
directly at the ports by Inspections personnel.
The accounts from which the Service now draws funding, besides appropriated moneys,
include: the Immigration User Fee Account, established by Section 286(d) of the INA; the
Examinations Fee Account, established by Section 286(m) of the INA; the Land Border
Inspections Fee Account, established by Section 286(q) of the INA; and the Breached
BondlDetention Fund, established by Section 286(r) of the INA.
(b) Sources of Revenue. Fees collected from each source must be separately maintained and
deposited in the proper account. The two accounts for which Inspections personnel are
most likely to receive funds are the User Fee Account and the Land Border Inspection Fee
Account and the Examinations Fee Account. All money received for various applications
and petitions, including visa waivers and NAFTA applications, is deposited into the
Examinations Fee Account. Money received for issuance of Forms 1-94, 1-444 and various

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PORTPASS programs is deposited into the Land Border Fee Account.
Although not collected directly by port-of-entry personnel, fees for arriving air passengers and
certain fines are deposited into the Immigration User Fee Account. The proceeds of bonds
which are breached are deposited into the Breached Bond Account.

46.2 Cash Collection at Ports-of-Entry. (Revised INOO-Ol)
Cash management procedures, although largely unchanged, are increasing in
importance as the volume of receipts continues to rise. Almost every port-of-entry
now receives fees for applications or services of various descriptions. Cash
management procedures described in AM 4.1.304 must be adhered to by all Service
employees and supervisors responsible for collecting and depositing fees. On
September 11, 1995, the Executive Associate Commissioner for Management
issued a memorandum, Land Border Port of Entry Fee Collection Procedures,
containing fee collection and cash management procedures. These procedures are
contained in Appendix 46-1. Larger ports may have dedicated personnel handling
receipts; smaller locations may have receipting handled by all employees engaged
in inspectional activities.

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Chapter 47: Statistical Reporting for Ports-of-Entry (Added INS - TM2)
47.1
47.2
47.3
47.4
47.5
47.6

General
Required Reports
Workforce Analysis Model (WAM)
Port OfficeManagement System (POMS)
Performance Analysis System (PAS)
Records of Inadmissible Passenger System (RIPS)

47.1 General.
Approximately 4,000 individuals participate in the facilitation and enforcement oriented activities
embodied in the Inspections mission. The work you do is important! And so is the accurate
and timely reporting of data pertaining to that work.
Workload statistics are important and are used for many purposes. For instance, when
Congress considers new legislation, the Service is often asked to provide information to
respond to questions concerning various aspects of the work we perform. Interest in land
border operations, both within and outside the Service, has increased greatly. The
country's continued attention on the war on drugs and the completion of the Free Trade
Agreements have brought much attention to the land borders. The Service's lack of
appropriated resources for land border operations has received more visibility in Congress.
The need to collect meaningful, detailed workload data on land border operations (i.e.
prosecutions and criminal aliens) complements the Service's efforts to secure additional
personnel for the land border. Numerous decisions, such as those relating to strategic
planning, involve knowledge of staffing levels. Budget decisions also hinge on workforce
information.
You can refer to the following sources for statistics on the Inspection Program as well as all
other Service Programs.
(1) INS Fact Book (M-338) - Summary of Recent Immigration Data. Published periodically
throughout the year. The fact book is a convenient pocket or purse size reference
containing key statistis on INS programs. In addition, the fact book contains INS region and
district boundary maps, the INS organization chart, employment and budget summaries by
program, INS headquarters, region, district, border patrol office locations and contact list,
INS detention facilities, asylum offices, a glossary, and a chronology of selected immigration
and naturalization legislation.
(2) Statistical Yearbook of the Immigration and Naturalization Service (M-367). The yearbook is
an annual compilation of workload data on all INS programs. The yearbook provides

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immigration data for the year along with related historical information. The major arear
covered include: immigrants admitted for permanent residence; refugees approved and
admitted; nonimmigrant arrivals; aliens naturalized; aliens apprehended and expelled; and
aliens inspected at ports-of-entry.
(3) NilS (Nonimmigrant Information System). NilS contains arrival, departure, and ancillary
information pertaining to certain nonimmigrant aliens entering the United States. It contains
data on the individual's status, identifies individuals who may have overstayed, and
provides statistical information to INS managers. NilS also provides for queries based on
biographical, classification, and citizenship data. Primarily, information for NilS is collected
from Forms 1-94, Arrival/Depature Records. NilS also interfaces with the Central Index
System (CIS), Student and Schools System (STSC), Computer-Linked Adjudications
Information Management System (CLAIMS), Naturalization Automated Casework System
(NACS), Interagency Border Inspection System (IBIS), National Automated Immigration
Lookout System II (NAILS), and the Federal Bureau of Investigation (FBI).
Further information on the INS Fact Book and Yearbook can be obtained by called
Headquarters Statistics at 202-376-3066.

47.2 Required Reports.
(a)

General. Regular and ad-hoc reports required by Inspections are listed below. Local
managers should keep a calendar to insure these reports are submitted as scheduled. The
following table contains a list of regular required Inspections Program reports. All other
reports, such as the former CINSP series of reports, have been cancelled.

Report

Frequency

Report Name

Symbol

1-577

Daily Airport Passenger Inspection Log

daily

G-105A

Prosecutions report

monthly (PAS)

G-623

Drug seizure report

monthly (PAS)

G-22/G-23

Inspections activity report

monthly (PAS)

TWQV/ln-Transit Report to HQINS

as necessary

Unusual incidents/planned operations

as necessary

(b) 1-577. The daily passenger inspection log is maintained at each airport. A similar log, the
1-577A is maintained at preclearance stations. A new log sheet is used daily and
maintained chronologically at the port-of-entry for one year [See details for completing the
log in Chapter 22.6.].
(c)

G-22.1 and G-22.1 F. The G-22/G-23 report system is the basic monthly activity report
which collects statistical data for every agency program activity.
General reporting
requirements are described in AM 3.1.101. The report is collected by each employee and

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rolled into work-site and district composites, which are in-turn rolled into regional and
national totals. The reports are entered locally into the Servicewide Performance Analysis
System (PAS), which compiles the national statistics each month for every Service program
area. The PAS system captures key workload data, as determined by Headquarters
program managers. The reports are a basis for field office performance evaluations,
resource allocations and a wide range of other analyses critical to the agency's misssion.
All reports monthly are due into the PAS system by the tenth working day of each month.
It is critical that data collection and entry into PAS be complete, timely and accurate. Detailed
instructions for completing the G-22.1 are included in Statistical Handbook, G-23 AM
Procedures. The G-22.1 F is the individual officer's activity report used to collect data for the
G-22.1.

The G-22.1 has eight sections: primary inspections operation report, secondary inspections
operation report, conveyance summary report, inspections enforcement activity report,
inspections processing activity report, inspections position status report, inspections activity
analysis report, and inspections activity report - hours.
The primary inspections operation report features automatic calculation of citizen and alien
counts and percentages, and specific categories for the Guam Visa Waiver and Visa
Waiver Programs, and the Immigration and Naturalization Service Passenger Accelerated
Service System (INSPASS) Program.
The secondary inspections operation report features information on the disposition of those
referred to secondary (e.g. paroled, referred, to the Immigration Judge etc.).
The conveyance summary report features specific categories for buses, trains, Dedicated
Commuter lane (DCl) vehicles, pedestrians, commercial flights - Accelerated Citizen
Examination (ACE) and Advance Passenger Information System (APIS), private flights,
in-transit lounge passengers, and passenger and cargo vessels.
The inspections enforcement activity report features activity relating to fraudulent
documentation, narcotics and alien smuggling, false claims to other citizenship, entries into
the lookout system, mitigated money realized from conveyance seizures, 1-213s (Records of
Deportable Alien), 1-221 s (Orders to Show Cause, Notices of Hearing), G-392 intelligence
reports completed, prosecutions, assaults on immigration officers, fines, U.S. Customs
Service secondary referrals, and criminal aliens.
The inspections processing activity report features workload data related to processing visas,
waivers, asylum applicants, and certain permits and applications related to Inspections
responsibilities.
The inspections position status report features workforce data.
The inspections activity analysis report features computed ratios and factors. Workload
categories such as primary inspections are compare with the number of personnel on duty

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to yield ratios and factors that can be used to analyze certain aspects of the Inspections
Program. This section makes use of data already reported, so there is no field office entry
required. The information portrayed could identify workload increase/decrease trends as
well as hint at developments at certain locations deserving further study and monitoring.
The inspections activity report - hours section features lines for reporting hours expended on
intelligence, fraudulent documents, lookout system, narcotics smuggling, alien smuggling,
inspections processing activity, administrative duties and reports, carrier liaison, details,
AUO, departure control, and statutory and non- statutory overtime.
(d) G-105A and G-623. These reports, on prosecutions and drug seizures, respectively, are
contained in PAS and described in the Statistical Handbook G-23 AM Procedures.
(e) TWOV/ln-Tranist Report to HQINS. Ports-of-entry are required to send, via facsimile, a
report to HQINS within five days of a TWOV/ln-Transit applicant's failure to depart (except
those failing to depart timely). This information is necessary to identify areas of concern in
the TWOV and In-Transit programs at various ports-of-entry. The required information and
format for the report is included in Appendix 47-1. In-Transit applicants refer to those
passengers not presented for inspection, who use the sterile in-transit lounges to continue
their direct travel out of the United States. Reports are also required for in-transit
deportees who are enroute to a third country, destined to the country of their nationality, but
fail to depart.
The report is sent to HQINS, TWOV lisison officer at (202) 514-8345. Send only a copy of the
report to HQINS; do not send supporting documentation, which is maintained at the
port-of-entry for one year after the incident. Report any changes to the abscondees status
(exclusion, apprehension, parole, etc.) using the same report. If there are trends or unusual
aspects involved in an incident, those should be reported in the "comments" section of the
report.
(f) Unusual incidents/Planned Operations. See Chapter 2.7 and Appendix 2-1.

47.3 Workforce Analysis Model (WAM).
The WAM data entry program is a menu-driven database application. WAM prompts
users for data describing the user's facility and day-to-day operations. The data
entry program collects and organizes information from air, land and sea POEs, and
combination air/sea and land/sea operations. Data is entered in the WAM data
entry program through worksheets using input obtained from historical records of
workforce demands occurring at each POE during specific analysis periods. Data
already input into POMS through the Trak programs can be imported into the WAM
data entry module. To account for seasonal variances, data is collected for low-,
medium-, and high-demand weeks. Data for an entire month is collected for sea
ports-of-entry.
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Inspector's Field Manual
The primary purpose of the WAM is to simulate the operations of individual POEs in
order to analyze manpower utilization at Air, Land, and Sea POES. WAM provides
for: evaluation of scheduled staff versus workload, estimated inspector overtime
usage (based on actual rates), analysis of facility utilization based on current or
predicted resources, evaluation of inspection methodology (operating procedures)
and evaluation of new or revised airport terminal/inspection facilities.
Data
submission required on an annual basis for modeling to develop accurate estimates
of Immigration Inspector staffing requirements based on current and projected
workload, and current POE operating procedures. This information is used for
annual budget requests for staffing. A WAM projected data set must be submitted
for new POEs, POEs being remodeled or updated with changes to number of
booths/lanes, POEs anticipating an increase in volume of traffic or passengers or
requesting and increase in staffing. The WAM model run must be submitted to Field
Operations to be included with the request for personnel.
Data submitted and verified on an annual basis includes but is not limited to current
mailing and physical address, phone and fax numbers, staff authorized, schedules,
facility configuration including number of booths/lanes, secondary positions, walk
times from gates to FIS, queuing area, current local processing times in primary and
secondary. This information must be reviewed and approved by the port director or
acting port director prior to being submitted. Headquarters personnel and the
contractor for the WAM project review the data received to validate and on a regular
basis validate data submitted during visits to POEs. (IN99-25)

47.4 Port Office Management System (POMS).
The Port-of-Entry (POE) Office Management System (POMS) is an integrated computer
program designed to manage and track resources at INS POEs. It is comprised of
a set of administrative modules. Each module is created with a series of database
files. Each POMS module contains a subset of data entry screens or worksheets.
POMS Flight Trak, Land Trak, and Sea Track functionality allows inspectors to track the
In primary inspections, it allows
primary and secondary workload factors.
inspectors to enter the total number of people and conveyances inspected at their
respective land, air, or seaports. In secondary inspections processing, it allows
inspectors to register totals of people processed under various dispositions and
other secondary activities. For example, a port will count the total number of person
referred from primary inspections to secondary inspections. Additionally, a port will
count the number of persons, for example, who are processed under secondary
inspection categories such as Paroled, Credible Fear, or Deferred Inspections to
name a few.
POMS includes a management tool for tracking and reporting for the G22. The G22
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Inspector's Field Manual
provides statistical data on POE activities. POMS furnishes menu-driven screens for
the input of POE activity data on a daily or monthly basis. Individual inspectors also
input the number of hours they spend on each activity into POMS. Data that has
been input into Flight Trak, Land Trak, and Sea Trak can also be imported into the
G22 module. This data is used by POMS to generate the G22.1 Resource Activity
Summary Report, which is required monthly at each POE.
POMS includes a staff scheduling and overtime tracking system. The Scheduling and
Leave module allows authorized
POE officials to create a POE schedule
automatically for bi-weekly or monthly periods, overtime schedules for Sundays, and
swap employees' schedules. Included in the scheduling management process is the
ability to draw information on overtime, Alternate Work Schedules (AWS) , schedule
rotations, holidays, etc. Using POMS scheduling, employees can transfer from
POEs or work at terminals or subports, and still be tracked as to the shift and hours
assigned to a shift.
The Overtime and Budget menu allows the user to select among three options:
Overtime, Wheel Management, and Administration. Overtime and Budget is an
important tool that aids the user in maintaining the required annual overtime cap of
$30,000. This tool tracks each overtime bill (G-202) entered for each overtime
assignment against the overtime wheel, the overtime cap and the overtime budget
for the POE.
The WAM data entry program is a menu-driven database application comprised of
many database files. WAM prompts users at the various POEs for data describing
the user's facility and day-to-day operations. The data entry program collects and
organizes information from air, land and sea POEs, and combination air/sea and
land/sea operations. Data are entered in the WAM data entry program through
worksheets using input obtained from historical records of workforce demands
occurring at each POE during specific analysis periods.
Data already input into
POMS through the Trak programs can be imported into the WAM data entry
module, so there is no duplicate data input within POMS. To account for seasonal
variances, data is collected for low-, medium-, and high-demand weeks. Data for an
entire month is collected for sea ports-of-entry. This data is submitted to HQ once a
year where it is fed into the workforce analysis models, a separate series of
simulation programs, to determine POE staffing requirements. (IN99-25)

47.5 Performance Analysis System (PAS).
The G-22.1 utilizes computerization to assist in data compilation and calculation with over 50
line and column entries automatically completed by the Performance Analysis System
(PAS).

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Inspector's Field Manual
The Performance Analysis System is an on-line data entry and retrieval system of workload
information on the Service's various programs, including Enforcement, Examinations, and
Management. The Performance Analysis System automatically manipulates data in
seconds, that in the past would take hours of manual effort.
You can access workload information on your office and any other office, district, region, or for
the entire Service through PAS. A PAS on-line tutorial is available to assist you in gaining
access to this information.

47.6 Records of Inadmissible Passenger System (RIPS).
The RIPS database is maintained by HQ Inspections. [reserved]

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Inspector's Field Manual

Chapter 48:0vertime Policy and Audits (Added INS - TM2)
48.1
48.2

Overtime Policy
Overtime Audits

References:
INA:

Sections 283, 286.

Regulations: None
Other:

Overtime Auditing Manual; AM 1.3.104.

48.1 Overtime Policy.
The Immigration and Naturalization Service policy is that overtime should be expended for the
efficient inspection of persons presenting themselves for inspection and the
accomplishment of the Service mission. This policy provides direction for the control of 1931
and 1945 Act overtime. A complete explanation of overtime is found in AM 1.3.104 titled,
"Immigration Inspection Extra Compensations" and AM 1.3.106 titled, "General Overtime."
•

For scheduling purposes, Saturday is part of the basic work week. Therefore, regular
scheduling should encompass Monday through Saturday, including holidays.

•

Scheduling should reflect the timing of the inspectional workload, particularly at air and
seaports. Each port-of-entry shall review traffic arrival trends to ensure that scheduling is
commensurate. It is the Service's goal to inspect the majority of the arriving traffic by
inspectors on regular duty time with minimal use of overtime.

•

The inspector to passenger ratios used for overtime assignments shall be the same as
those used during the regularly scheduled work week. See Appendix 48-1, Part III, Policy,
Paragraph 3..

•

All overtime earnings are subject to the statutory overtime cap. It is the responsibility of
each Officer and their first line supervisor to ensure that all overtime earnings are reported
in a timely manner to the Overtime Control Officer. Administratively Uncontrollable
Overtime (AUO), Law Enforcement Availability (LEA), Fair Labor Standards Act (FLSA),
1931 Act overtime, and 1945 Act overtime shall be included in all overtime computations.

•

Employees who are eligible to work Inspectional overtime and do not wish to do so shall be
identified.
However these identified employees shall remain available for overtime
assignments if a staffing emergency occurs.

•

Overtime assignments should be equally distributed and tracked on a monetary basis.

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Inspector's Field Manual
•

No one above the grade of GS-14 shall participate in inspectional overtime. Port Director's
at the GS-13 and 14 level shall only work 1931 Act overtime on an irregular basis and on
random shifts. Time spent in 1931 Act activity shall only be spent in first line supervision of
immigration inspectors engaged in inspecting applicants for entry into the United States.

•

Each supervisory immigration inspector and all Service manager's will have a critical
element in their Performance Work Plan which requires the responsible and efficient
administration of overtime.

•

Time spent traveling to or from an overtime assignment, regardless of the distance or time
involved, is not to be compensated as hours worked. The statutory minimum payment of
two hours of 45 Act overtime, and the two hour rollback provision for 31 Act overtime,
whenever an employee is called out to work on an overtime basis, will compensate the
employee for travel to the temporary duty site.

•

A Form G-202 "Inspection Overtime Order, Report and Certification," shall be completed for
each overtime assignment completed. Supervisors should review the G-202's daily and the
district and regional Inspections Program managers should review them biweekly.

•

Each district should use 30% or less of its overtime on discretionary overtime. Discretionary
overtime, also known as non-statutory overtime, is weekday overtime excluding holidays.
Discretionary overtime includes weekday 1931 Act and 1945 Act overtime.
Non-discretionary or statutory overtime is the 1931 Act overtime worked on Sunday and
holidays. Weekday overtime is considered discretionary because each manager has the
ability to control its use.

•

Officers-in-charge and supervisory immigration inspectors shall maintain strict control of
overtime assignments and expenditures. Such officers shall conduct a continuing in depth
review of all work schedules, staffing patterns, primary inspection activity reports, duty
assignment sheets, secondary inspections logs, and schedules of arriving vessels and
aircraft. Information obtained from such a review shall be used to ascertain where and
when changes in scheduling and overtime assignments will result in more efficient and
economical operations. These review efforts shall be regularly monitored at the district and
regional levels.

•

District and regional offices shall review biweekly all duty assignment sheets (G- 259a).
Such a review shall ensure that Sunday and holiday assignments, for both primary and
secondary, are held to a minimum. Such assignments shall be commensurate with actual
workloads, established inspector to passenger ratios, and normal as well as seasonal traffic
patterns. Primary and secondary staffing on all overtime assignments, including Sundays
and holidays, shall not exceed weekday staffing, including supervisors, without valid
justification and advance approval. Sunday and holiday staffing that exceeds weekday
staffing for comparable passenger loads must be specifically authorized by the Regional
Director.

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Inspector's Field Manual
•

Supervisors from other programs (such as Adjudications, Border Patrol, Detention and
Deportation, Investigations) who participate in inspectional overtime duties shall do so as
journeyman Immigration Inspectors, not as Supervisory Immigration Inspectors.

48.2 Overtime Audits.
The Inspections Overtime Auditing Manual sets forth the guidelines and procedures on
conducting overtime audits. [See Appendix 48-1]
Audits will be conducted of ports-of-entry (POEs) in each district annually by designated District
Overtime Control Officers as part of the National Inspections Program overtime
management and control program. The National Overtime Control Officer will conduct
independent audits of POEs and also review the reports prepared by the District Overtime
Control Officers.
These audits will assist the Service in management of overtime
expenditures in the Inspections Program.
The purpose of the audits is to ensure that overtime funds are used appropriately and in
accordance with Headquarters directives and guidance. The intent is to document the cost
effectiveness and prudent administration of overtime expenditures. The audit teams will
provide documentation showing how field units are complying with current policy and
provide suggestions for improvement.
The audits will help the districts document their performance in this critical area and will provide
Regional and Headquarters program personnel the opportunity to evaluate the Districts'
performance and make suggestions as appropriate.
The Office of Inspections will conduct four audits each year. The selection of ports-of- entry for
auditing will be based upon the following factors:
•

Audit requested by a district.

•

Any number of employees who project to reach or exceed the statutory overtime cap.

•

Review of reports OT-736, OT-739, EMP-763, and HQINS-33.

•

Usage of Non-statutory Overtime (discretionary Overtime) in excess of 30%.

•

Increase in overtime expenditures of 10% over comparable period in previous years.

•

Complaints from carriers concerning amounts of overtime being billed, audits by other
agencies.

•

Regional and Headquarters review of workload and scheduling that indicates a possible
imbalance.

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Inspector's Field Manual
•

Previous audits which show a pattern of scheduling and overtime use that has not been in
compliance with Headquarters policy. Review would be done to evaluate effectiveness of
changes instituted.

•

High usage of overtime by GS-13/14 Managers.

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(b) (2)

Appendix 1-1

SUBJECT
SUBJECT

Where to file
Where

(b) (2)

Matrix of Field Manual Contents

REGULATION

FIELD MANUAL

FORM

ADMINISTRATIVE

INSTRUCTION

MANUAL

none

Indicate in §103

Explain that the

Advise, by

that the form

office receiving an

geographic area,

instruction will tell

application or

where to mail or

you where to file.

petition should

submit in person

No reference in

generally

each type of

other regulations.

adjudicate it, even

application or

if misfiled. Discuss

petition.

determining when
to accept and
adjudicate and
when to forward a
case to another
office.

(b) (2)

Adjudicative
Adjudicative

Indicate in §103

Provide policy

jurisdiction
jurisdiction

that general

guidance which

jurisdictional

order of
order

jurisdictional

allows

boundaries of

none

List specific

(b) (2)

(b) (2)

field
processing

boundaries are

adjudication of

offices, by
county,

cases

established in

out-of-jurisdiction

where
needed.

specific regulations

filings. Describe

for each

the criteria for

application type.

deciding whether

to adjudicate or
transfer a case.
Establish
standard expedite
criteria and
procedures.
Filing fees

In §103.7: Publish

Discuss

Indicate that

Describe fee

fees, set criteria for

deliberative

prescribed fee must

handling
procedures

fee waiver, specify

process and

be remitted.

and types of

form types where

evidence for fee

Publish a separate

rem itta nces.

fee waiver can be

waiver

fee table for

considered and

adjudication.

distribution.

where they are

Reference list of

precluded.

fees on the form,
not the actual fee.

(b) (2)

General filing

Define "initial

Describe "common

Plain language

requirements

filing

sense" use of

listing of required

requirements" in

other available

initial evidence.

§103, explain

sources such as

Explain when

none

(b) (2)

(b) (2)

binding nature of

prior service and

secondary evidence

signature in lieu of

other agency

or affidavits may be

oath. Explain

records, in

used. DO NOT

primary and

situations where

include

secondary

certain initial

documentary

evidence and

evidence is lacking.

requireements for

affidavits. Explain

Discuss need for

"exceptional" cases;

submission of

complete

refer back to the

translations or

translations and

regulation.

photocopies vs

need for original

original

documents.

documents. In the

Discuss data entry

specific regulation

requirements for

for each form type,

CLAIMS,

describe specific

reference Records

documentary

Handbook for CIS

requirements in

requirements.

detail, specify
exceptional cases
and special filing
requirements for
unusual case types.
"Special" filing

Define in detail in

Describe each

Refer filer to

requirements

the appropriate

exception and

regulation or

specific regulatory

filing requirement

separate

section.

for unusual or

publication, if

"special handling"

applicable.

cases. Describe

none

(b) (2)

(b) (2)

national
agreements with
professional
organizations such
as sports leagues
or unions.
Receipt date

fee,
Set out the feel

Describe

signature, and

mechanics of

initial eVidence

noting receipt date

requirement in

on petition or

§103. Distinguish

application.

receipt date from

Explain service

priority date. No

policy of

reference on form

chronological

instruction or in

processing and

specific regulations.

special handling

none

none

none

none

exceptions
Priority date

Define current

Discuss old case

system in specific

"grandfathered"

regulatIon (IV
regulation

priority date

petition only).

assignments.
Describe any
policy guidance or
clarifications
which may

(b) (2)

surface.

(b) (2)

(b) (2)
Requests

Discuss general

Discuss

for

policy for

alternatives to

eVidence
evidence

obtaining

formal requests:

additional

phone calls, use of

evidence in §
103.
§103.

other service

none

none

none

none

records and files,
available
publications, etc.
Explain policy of
minimization of
requests for
evidence and the
need to insure that
all initial evidence
eVidence
is requested the

first time.

(b) (2)

Decision

Discuss

Discuss

requirements for

preparation and

service, appeal

disposition of

rights, notice of

formal decisions.
format

intent, in §103.

Explain CLAIMS

Discuss petition

actions. Explain

validity and events

policy

which effect

considerations in

validity, either in

adjudicating,

103, where there is

reference relevant

general

precedents by

applicability or in

topic. Discuss

the specific section

documentary

where there is

review, caution for

applicability only

altered and

to a particular

counterfeit

case type.

documents,
requests for
original documents
in questionable
cases. Explain
procedures for
altering petition
validity. Explain
procedures for
serving decisions.
Explain
procedures for
handling
abandoned cases.

Appeals

AAOjBIA

Describe ROP,

appellate authority

processing appeal

in specific section.

by field and AAO,

AAO appellate

CLAIMS updates,

requirements in

reconsideration in

§l03. General

lieu of forwarding.

statement about
appealable
non-BIA cases to
AAO.

none

none

Certifications

Describe legal

Describe process

and Motions

requirements in

and deliberative

§ 103. Reference

considerations.

none

none

Requirements for

§ 103 in specific
regulatory sections
where applicable.
Availability of

Define in §103.

Explain use and

none

decisions;

Refer to specific

maintenance of

public information

binding nature

policy materials

public reading

areas.

of precedents

and their binding

rooms. Describe

and other

nature on Service

various

policy materials

employees.

non-regulatory
policy issuances
(including the field
manual itself) and
their binding
nature on
employees.
Distinguish from
non-binding
advisory letters
and general
correspondence.

Representation

Reference in §§ 103

Explain

and 292

procedures for
recognizing G-28,

none

none

dealing with
attorneys. Policy
for attorney copies
of decisions and
requests for
evidence.

FOIAjPA

References in §103

Explain
procedures for
handling within
program areas.
Explain handling
of third party
requests.

Fingerprint

Outside entity

Explain

Separate public use

and

requirements in

monitoring of

flyers on ADIT

photograpy

§103, general

outside entities.

specifications and

requirements

reference to follow

Outline specific

designated entity

form instructions

requirements for

prog ra m. Cross

relative to

collection and

reference on

submission.

quality control of

specific forms

none

prints.
Interviews

Provide authority

Explain when

Indicate interview

in §103 to conduct

interviews are

may be reqUired, if

or waive for any

useful and when

applicable.

type of application

they are not.

none

or petition.

Detail the process
for scheduling,
techniques for
interviewing,
taking sworn
statements, and
videotaping.
Describe specific
policies such as
Stokes.

Documentary

List specific

Describe

none

requirements

requirements for

procedures for the

entry by class.

for inspection;

each category of

conduct of air,

Listing of

inspection

applicant in

land, and seaport

jurisdictiona I

procedures

specific section,

inspection.

boundaries of field

such as §§ 211 or

Describe

offices by state or

214. Describe

procedures for

county.

requirements for

handling arrival

carriers presenting

and departure

passengers for

manifests.

inspection

Procedures for

(manifests, etc.).

deferred

Provide for

inspection. Table

deferred

of deferral

inspection,

addresses and

exclusion,

restrictions for

detention, etc.

each office.

Listing of ports of

Physical

Specify

Describe

and mental

requirements in

procedures for

examination

§234.

handling cases,

of

referrals to

passengers

USPHS.

Transportation

Describe

Describe

agreements

requirements for

procedure for

carriers seeking

handling requests.

each type of

Maintain listing of

agreement in §§ 217,

carriers in

238, etc. Indicate

Appendix.

none

none

none

none

none

Firearms policy,

that a current
listing of
contracted carriers
is available upon
request.
Conduct and

Authority of

Procedure for

authority;

officers contained

exercising

deadly force policy.

organizational

in INA 287 and

authority

County-specific

structure

delegations to

explained in

jurisdictional tables.

specific classes of

manual.

officers contained

Standards of

in §§ 103 and 287 of

conduct, courtesy,

the regulations.

and

Geographic

professionalism

jurisdictional

discussed.

boundaries are

Program mission

contained in §103.

and customer

General agency

service standards

organization

explained. Proper

structure and

use of chain of

delegations are

command,

also described in

reporting incidents

§103.

and other
procedural
matters.
Discussion of
various job
categories within
each program

Bonds, fines

General

Policies and

none

seizures, etc.

requirements and

procedures for

funds

authority for

processing and

various bonds,

managing bonds,

fines, and damages

criteria for

contained in §§103,

assessing and

271 and other

mitigating finest

specific sections.

managing vehicle
seizures.

Management of

Appendix 2-1

District/ Sector Activity Report

1. Who is conducting the activity?
A. DistricUSector~~~~~~~~~~~~~~~~~~~~~~~~~~~~
B. Office/Station ~~~~~~~~~~~~~~~~~~~~~~~~~~~~
C. Number of INS officers involved

~~~~~~~~~~~~~~~~~~~~~-

D. Other Federal Agencies Involved ~~~~~~~~~~~~~~~~~~~~~_
E. Officer in charge of activity (name, title, and phone)

~~~~~~~~~~~~~~~_

2. When will activity occur? From_/_/_ to _/_/_
3. Where will the activity occur (what cities and states)? ~~~~~~~~~~~~~~~~_
4. Who are the targets of the activity? (Give names and locations)
A. Industry(s) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
B. Agriculture ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
C. Other~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~_
5. Who will provide press information (name, title, and phone)?

7. Briefly describe reasons for action (i.e. citizen complaints. other agency information, etc.).

8. Briefly describe operational plan.

9. Briefly describe expected results including estimated number of arrests.

10. Additional comments.

--------------------------------

Appendix 2-3:

CBP National Uniform Program
CHAPTER 3
UNIFORM CLASSES AND APPLICATIONS

A.

UNIFORM FUNDAMENTALS
1.

WHERE SHOULD THE UNIFORM BE WORN?

The CBP uniform will be worn by CBP employees stationed throughout the United States, Puerto Rico, the U.S. Virgin Islands, at pre-clearance locations outside
the United States, and at the Customs and Border Protection Academy. Uniformed CBP employees are authorized to wear the official CBP uniform while engaged
in the discharge of official CBP business on a regular time and overtime basis (as applicable) and while traveling directly to and from the workplace. Additionally,
CBP employees may also be authorized to wear the official uniform by the Commissioner, Deputy Commissioner, Assistant Commissioner, Office of Field
Operations, or Principal Field Officer (Director, Field Operations or Port Director) for other official or CBP-related functions such as award ceremonies, funerals,
outreach functions, etc.
2.

WHO SHOULD WEAR A UNIFORM?

The Bureau determines who is required and authorized to wear a uniform. Generally, employees who are visible to the general public during a major part of their
workday should wear a uniform. Chapter 4 of this handbook indicates the exact job series and position titles currently authorized to receive uniform allowances
and wear uniforms in the National Uniform Program.
3.

WHO SHOULD NOT WEAR A UNIFORM?

Employees whose general public contacts are incidental to their job and whose work can safely and effectively
be performed without the immediate visual recognition provided by a uniform should not wear a uniform.
Managers who spend the majority of their time devoted to management functions that are administrative in
nature should not wear a uniform. Port Directors above a GS-13 level are not authorized to wear a uniform or
receive a uniform allowance. Exceptions to this section will only be authorized on a case-by-case basis by the
Assistant Commissioner, OFO, based upon written justification which must be submitted and approved through
the appropriate chain of command. Factors considered in granting exceptions to this policy include the
remoteness of the location, the nature and type of work performed (Le. operational vs. administrative), and the
type and level of staffing.

Persons who are not employed by CBP must not wear any part of the official CBP uniform or be dressed in a
manner that attempts to duplicate the appearance of the CBP uniform. The Assistant Commissioner, Office of
Public Affairs, with the concurrence of the responsible office can approve the limited use of the CBP uniform
requested by outside sources, e.g., movie productions, television requests, etc. The request and approval will be
documented in writing and the terms of use will be specified. The written authority will be provided to the COTR
who will direct the uniform contractor accordingly. Uniformed employees are not authorized to wear an official
CBP uniform in an off-duty status without authorization from the Principal Field Officer as specified in Section 1
above.
B.

PERSONAL APPEARANCE STANDARDS

A single CBP Personal Appearance Standard is under development. Until such a time as the development of this policy is complete and CBP has met its bargaining
obligations. the legacy bureau personal appearance policies and standards in place prior to the creation of CBP, in addition to those outlined below, remain in effect. These
policies and standards can be found in the following agreements and handbooks:
The 1997 National Agreement between U.S. Customs and NTEU: Article 25, Part 1, Section 1; Part 2, Section 7.A; and Section 9.A-D.
The U.S. Customs National Uniform Program Handbook (CIS HB 5200-01A): Chapter 3, Section B (1-6).
The U.S. Customs National Ceremonial Honor Guard Policy (CIS HB 5200-16): Section 4A (1-3).
The 2000 National Agreement between INS and NINSC: Article 25, Sections F (1-4), H, J and K.
The 1986 National Agreement between USDA APHIS/PPQ and NAAE: Article XVIII, Section 1-4.

c.

GENERAL INFORMATION/REQUIREMENTS
1.

Insignia/Awards/Pins- The CBP badge, nameplate, shoulder patches, and authorized rank insignia must be worn by uniformed employees while on duty and must
remain unencumbered at all times. CBP patches must be worn on both uniform sleeves. Additional items, which may optionally be worn on the uniform are the K-9
pin and award pins which are listed below in order of significance and include the following:

Commissioners Valor Award
Commissioners Integrity Award
Commissioners Humanitarian Award
Commissioners Exceptional Service Award
Commissioners Blue Eagle Award
Commissioners Unit Citation
Marksman Citation

Picture(s) will be provided at
a later date.

Figure 3-1 Award Citation Bars
Each Commissioner level award is issued with a citation bar. Uniformed employees can optionally wear these citation bars on the Class 1 Ike coat and Class 2
and Class 3 uniform shirts. The citation bars displayed in figure 3-1 above are authorized to be worn centered 'I." above the nameplate, above the right breast
pocket in the prioritized order displayed in this handbook. They should be pinned individually in top to bottom succession directly on the Class 1 Ike coat, and
Class 2 and 3 shirts. Employees, who have received multiple awards in a single category, are only authorized to wear one citation bar for that particular award on
their uniform.

Picture(s) will be provided at a later date.

Figure 3-2 Authorized CBP
Canine Enforcement Employee Insignia

CBP Officers with a canine designation are authorized the wear the "K-9" pin depicted in figure 3-2 above. This pin is worn centered above the right breast pocket
above the nameplate and award citation bars on the Class 1, 2 and 3 uniforms as appropriate.
Additionally, Union Officials may wear a pin or identification tag (designed and paid for by the Union and subject to CBP review and approval). These pins are only
authorized for display centered above the nameplate on the right breast of the uniform shirt between the nameplate and award citation bars.
No other badges, patches, pins, other devices or insignias (e.g. OHS lapel pins, Contraband Enforcement Team (CET) badges or patches, fraternal pins, political
pins, longevity pins, etc.) are authorized to be worn on any other uniform article, including the badge, at any time.

2.
3,

Badges· CBP badges are not provided under the National Uniform Program. CBP badges are issued to employees
through the Badge Officer at the Customs and Border Protection Academy in Glynco, Georgia.
Longevity Stars· Brass Longevity stars indicate 5-year increments of total uniformed Government Service with CBP or a combination of CBP and U.S. Customs,
Immigration and Naturalization Service, or Agriculture Quarantine Inspection Service. Years of prior military service and years of non-uniformed service in other
non-CBP or legacy CBP agencies are not considered when determining the number of longevity stars authorized for display on the Class 11ke jacket.
Longevity Brass Stars are required to be displayed centered 1" above the black trim on the left sleeve of the Class 11ke jacket.

Picture(s) will be provided at a later date.

Figure 3-3 Longevity Brass Stars
(4 Stars = 20 Years of Uniformed Government Service)
4.

T·Shirts as an Undergarment - For CBP employees wearing a Class 2 or 3 uniform, there is no t-shirt requirement. However, if worn, undershirts must be v-neck in
style and must not be visible when wearing Class 1,2 or 3 uniforms. Employees wearing the Class 4 BOU uniform must wear only the dark blue enforcement style
t-shirt provided by the vendor.

5.

Waivers/Exceptions· Uniformed employees are required/authorized to wear only uniform items provided by the uniform contractor. Waivers to this policy must be

granted and approved by the appropriate PFO. Skirts and dress pumps will be made available to female officers for medical and/or religious purposes.

6.

Nameplate Requirements - The official CBP nameplate is a Reeves model 96-51 nameplate that is gold-framed
with white gothic block letters on a black background, as indicated in figure 3-4. All uniformed employees are
required to wear a nameplate indicating their legal last name centered %" above their right breast pocket (or vicinity
if no pocket exists) on uniform shirts, sweaters, and outwear items. Shirts and sweaters have nameplate grommets
to facilitate the proper placement of nameplates on these uniform items.
Exceptions from this policy may be granted on a case-by-case basis, and bargaining unit employees may be authorized to wear an Agency-issued nameplate with
an Agency-authorized pseudonym if certain criteria are met as outlined in the OFO Interim Guidance on nameplate implementation policy memorandum dated July
26, 2000, and Final Guidance by memorandum dated March g, 2001.
A copy of these memorandums and associated attachments are contained in Appendix (TBD) of this handbook.

Picture{s) will be provided at a later date.

Figure 3-4 Authorized Nameplate

D.

7.

Other Accessories - Other items that may be worn on the official uniform include ~ncy issued electronic pagers & keys, glove cases, radio holders, cell phones,
baton/O.C. spray holders, radiation pagers. Multi-tools, buck knives, and flashlights are authorized for wear if they are black in color or contained in a case that is
black in color that can be properly affixed to the official CBP duty belt. These items may be carried in cases that are of nylon, web, leather, or laminate
construction and must be plain black in color. These items are not authorized to be clipped or affixed to shoulder epaulettes on uniform shirts, knit wear, or
outerwear.

8.

Hemming Requirements - Trousers can be hemmed by the uniform contractor. However, uniformed employees may order and receive trousers un-hemmed and
have them hemmed locally at their own expense. Trousers should be hemmed so the front portion of the trouser cuff touches the top portion of the shoe when the
employee is in the standing position. The rear portion of the trouser cuff, optimally, should extend to the top edge of the shoe sole (It should never extend beyond
the bottom edge of the rear portion of the shoe sole).

OUTERWEAR

1.

Authorized Versions - In order to be considered serviceable, outerwear garments must be clean, neat, and free
from visible repairs and other highly visible blemishes. With the exception of the dress trench coat and insulated
vest, all outerwear garments, including the leather jacket, must have a CBP shoulder emblem on each sleeve. The
official CBP shoulder emblem is depicted in figure 3-5. Previous edition outerwear that contains permanent legacy
Bureau identifiers (i.e. silk screened printing, embroidered badge patches, special buttons, etc.) is obsolete and can
not be worn with the official CBP uniform. Employees will be allowed to exchange legacy bureau patches for CBP
shoulder emblems on serviceable outerwear that does not contain any of the permanent legacy bureau identifiers
referenced above, and can continue wearing these garments in a duty status once the patch exchange has been
completed.

Figure 3-5
Authorized CBP Shoulder Emblem

E.

2.

Badge and Nameplate Requirements on Outerwear· When outerwear is worn, uniformed employees are required to wear their issued badge (if an embroidered
CBP badge does not eXist) and a nameplate on their outermost garment. The nameplate is required to display the employee's legal last name and must be affixed
to the outermost garment (shirt, sweater, jacket, etc.) centered above the right breast pocket or vicinity if no pocket exists. (Refer to photos in this handbook and
the official uniform program guide for examples of proper nameplate placement on outerwear items.)

3.

Restriction on Wearing Outerwear in Class 2 Environments - Outerwear is not authorized for wear indoors in Class 2 uniform environments. The Ceremonial Ike
Coat can be worn indoors in all Class 1 and Class 2 applications as specified in section 3.F.1.C and 3.F.2.C of this chapter. In cases where exigent circumstances
occur in Class 2 environments (i.e. severe weather causing power outages, damage to the FIS or other inspection facilities, malfunctioning physical plants, etc.),
outerwear may be authorized indoors. In these cases, upon request from employees, local management may grant limited non-recurring exceptions from this
requirement until the situation is rectified.

FOOTWEA~HEADGEAR
1.

2.

Footwear Requirements - Uniformed employees are authorized to wear only footwear that is provided by the uniform contractor. Specific footwear restrictions are
specified in Section 3.F.1.C and 3.FA.C of this chapter. Exceptions to this policy are set forth in section E(2) below. Footwear must be plain toe style, black in
color, clean, well shined and in good repair.

Footwear Exceptions - In cases where the uniform contractor is unable to fit the employee's footwear/shoe needs,
the employee is permitted to purchase with his/her own funds, black plain toe military-type footwear. While prior
supervisory approval is not required, it is suggested that employees first discuss this issue with their supervisor to
ensure that the privately purchased footwear is in accordance with this provision. Management may deny an
employee the ability to wear privately obtained footwear that after review does not meet this "black, plain toe,
military style standard". As a general rule, privately purchased footwear should be "confusingly similar" to that which
is offered by the uniform vendor. Shoes with unsafe or unstable structure, or with excessively high heels, are not

authorized.
3.

Headgear Requirements - Except as noted below, headgear is only authorized for wear while employees are
outdoors. The Class 1 dark blue felt campaign hat, leather hat band, and CBP hat insignia is required to be worn
with the Class 1 uniform and may be worn with the Class 2 uniform. Only ball caps with "CBP" embroidered on the
front panel and "U.S. Customs & Border Protection" on the back panel, as depicted in figure 3-6, are authorized for
wear. The felt and straw campaign hats (with leather hat band and CBP hat insignia) and ball cap are authorized to
be worn with the Class 2, 3, 4, 5 and 7 uniforms. The knit cap and fur mouton may be worn in inclement/cold
weather conditions.
Employees engaged in "transitional" duties in the Class 3 or 4 work environments, i.e. required as part of their duties to enter and exit a building with great
frequency, may. for brief periods of time, wear authorized headgear indoors - if so doing promotes the efficiency and effectiveness of the agency.

Hats may be required only when working out of doors or where headgear is required for safety purposes. CBP
Honor Guard personnel engaged in official Honor Guard activity are authorized to wear headgear indoors in the
official discharge of their duties. Additionally, headgear required for safety purposes (e.g., hardhats) are also
authorized to be worn indoors as necessary and appropriate.
4.

Authorized Hat Insignia· Only the official CBP hat insignia provided by the uniform contractor is authorized. This insignia is required to be worn on the felt and straw
campaign hats and the fur mouton.

Pictures will be provided at a later date.

I

Pictures will be provided at a later
date.

Figure 3-6
Authorized CBP Ball Cap

5.

Figure 3-7
Authorized CBP Hat Insignia

Official Tie Tack· Whenever a tie is worn with a long-sleeve Class 2 shirt, uniformed employees are required to wear the official gold CBP tie tack as depicted in
Figure 3-8. All previous edition tie bars are obsolete and not authorized to be worn with the CBP uniform. No other accessory is authorized on the tie.

Pictures will be provided at a later date.

Figure 3-8 Authorized CBP Tie Tack

F.

CLASSES OF UNIFORMS
There are multiple classes of uniforms ranging from the Class 1 dress uniform to the Class 7 maternity uniform. This section will specify what uniform items are

required/authorized in each Class and specify which work environments these uniforms are required/authorized.
The Commissioner, Assistant Commissioner OFO, or Principal Field Officer, i.e. DFO, or Port Director may designate a uniform of the day in support/preparation for special
events, functions, or visits by dignitaries. With the exception of periods when the PFO determines there is a need for a uniform of the day, employees must adhere to the
wear polices outlined below:

1.

CLASS 1 DRESS UNIFORM
A.

OFFICE OF FIELD OPERATIONS/OFFICE OF TRAINING AND DEVELOPMENT

All full-time CBP Officers and Agriculture Specialists are required to maintain a complete Class 1 dress uniform. The Class 1 dress uniform is
required/authorized to be worn by full-time CBP Officers and Agriculture Specialists in the following situations/applications:
Required for Graduation from Basic and advanced training.
Required for Formal CBP Awards Ceremonies and Recognition events.
Required when the PFO declares the Class 1 uniform as the uniform of the day.
Authorized to be worn with the approval of the Commissioner, Assistant Commissioner OFO, Director, Field Operations, Port Director, or Director
OFO Training.
Authorized to be worn when an individual employee personally petitions to the Assistant Commissioner, OFO or Assistant Commissioner OTD, and
petition is granted.
Authorized and strongly encouraged to be worn at NTEU, NINSC and other fallen employee vigils, memorial services, and other honorary
occasions.
NOTE: Part-time Inspectors who attend basic Inspector training at the CBP Academy, or part-time Inspectors who are required to wear a Class 1 dress
uniform upon direction from CBP will receive a Class 1 dress uniform at CBP expense.
B.

CLASS 1 REQUIRED/AUTHORIZED ITEMS - The following items are required/authorized with the Class 1 dress uniform:

CBP Employees as described in Section 3.F.1 (A) above are authorized/required to maintain and wear:
Class 1 Ike Coat

Dress Trousers w/ Black Stripe

Long Sleeve Class 2 Shirt

Black Tie

Tie Tack

Dark Blue Felt Campaign Hat

CBP Hat Insignia

Leather Hat Band

White Dress Gloves

Large Rank Insignia Pin

Rank Shoulder Boards

Nameplate

Leather/Clarino Low Quarter Shoes

Brass Longevity Stars

Leather Belt (Plain, Overlap, or Velcro)

Black Socks

White Sole Black Socks

Trench coat

c.

GUIDANCE ON PROPER WEAR (CLASS 1)

Employees are required to wear large rank insignia on the shoulder epaulettes of the Class 1 Ike jacket. These devices should be placed at the end of
the jacket epaulette so they are perpendicular to the leading edge of the Ike jacket epaulettes. Diagram in figure 3-9 shows the proper placement of the
large rank insignia on the Ike Jacket epaulettes.

Pictures will be provided at a later date.

Figure 3-9
Proper placement of Large Rank Insignia on Class 1 Ike Jacket
Additionally, rank shoulder boards are required to be worn on the Class 2 shirt. Shirts should be properly tucked in, and the top shirt collar button must
be buttoned. Long sleeve shirts will be buttoned at the cuff; rolling or turning up long sleeves is not authorized. A tie and tie tack are required when
wearing the Class 1 uniform. The tie tack should be positioned between the 4th and 5th shirt button (counting from the top button) and should be
centered on the tie.
CBP Employees are considered out of uniform when they are not properly wearing the Ike Jacket with this uniform. The Ike jacket must be fully buttoned
to be in a complete and proper Class 1 uniform. While wearing the Ike jacket, when properly buttoned, the tie tack should not be visible. Employees
must wear the plain, dress, or velcro overlap belts with this uniform. A nameplate is required to be worn centered ';." above the right breast pocket of the
Class 1 Ike Jacket and Class 2 long sleeve shirt.
CBP employees must wear either leather or clarino low-quarter black shoes. Employees must wear black socks with this uniform, but they may also
substitute white sole black socks for plain black socks if they so desire. CBP employees are required to wear only the dark blue felt campaign hat,
leather hat band, and CBP hat insignia with this uniform. Only the dress trench coat is authorized for wear over the Class 1 Uniform outside during
inclement weather.
A service-issued weapon and leather gear may be worn with the Class 1 dress uniform. Flashlights, knives, multi-tools, and other non-essential gear are
not authorized when employees are wearing the Class 1 dress uniform.
The felt campaign hat and white gloves are required to be worn indoors for the duration of an actual recognition ceremony, photo-opportunity,
graduation exercise, etc. after these events are complete, employees may remove their hat and gloves when indoors during receptions, luncheons, and
other events that routinely follow these types ceremonies.
A dress skirt and dress pumps will be made available for wear by female officers for religious and/or medical purposes. These articles are available as
special order items from the uniform vendor. Female officers must wear hosiery (i.e. panty hose) that matches the natural skin tone of the wearer.
Hosiery is not offered as part of the CBP uniform program.
Figures 3-10 through 3-13 on the next page depict examples of a properly worn Class 1 dress uniform.

Pictures will be provided at a later date.

Pictures will be provided at a later date.

Figure 3-10
Male CBP Employee in Class 1

Figure 3-11
Female CBP Officer in Class 1

2.

Pictures will be provided at a later date.

Pictures will be provided at a later date.

Figure 3-12
Class 1
(With Dress Overcoat)

Figure 3-13
Class 1
(With Service Issued Weapon)

CLASS 2 UNIFORM
A.

OFFICE OF FIELD OPERATIONS/OFFICE OF TRAINING AND DEVELOPMENT

CBP Officers and Agriculture Specialists are required/authorized to wear the Class 2 uniform in the
following areas:
Required for climate-controlled Air Passenger Processing facilities.
Required for climate-controlled Sea Passenger Processing facilities when employees are assigned for a full 8-hour shift processing arriving sea
passengers.
Required when the PFO declares the Class 2 uniform as the uniform of the day.
Authorized for all Class 3 and Class 4 environments at the employees personal discretion.
B.

CLASS 2 AUTHORIZED/REQUIRED ITEMS: - The following items are required/authorized with the Class 2 uniform:
CBP Employees as described in Section 3.F.2(A) above are required/authorized to maintain and wear:
Class 1 Ike Jacket (Optional)

Dress Trousers w/black stripe

Long Sleeve Class 2 Shirt

Short Sleeve Class 2 Shirt

Black Tie

Tie Tack

Turtleneck

Mock Turtleneck

Felt Campaign Hat

Straw Campaign Hat

CBP Hat Insignia

Leather Belt (Plain, Overlap, or Velcro)

Lightweight Knit Sweater

Heavyweight Wool Sweater

Rank Shoulder Boards

Nameplate

Leather/Clarino Footwear

Black/White Sole Black Socks

Ball Cap

Knit Cap

C.

GUIDANCE ON PROPER WEAR (CLASS 2):

The Class 2 uniform can be worn in several variations depending on the sleeve length selected by the officer. When wearing a short sleeve shirt,
employees are not authorized to wear a tie, tie tack, turtleneck, or mock turtleneck. However, when wearing a long sleeve Class 2 shirt, employees must
wear either a tie and tie tack, or the turtleneck/mock turtleneck. Shirts should be properly tucked in and only the top button of long- and short-sleeved
shirts is authorized to be unbuttoned in applications where a tie is not worn. Long sleeve shirts will be buttoned at the cuff; rolling or turning up long
sleeves is not authorized. Unless the PFO designates a uniform of the day, the decision of whether to wear a long or short sleeve shirt will be
determined by the individual employee. When a tie is worn, the top collar button must be buttoned, and the tie should reach the belt buckle. The tie tack
should be positioned between the 4th and 5th shirt button (counting from the top button) and should be centered on the tie.
Employees are required to wear rank shoulder boards (as applicable) and a nameplate centered 1/4" above the right breast pocket (or vicinity if no
pocket exists) with this uniform. Employees may wear the lightweight or heavyweight wool or sweater with either the long or short sleeve version of this
uniform. Employees must wear the plain, dress, or velcro overlap belts with this uniform. CBP employees may wear any footwear option provided by the
uniform contractor with the exception of the boat shoes. Employees may substitute white sole black socks for plain black socks. CBP employees may
wear the felt or straw campaign hat, ball cap, knit cap, and fur mouton with this uniform when outdoors as appropriate for existing weather/climate
conditions.
The Class 1 Ike dress jacket may be worn as an option with the Class 2 uniform if employees are wearing a long-sleeved shirt and tie. When worn, the
Ike Jacket must be completely buttoned, and officers must wear large insignia pins on the Ike Jacket. When a Class 1 Ike dress coat or sweater is worn
with a Class 2 uniform, the CBP badge and nameplate must migrate outward to the outermost garment and must remain unencumbered at all times. The
nameplate must be worn centered Yo" above the right breast pocket or vicinity (if no pocket exists).
Depending upon the environment within which they are assigned, officers may be required to wear their service-issued weapon, magazines, cuff case,
OC spray, extendable baton, and gun belt with the Class 2 uniform. The Firearms Handbook provides more specific information on when weapons and
duty gear are required to be worn. Figures 3-14 through 3-19 below are examples of authorized and properly worn Class 2 uniforms.

Picture(s) will be provided at a
later date

I

Figure 3-14
Female Class 2
Short Sleeve Version

Picture(s) will be provided at a
later date

Figure 3-15
Male Class 2
Long Sleeve Version
(With Tie & Tie Tack)

I

Figure 3-16
Male Class 2
Long Sleeve Version

Picture(s) will be
provided at a

Picture(s) will be provided at a
later date

Picture(s) will be provided at a
later date

Figure 3-17
Female Class 2
Short Sleeve with Turtleneck

I

Picture(s) will be
provided at a later

later date

I

date
Figure 3-19
Male Class 2
Uniform
(With Lightweight
Pullover Sweater)

Figure 3-18
Female Class 2
Uniform
(With Class 1 Ike
Jacket)

3.

CLASS 3 UNIFORM:
A.

OFFICE OF FIELD OPERATIONS/OFFICE OF TRAINING AND DEVELOPMENT
The Class 3 Uniform is authorized for all CBP employees (including supervisory personnel) in air and seaport cargo environments and land border
passenger and cargo environments.

Authorized for Firearms and Defensive Tactics Qualification.
This uniform is required when the PFO declares the Class 3 uniform as the uniform of the day.
B.

CLASS 3 UNIFORM ITEMS:
CBP employees as described in Section 3-A above are required/authorized to maintain and wear:
Long Sleeve Class 3 Shirt

Short Sleeve Class 3 Shirt

Plain Trousers

Cargo Pants

Nameplate

Turtleneck (Optional w/Long Sleeve shirt)

Ball Cap

Mock Turtleneck (Optional w/Long Sleeve shirt

Straw Campaign Hat

Hat Insignia

Lightweight Knit Sweater

Heavyweight Wool Sweater

Rank Shoulder Boards

Leather Belt (Plain, Overlap, or Velcro)

Leather/Clarino Footwear

Black Socks

White Sole Black Socks

Cargo Shorts

C. GUIDANCE ON PROPER WEAR (CLASS 3):
The Class 3 uniform can be worn in several variations depending on the sleeve length selected by the officer. A tie is not authorized for wear with this class
of uniform. When employees are wearing a long sleeve Class 3 shirt in a Class 3 environment, as defined in 3-A above. employees have the option of
wearing a turtleneck/mock turtleneck. Shirts should be properly tucked in, and only the top button of long- and short-sleeved shirts is authorized to be

unbuttoned. Long sleeve shirts will be buttoned at the cuff; rolling or turning up long sleeves is not authorized. Unless the PFO designates a uniform of the
day, the decision of whether to wear a long or short sleeve shirt will be determined by the individual employee. Employees are required to wear rank
shoulder boards (as applicable) and a nameplate centered 1/4" above the right breast pocket (or vicinity if no pocket exists) with this uniform. Rank
shoulder boards and the nameplate are required on the outermost garment when an outer garment or sweater is worn (as appropriate).
In cases where an employee has an approved waiver on file to wear a Class 3 uniform in a Class 2 environment, due to an allergic or other medical
condition, employees are required to wear either a tie and tie tack or a turtleneck/mock-turtleneck and may only wear Class 3 Plain Trousers. Appendix
(TBD) of this handbook contains information on the process to obtain a waiver from wearing the Class 2 uniform based on a medical or allergy condition.
Employees may wear the lightweight or heavyweight wool sweater with either the long or short sleeve version of this uniform. Additionally, in Class 3
uniform environments, outerwear may be worn indoors. Employees must wear the plain, dress, or velcro overlap belts with this uniform. CBP employees
may wear any footwear option provided by the uniform contractor except boat shoes with this uniform. Employees may substitute white sole black socks for
plain black socks. Employees may wear stray campaign hat, straw campaign hat, ball cap, knit cap, and fur mouton with this uniform when outdoors as
appropriate for existing weather/climate conditions.
Depending upon the environment within which employees are assigned, they may be required to wear their service-issued weapon, magazines, cuff case,
OC spray, extendable baton, and gun belt with the Class 3 uniform. The Firearms Handbook provides more specific information on when weapons and
duty gear is required to be worn.
When an immediate operational need exists, on a limited case by case basis, CBP managers may temporarily authorize officers to work in a Class 2
environment when they are wearing Class 3 uniforms. This authorization should be non-recurring in nature and limited in scope to satisfy an immediate
and necessary operational requirement. Example: Management determines there is an immediate need to assign employees in cargo environments
wearing Class 3 uniforms to work temporarily in an airport passenger processing facility due to a staffing shortage. However, employees will not be
permitted to wear the Class 3 uniform in a Class 2 environment on a regular and/or recurring basis.
··Cargo Shorts are an authorized trouser option in the Class 3 confined cargo environment at Southwest border locations, South Florida and Puerto Rico.
The confined cargo environment is defined as any cargo environment, to which an employee is assigned for a full 8-hour shift, that is isolated from the
traveling public. The people normally encountered in a confined cargo environment, such as longshoremen, warehousemen, brokers, law enforcement
representatives, airline and port authority employees, repetitive importers, and truck drivers are examples of individuals not considered to be members of
the traveling public. When wearing Cargo Shorts, employees must wear only agency sanctioned solid black, plain toe athletic shoe footwear included in the
national program and black socks that extend no more than 3 inches above the ankle
Figures 3-20 through 3-23 on the next page are examples of authorized and properly worn Class 3 uniforms.

Picture(s) will be provided at a later
date.

I

Picture(s) will be provided at a later date.

Figure 3-20
Male Class 3 Short Sleeve
(With Cargo Pants)

Picture(s) will be provided at a later
date.

Figure 3-22
Female Class 3 Long Sleeve
(With Plain Trousers)

Figure 3-21
Male Class 3 Short Sleeve

I

Picture(s) will be provided at a later date.

Figure 3-23
Female Class 3 Long Sleeve
(With Heavyweight Knit Sweater)

4.

CLASS 4 BDU UNIFORM (Battle Dress Uniform):

A.

OFFICE OF FIELD OPERATIONS
The Class 4 uniform is:
Authorized for CBP Officers and Agriculture Specialists in the air, sea and land border cargo environments and the land border passenger
environment.
Never authorized for Air and Sea Passenger Processing.
Authorized for Firearms and Defensive Tactics Qualification.
Required when the PFO declares the Class 4 uniform as the uniform of the day.
Authorized as directed by the Assistant Commissioner, Office of Field Operations, with written approval.

B.

CLASS 4 UNIFORM ITEMS
CBP employees as described in sections 3.FA (A) above are authorized to wear:
Long Sleeve Class 4 BDU Shirt

Short Sleeve Class 4 BDU Shirt

Rip-Stop Trousers

Turtleneck (Optional)

Mock Turtleneck (Optional)

Straw Campaign Hat (Optional)

Ball Cap (Optional)

Hat Insignia

Lightweight Knit Sweater

Heavyweight Wool Sweater

Rank Shoulder Boards

Embroidered Name Tape

Leather Lace-up Boots

Black Socks

Knit Cap

Leather Belt (Plain, Overlap, or Velcro)

Dark Blue Enforcement T-shirt (Required)

C.

GUIDANCE ON PROPER WEAR (CLASS 4 BDU):
The Class 4 uniform can be worn in several variations depending on the sleeve length selected by the officer. This uniform is constructed of "rip-stop"
material. The Class 4 BDU pants are designed with a straight cuff and must be bloused (i.e., tied above the boot or tucked into boots) when worn. Shirts
should be properly tucked in, and only the top button of long- and short-sleeved shirts is authorized to be unbuttoned. When wearing a long sleeve Class
4 shirt, employees have the option to wear the turtleneck or mock turtleneck. Long sleeve shirts will be buttoned at the cuff; rolling or turning up long

sleeves is not authorized. Unless the PFO designates a uniform of the day, the decision of whether to wear a long or short sleeve shirt will be
determined by the individual employee. Employees are required to wear rank shoulder boards and an embroidered nametape with this uniform.
Employees may wear the lightweight or heavyweight wool sweater with either the long or short sleeve version of this uniform. Employees must wear
either the plain, dress, or velcro overlap belts with this uniform. Additionally, in Class 4 uniform environments, outerwear may be worn indoors. Rank
shoulder boards and the nameplate are required on the outermost garment when outerwear or a sweater is worn. Employees may wear any leaih.er
~-~ .I:l.!:MLt option provided by the uniform contractor with this uniform. Employees may substitute white sole black socks for plain black socks.
Employees may wear the straw campaign hat, ball cap, knit cap, and fur mouton with this uniform when outdoors as appropriate for existing
weather/climate conditions.
A dark blue enforcement style T-shirt is required with this uniform. This shirt will have the CBP approved badge silk-screened onto the left front breast
area. "CBP" will be silk-screened in large block letters on the back of this shirt in the same font used for embroidered the ball cap. Employees may wear
this enforcement style T-shirt as their outermost shirt when they are actually engaged in cargQ examinations in the k1ass 4 uniform environment.
Upon completion of this work, employees are required to wear the Class 4 Rip-Stop shirt over this enforcement T-shirt. PFO's will be held accountable
for strict oversight and enforcement of this policy.
Figures 3-24 through 3-26 are examples of authorized and properly worn Class 4 uniforms.

Picture(s) will be provided at a later date.

Figure 3-24
Male Class 4 Short Sleeve

I

Picture(s) will be provided at a later
date.

Figure 3-25
Female Class 4 Short Sleeve

Picture(s) will be provided at a later date.

Class 4

5.

Figure 3-26.
Enforcement T-shirt

wi

CLASS 5 ADMINISTRATIVE SUPPORT UNIFORM:

A.

OFFICE OF FIELD OPERATIONS/OFFICE OF TRAINING AND DEVELOPMENT

The Class 5 Administrative Support uniform is authorized only for the following positions:
Full-time Firearms Instructors on the NFPS Staff in Fort Benning, Georgia (Does not apply for Inspectors or CEOs who are collaterally assigned at
the local level)
Airport Tellers
Animal Caretakers

Technicians
Inspeetional Assistants
Inspectional Aid
Material Control SpecialisUAssistant (GS-2001 Front Royal)
Mail Technicians - Mail Specialists
CBP Aides-CBP Technicians
Co-op Students assigned to OFO locations
Intern Students assigned to OFO locations

B.

CLASS 5 UNIFORM ITEMS
CBP employees described in Section 3.F.5 (A) above are required/authorized to maintain and wear:
Short Sleeve Class 5 Knit Shirt
Long Sleeve Class 5 Knit Shirt
Plain Class 3 Trousers
Class 3 Cargo Pants
Turtleneck (Optional w/Long Sleeve Class 5 Shirt)
Mock Turtleneck (Optional W/Long Sleeve Class 5 Shirt)

Ball Cap (Optional)
Lightweight Knit Sweater
Heavyweight Wool Sweater
Leather/Clarino Footwear
Black/White Sole Black Socks
Knit Cap
Leather Belt (Plain, overlap, or Velcro)

C.

GUIDANCE ON PROPER WEAR (CLASS 5):

OFO employees as indicated in Section 3.F.5 (A) above, can wear the Class 5 uniform with Class 3 plain trousers or Class 3 cargo pants. When a long
sleeve shirt is worn, employees have the option of wearing a turtleneck or mock turtleneck. Shirts should be properly tucked in, and only the top button
of long- and short-sleeved shirt is authorized to be unbuttoned; rolling or turning up long sleeves is not authorized.
Employees may wear the lightweight or heavyweight wool sweater with either the long or short sleeve version of this uniform. Rank shoulder boards and
the nameplate are required on the outermost garment when outerwear or a sweater is worn (as appropriate). Employees must wear the plain, dress, or
velcro overlap belts with this uniform. CBP employees may wear any footwear option provided by the uniform contractor except boat shoes. Employees
may substitute white sole black socks for plain black socks. All employees may wear the straw campaign hat, ball cap, knit cap, and fur mouton with this
uniform when outdoors as appropriate for existing weather/climate conditions.
Figure 3-27 is an example of an authorized and properly worn Class 5 uniform.

Picture(s) will be provided at a later date

Figure 3-27
Male Class 5 (Short Sleeve)

7.

CLASS 7 MATERNITY UNIFORM:
A.

OFFICES OF FIELD OPERATIONS
The Class 7 uniform Maternity Uniforms are available for pregnant CBP uniformed employees. Pregnant employees may wear the maternity clothing
when they are no longer able to wear their regular uniform. Non-pregnant employees may not order or wear this uniform.

B.

CLASS 7 UNIFORM ITEMS
Class 7 Maternity uniform includes long/short sleeve shirt, rank shoulder boards, and jumper or trousers.
Employees authorized to wear the Class 7 Maternity Uniform may, at their discretion, wear hosiery that matches the natural skin tone of the wearer.
Hosiery will not be offered as part of the CBP Uniform Program and must be privately purchased by the employee.

8.

OFFICE ORDER ITEMS
The following items are available from the uniform contractor as office order items and can be purchased by OFO Field Offices and Training Centers:
A.

COVERALLS (Long and Short Sleeve) This is a special use garment that can be worn Q'lilr an existing Class 2, 3 or 4 CBP uniforms for limited periods of
time when officers are actually engaged in high impact working activities such as: vessel searches, searching perishables items, examining gas tanks,
etc.

B.

SHOULDER EMBLEMS

C.

EXTRA BUTTONS (Class 1, 2, and 3 coat and shirt buttons available in boxes of 50 each)

D.

BALL CAPS

E.

NAMEPLATE FASTENERS (CLUTCHBACKS AND MAGNETS)

F.

PSEUDONYM NAMEPLATES

G.

CBP ENFORCEMENT T-SHIRT

H.

ORANGE CBP SAFETY VESTS

Additionally, the following items are also available as office order items but are not available from the uniform contractor:
H.
I.

OTHER SAFETY EQUIPMENT (Hard Hats, gloves, goggles, earplugs, etc.)
FIREARMS INSTRUCTOR SHIRTS - When on the range as a daily assignment, range employees and collateral duty range
employees may wear a red Class 5-style knit shirt with Class 3 or Class 4 trousers. This red shirt is for safety purposes and
is only authorized on the range. This item may be locally procured by offices (using local funding).
With the exception of items in Section 9 (B-D above), personal protective equipment and clothing, special uniform items,
and other items purchased by the field offices with CBP funds remain Government property. These items must be handled
in accordance with established Federal Property Management Regulations (Code of Federal Regulations, Title 41, Chapter
101) and Personal Property Management Handbook, HB 5200-13. If these items are issued to specific individuals, offices
should document the issuance of these items on a CF-259 receipt for personal clothing and equipment record.

10.

RANK INSIGNIA

A.

METAL COLLAR/JACKET INSIGNIA/RANK SHOULDER BOARDS
Uniformed employees will wear the appropriate metal jacket insignia, and rank shoulder boards as indicated in table 3-1 on
the next page.
Large pin insignia are required to be worn on the Class 1 Ike Jacket, and must also displayed on all outerwear items with
the exception of the dress trench coat.
Uniformed employees are also required to wear rank shoulder boards on Class 1, 2, 3, 4, and 7 uniforms and knit sweaters
that have shoulder epaulettes as indicated in figure 3-28.

Picture(s) will be provided at a later date.

RANK SHOULDER BOARDS

METAL INSIGNIA
None

POSITION/GRADE
Trainee CBP Officer/Ago Spec. (GS-5/7)

Plain Black

None

CBP Officer/Ago Spec. (GS-9)

Black w/Gray Stripe

Broken Gold/Blue Bar

Journeyman CBP Officer/Ago Spec. (GS11 )

1 Silver Bar

Senior CBP Officer (6c-covered) (GS-11)

2 Silver Bars

Port Director (GS-11)

Broken Gold/Blue Bar

1 Silver Bar

2 Silver Bars

1 Gold Oak Leaf

Supervisory CBP Officer/Ago Spec. (GS-12)

Port Director GS-12

1 Gold Oak Leaf

1 Silver Oak Leaf

Supervisory CBP Officer/Ag. Spec. (GS-13)
Port Director (GS-13)

1 Silver Oak Leaf

1 Silver Eagle

Supervisory CBP Officer/Ago Spec. (GS-14)
*

Port Director (GS-14)*

1 Silver Eagle

Director, Canine Program (GS-15)*

I:i
1 Silver Star
1 Silver Star

Port Director (GS-15)*

Figure 3-28

* Note:

With the exception of GS-14 Chief CBP Officers in the New York Field Office, and Headquarters and CETC management staff;
Managers, supervisors and Port Directors must have a written approval from the Assistant Commissioner, Office of Field
Operations, to wear a uniform and display this rank insignia.

Appendix 3-1

Sample Position Description: Immigration
Inspector

I. Introduction:
Position is located at
. As an immigration inspector, the incumbent performs one or more of the
following duties in support of certain federal laws. In addition, arrests and detains criminal aliens for other law
enforcement agencies pursuant to warrants of arrest.

II. Major Duties and Res~onsibilities:
1. Conducts inspection of all classes of applicants for admission to the United States. performs initial
inspection with the aim of quickly determining, by questioning and observing the individual and by reviewing
his or her identifying papers, whether an applicant may be admitted without further formality or whether there
are questions or indications of problems that require more detailed examination and require referral to other
inspectors who perform a more detailed inspection. As necessary, based on referral from a primary inspector,
makes a secondary (more detailed) inspection of applicants who require more intensive questioning
concerning citizenship, admissibility, purpose of travel, entry documents and other information. Carries the
inspection process in questionable cases to conclusion. Requests and collects maintenance of status and
departure bonds. Refers applicants for exclusion hearings. Initiates procedures to fine commercial carriers for
transporting documentarily deficient aliens into the United States. Initiates administrative and criminal
proceedings under appropriate sections of U.S. law, including section 274 of the Immigration and Nationality
Act.
2. Adjudicates a wide variety of applications for various immigration privileges and benefits that are processed
at the ports-of-entry. Works on applications involving novel and complex application of law and regulation;
completes the more complex cases assigned before review by supervisory officers, senior inspectors or
immigration inspectors (special operations). Interviews individuals as necessary for confirming information
found in applications.

3. Interprets and/or furnishes gUidance and advice regarding I&N laws, regulations, and other service policy to
inspector trainees, seasonal and/or part-time inspectors, and officers of other federal inspectional agencies
who perform immigration inspection functions.
4. Gathers, makes use of, and disseminates intelligence information to other law enforcement officers or
refers the information to the immigration inspector (intelligence) or the immigration inspector (special
operations) if either officer is stationed at the port. Serves as the Service representative in a liaison capacity
with local officials in seeking their cooperation, when necessary or desirable, to further the proper
administration of the immigration laws. Detains and refers to the appropriate agency any person who is the
subject of a local, state or federal arrest warrant or who, from the information gathered, may be subject to
arrest by local, state, or federal authorities.
5. Conducts, for the U.S. Customs Service, the inspection and examination of arriving persons, baggage,
merchandise, and other items and, where there is vehicular traffic, the conveyances in which any or all of
these are being transported to the United States. This includes determining the dutiability of merchandise and
verifying the merchandise in a carrier's possession against invoices, bills of lading, or other documents.
Conducts inspection for the Public Health Service and the Plant Quarantine Division of the Department of
Agriculture. Admits eligible persons, merchandise, etc. not requiring additional processing, but refers cases
which present unusual problems or require additional processing to an officer of the appropriate agency for
disposition.
6. Performs other work as needed or assigned such as custodial duties concerning detained aliens, furnishes
guidance, advice and forms to the public, assists individuals in completing forms, administers oaths, collects
fees, etc.
7. Responsible for the proper use of firearms and physical arrest techniques. Continues to meet the
qualification standards for the use of firearms.
III. Factor Level Descriptions:

1. Knowledge required by position:
Thorough and full technical knowledge and understanding of current immigration and nationality laws,
regulations, precedent decisions, policies, and procedures applicable to the inspection and
examination functions, including procedures for referring applicant for exclusion hearings, as
necessary.
Knowledge and skill in interview techniques. Must use diplomacy, be tactful, resourceful, and discreet in
dealing with and eliciting information from applicants and possess the ability to comprehend and
correlate gathered facts.

Thorough knowledge of rules of evidence and administrative procedures in taking sworn statements.
Knowledge of areas of law concerning search and, seizure, civil rights, arrest authority and the
constitution.
Must possess keen insight into human behavior and make accurate discerning decisions based on
examination of documents presented, responses to questions, appearance of applicants, their
mannerisms, as well as their other actions and reactions.
Broad knowledge of all Service functions in order to recognize, develop, and refer for appropriate action,
information of value to other operational areas.
Basic knowledge of current Customs and other federal inspection agency laws as they relate to assigned
duties.
2. Supervisory controls:
Receives general supervision from assigned supervisor, who issues general oral and/or written
instructions. Most duties are performed and decisions made independently. Supervisor is available for
advice and assistance on matters not covered by established procedures. Work is reviewed on a spot
check basis.
3. Guidelines:
Guidelines include the Immigration and Nationality Act and other related laws and regulations, field
manuals, the Administrative Manual, judicial, and administrative precedent decisions, Service
Lookout Book, various Service databases, and daily instructions. The inspector must exercise good
judgment in applying laws, regulations and procedures to cases, most of which are clearly covered by
the guidelines and precedents.
4. Complexity:
Incumbent performs inspection duties in compliance with certain federal statutes, and in accordance with
established policies and procedures. As necessary, incumbent conducts intensive and detailed
interrogations which are prompted by applicants for entry to the United States who are suspected of:
(1) alien smuggling; (2) false claims to United States citizenship; (3) presenting fraUdulently obtained
documents of others; (4) presenting altered or counterfeit documents; (5) attempting to enter by
scheme or devious means; (6) terrorist activity; (7) smuggling of illegal drugs and/or other contraband.
Referrals for exclusion hearing must be accurate, concise, and firmly rooted in law. May be called
upon to use proper and safe law enforcement techniques in the above cases, including arrest and

detention of persons involved. Adjudicates a wide variety of applications and petitions for benefits under the
Immigration and Nationality Act, including cases involving novel and complex application of law and
regulation.
5. Scope and effect:
The purpose of the position is to properly categorize and admit United States citizens and entitled aliens
into the United States. Prompt and efficient performance of duties facilitates legal entry, while denying
entry to those not authorized to enter the United States under the exclusion laws (terrorists, narcotic
traffickers, etc.).
6. Personal contacts:
Contacts are with people seeking admittance into the United States (and at times, with their
representatives), immediate co-workers, and as needed, with personnel from other agencies, foreign
governments and members of the general public.
7. Purpose of contacts:
Purpose of contacts is to obtain information necessary to determine admissibility of people (or goods,
where applicable) into the United States.
8. Physical demands:
Position requires moderate to arduous physical exertion involving long periods of standing, walking, the
climbing of scaffolds and ladders, including "Jacobs" ladders, use of firearms, and exposure to
inclement weather. Extended work hours (more than eight hours a day) are experienced. The lifting
and carrying of materials (i.e. "boarding bag") is required to perform the duties of the position. May be
required to use physical force to arrest and detain persons as deemed appropriate by Service
regulations. Must be prepared to defend self and others against physical attack, resorting to the use of
firearms if warranted by the circumstances (self-defense, defense of another officer, or an innocent
third party).
9. Work environment:
Work may be performed at one or more of the following sites: border port-of-entry, seaport, airport or
railway. Work is performed both indoors and outdoors. Incumbent may be exposed to inclement
weather while working outdoors and shift work.
IV. Other Significant Factors:

Incumbent is required to carry a firearm and be proficient in the use thereof.

Appendix 3-2

Sample Position Description: Supervisory
Immigration Inspector

I. Introduction:
This position is located at
. The incumbent provides both technical and administrative
supervision to various subordinates including: Senior Immigration Inspectors, GS-11; Immigration Inspectors
(Special Operations) GS-11; and Immigration Inspectors, GS-5, 7 and 9).
II. Major Duties and Responsibilities:

1. Plans work distribution, making assignments and designating posts of duty to meet expected workloads.
Makes adjustments in assignments, as required, to meet fluctuations in workload and make the best possible
use of abilities of personnel and to insure well-rounded training in all phases of work to be performed.
Incumbent must work in close cooperation with other supervisory personnel to coordinate functions and make
efficient use of available resources.
2. Makes frequent inspections of operations to observe and evaluate the effectiveness of officers. Initiates
changes in methods and procedures to effect more efficient operations. Takes corrective action when
necessary to effect compliance with established policies and procedures. Determines need for and takes
steps to provide training when deemed necessary to keep staff informed of current policies, procedures, and
regulations.
3. Establishes production standards and prepares performance ratings, performance evaluation reports, and
appraisal reports. While the incumbent does not select his own staff, recommendations and evaluation reports
form the basis for the decision at a higher level to promote, reassign, or dismiss personnel under the
incumbent's supervision. Makes recommendations for changes in staffing requirements to meet workloads.
4. Resolves complaints and grievances not requiring referral to higher authority and makes recommendations
to the next higher organizational level regarding those complaints and grievances which must be referred.

5. Makes decisions on and resolves problems involving complex phases of the law or unusual situations
requiring the interpretation and application of Service policy. Where problems require a policy decision of a
precedential nature or where they involve approval of actions which might establish a precedent, incumbent
refers matters to superiors for prior approval.
6. Maintains or directs maintenance of appropriate reports and production records. Oversees and insures that
intelligence information developed in the course of normal operations is properly recorded and promptly
refered to the appropriate office for action.
7. Maintains liaison with representatives of other Government agencies, officials of transportation lines, local
law enforcement officials and representatives of civic organizations, cooperating with them and obtaining their
cooperation in the enforcement and administration of laws, rules, and regulations governing their area of
operations.
8. Supervises the adjudication of various types of applications and petitions which are processed on-site by
immigration inspectors during periods of time when such officers are not performing other inspectional duties.
Maintains control through frequent discussion of the effect of current judicial and administrative decisions,
changes in laws, regulations, policies, and procedures. Insures decisions by immigration inspectors are based
on valid premises and principles and are in accord with Service policy.
9. Maintains and establishes operating procedures to best identify excludable aliens by insuring that officers
under the incumbent's supervision are proficient in the use of available Service and non-Service computer
data bases for the betterment of the enforcement posture of the Inspections program.
10. Exercises supervision over the GS-11 senior immigration inspectors assigned to the port-of-entry.
Conducts interim discussions with senior immigration inspectors during the course of investigations,
prosecutions, and vehicles seizures for the purpose of keeping informed on the progress of the case.
Anticipates and resolves policy decisions; reviews reports for the purpose of evaluating thoroughness of
planning and analysis, soundness of judgments exercised, and results achieved.
11. Exercises supervision over the immigration inspectors (special operations)(IIS0) assigned to the port-ofentry. The incumbent empowers the IIS0s in the areas of development of intelligence data collection and
dissemination and other special enforcement emphasis development. The incumbent insures that the IIS0s
serve as team leaders to lower graded officers, and insures that the IIS0s engage in special projects which
foster their further development and improve the effectiveness of the Inspections program locally, districtwide, or nationally.
12. Mayor may not be required to be proficient in the Spanish language, dependent upon the needs of the
particular port-of-entry at which he or she is assigned.

13. Insures efficient and proper expenditure of overtime funds and general expense funds in compliance with
Departmental and Service rules and regulations, including the Anti-Deficiency Act and Prompt Payment Act.
Insures that sufficient funds are available to meet obligations, requisitions are complete and accurate, and
receipt of services is correctly and properly documented. Incumbent insures all employees are below the
individual overtime earnings cap set by law.
14. Supervises the Free-Trade program. Control is maintained through frequent discussions with inspectors
concerning relevant laws, regulations, and policies.
15. Carries out Equal Employment Opportunity and Affirmative Action policies and program activities,
communicating support of these policies to subordinates, and encouraging participation in EEO activities and
training. Ensures equality in determining qualifications, selections, assignments, training, promotions, details,
discipline, and awards for employees. Cooperates in the investigation of formal and informal discrimination
complaints. Cooperates with and assists the EEO counselor in constructing a resolution to informal
complaints. Cooperates and participates in the development of EEO and Affirmative Action planning and
training efforts.
III. Supervision and Guidance Received:
The port director, assistant district director, or other superior official keeps the incumbent informed of all
changes in policy, laws, regulations, or procedures. He/she defines the areas of authority delegated to the
incumbent and advises the incumbent of his/her views and objectives as they relate to the operation of the
office and affect the incumbent's liaison and representation responsibilities. The incumbent's staff is
preselected and upper level managers make final decisions on resources available. Incumbent is responsible
for the efficient and effective administration of the office and its resources, and has responsibility for the
technical accuracy of the functions performed under his/her authority.
Review is accomplished through occasional inspection of operations, results accomplished and evaluations of
soundness of judgment exercised as reflected in recommendations made and actions taken, particularly in
relation to emergent situations requiring on-the-spot policy decisions or referral to higher levels of
management.
IV. Other Relating Factors:
Incumbent must be thoroughly versed in all laws, regulations, policies, and procedures governing Service
operations in order to adequately represent the Service and efficiently administer the Service programs in
his/her area of jurisdiction. He/she must be able to deal effectively with the public and make sound decisions
in interpreting overall Service policy and in making decisions required to meet local conditions and
circumstances.

Appendix 3-3

Sample Position Description: Port Director

I. Introduction:
This position is located at
, within the
District. Under the general supervision of
the district director (in some locations, the first-line supervisor may be the assistant district director for
Examinations or assistant district director for Inspections) the incumbent is responsible for managing one or
more inspectional facilities with responsibility for the immigration inspection and admission of persons seeking
entry into the United States and seeking other benefits available under the Immigration and Nationality Act
_
and related laws. The incumbent is assisted by several subordinate supervisory personnel. The -::-:port-of-entry inspects approximately
applicants for admission annually and has a staff of
_
inspectors and other personnel. In addition to inspectional activities, the incumbent supervises significant
Adjudications activity and (in some locations) various Investigations and Deportation functions, as well as a
range of administrative support activities.
II. Major Duties and Responsibilities:

1. Within the broad area of authority delegated to the incumbent by the district director, performs such duties
ordinarily vested by law and regulation in the district director.
2. Within the framework of Service policies, procedures, practices and work standards, the incumbent
develops policies, procedures, and work methods required to meet local conditions and circumstances.
Incumbent has overall responsibility for recruiting, work distribution, assignments, and rotation of personnel to
make best use of their abilities while insuring well-rounded training. Incumbent approves or disapproves
overtime duty assignments.
3. Regularly consults with and advises superiors and other district officials concerning all matters within
his/her area of responsibility or which cross organizational lines. Represents the district at regional and other
Service conferences concerning port-of-entry operations and inspectional functions.
4. Incumbent makes frequent inspections of operations to observe and evaluate effectiveness of officers;

initiates changes in methods and procedures to achieve more efficient operations; takes corrective action
when necessary to effect compliance with established policies and procedures; determines needs and takes
steps to provide additional training; keeps staff informed of current policies, procedures, and regulations.
5. Plans special programs, developing and placing into effect policies and procedures required to insure
accomplishment of the desired objectives, based on an analysis of workload and local conditions, or at the
direction of superiors.
6. Resolves complaints and grievances not requiring referral to higher authority and makes recommendations
as to solution of those referred to the next higher organizational/eve!. Approves or disapproves leave. Initiates
disciplinary actions. Prepares appraisal reports for officers or supervises their preparation by subordinate
supervisors.
7. Makes final decisions on and resolves problems involving complex areas of immigration law, or unusual
situations requiring interpretation and application of Service policy. Where problems require policy decisions
of precedential nature or might have a bearing on Service wide operations, they are referred to superiors for
prior approval.
8. Has overall operational responsibility for the training in the proper application of the immigration laws of
excepted immigration officers engaged in inspectional activities at the port-of-entry.
9. Prepares and maintains, or directs preparation and maintenance of all appropriate operational,
administrative, and personnel reports, both special and routine, files, records and production reports.
Oversees and insures that intelligence information developed in the course of normal operations is properly
recorded and promptly referred to the appropriate office for action.
10. Maintains harmonious working relations with officials of foreign governments, Federal, state, and local
governments including Congressional representatives, Central Intelligence Agency, Federal Bureau of
Investigations, Drug Enforcement Agency, Customs, the US Attorney's Office and other agencies, as well as
civic and social organizations, concerning matters related to Inspections and other port operations, and the
resolution of mutual problems.
11. Incumbent makes recommendations as to budgetary and staffing requirements for the office and is
responsible for the administration of Service personnel policies. This include overseeing preparation of
employee appraisal reports, conduct of on-the-job training, and selection or recommendation of candidates for
formal training.
12. Carries out Equal Employment Opportunity and Affirmative Action policies and program activities,
communicating support of these policies to subordinates, and encouraging participation in EEO activities and
training. Ensures equality in determining qualifications, selections, assignments, training, promotions, details,

discipline, and awards for employees. Cooperates in the investigation of formal and informal discrimination
complaints. Cooperates with and assists the EEO counselor in constructing a resolution to informal
complaints. Cooperates and participates in the development of EEO and Affirmative Action planning and
training efforts.
III. Supervision and Guidance Received:
The incumbent receives administrative and technical supervision from the district director and deputy district
director (in some locations, the first-line supervisor may be that assistant district director for Examinations or
assistant district director for Inspections). The incumbent has final responsibility for the technical accuracy of
the functions performed under delegated authority. Review is accomplished through occasional spot
inspections of operations conducted and results achieved. Superiors periodically evaluate the incumbent's
soundness of jUdgment as reflected in recommendations made and actions taken, particularly in relation to
emergent situations requiring on-the-spot policy decisions or referral to higher levels of management.
IV. Other Relating Factors:
Incumbent must be thoroughly versed in all laws, regulations, policies, and procedures governing Service
operations in order to adequately represent the Service and efficiently administer the Service programs in
his/her area of jurisdiction. He/she must be able to deal effectively with the public and make sound decisions
in interpreting overall Service policy and in making decisions required to meet local conditions and
circumstances.

Appendix 3-4

Sample Position Description: Assistant District
Director for Inspections

I. Introduction: This position is located at (LOS, MIA and NYC). The incumbent plans, organizes, and directs
the primary and secondary inspection of all persons entering the United States within the district office's
jurisdiction.
II. Major Duties and Responsibilities:
1. Within the framework of the Service's operational and regional administrative policy and procedures, the
incumbent interprets and directs the implementation of Inspections policies and procedures at the district's
ports-of-entry; develops the district's Inspections policy and procedures to meet new and changing conditions;
monitors compliance with Service policy and procedure at ports-of entry; recommends to the district director,
regional, and Headquarters managers innovations or changes in policies or procedures.
2. Briefs the district director, regional, and Headquarters Inspections officials on significant developments in
the Inspections program. Evaluates proposed national policy and procedures from a district perspective.
Advises regional and Headquarters officials of the implications of new policies and procedures.
3. Represents the district's Inspections program. Coordinates, negotiates, and interprets the District's
Inspections program with management officials and program managers in the district, Border Patrol sectors,
region, and Headquarters; provides interpretations of Inspections policy and procedures to other Federal,
state, and local agencies including: the Customs Service; US Attorney's office; Department of Agriculture;
Drug Enforcement Agency; Bureau of Alcohol, Tobacco and Firearms; General Services Administration;
Congressional, gubernatorial, and mayoral offices, and the embassies and consulates of foreign countries.
4. Maintains the districts Inspections staff at peak efficiency. Working closely with subordinate port directors
and other Inspections supervisory personnel, schedules, monitors, and administers basic, advanced and
specialized Inspections training. Recruits a proficient, diversified work force in accordance with EEO
objectives; oversees staffing levels, interviews and hires, or recommends hiring staff, especially supervisory

staff; ensures position descriptions and performance work plans are up-to-date and accurate. Requests the
allocation of additional or temporary positions to meet increases in port traffic; controls detailing of Inspections
personnel to other programs, activities, or locations.
5. Evaluates the performance of key district Inspections officials; recommends and secures recognition or
awards for outstanding accomplishments.
6. Formulates the district's response, in consultation with superiors, to grievances and complaints not resolved
at the port level; manages responses to Congressional inquiries on Inspections issues; serves as Inspections'
technical advisor on formal arbitration hearings.
7. Makes long range plans for Inspections equipment, space, and services; executes and controls the district's
Inspections budget; monitors repairs and purchases of equipment and supplies; serves as the district
consultant on new Inspections facilities and renovations.
8. Periodically checks the scheduling of overtime, directs changes where necessary. Visits ports to evaluate
key inspections officers and port performance and efficiency; checks security; assesses personnel and
equipment needs; inspects uniforms; reviews port accounting methods and statistics; resolves emergent
problems; corrects deficiencies in operations; commends accomplishments.
9. Serves as the public relations focus for the district's Inspections program; explains operations, procedures,
and trends to external fact-finding groups. Promotes a positive image of the district's Inspections program.
10. Ensures ports have a contingency plan for emergency evacuation, terrorist incidents, surges in traffic, etc.
Manages politically sensitive Inspections events, newsworthy incidents, etc.
11. Performs other duties as assigned.
III. Supervision and Guidance Received:

Works under the general supervision of the district director and deputy district director. The incumbent works
independently and within the guidelines of the Immigration and Nationality laws, regulations, Service policy,
and precedent decisions. Performance is evaluated in terms of soundness of recommendations made and
results achieved.

Appendix 3-5

Sample Position Description: Immigration
Inspector (Special Operations)

I. Introduction:
This position is located at a seaport, land border crossing or airport where the incumbent performs a wide
range of complex advisory and coordinating duties, and other specialized assignments involving highly
sensitive inspection, enforcement, and facilitation issues. This is the standard position description for the
Immigration Inspector (Special Operations). The incumbent performs, for at least the majority of the time, in
one or more of the major functional areas listed below.
II. M~r Duties and Responsibilities:
1. S~ecial Emphasis Units. As a member of a special emphasis unit the incumbent collects raw and finished
intelligence reports/data from the immigration inspectors, intelligence officers, and local sources. Reviews
previous destinations of incoming vehicles, vessels, passengers, and pedestrians. Analyzes information and
identifies passengers, pedestrians, commercial carriers, and vessels that require in-depth or special emphasis
inspection actions because of high risk of narcotics, illegal migration, organized crime, smuggling activities,
sale, use or production of fraudulent documents or other criminal activity. Develops profiles, patterns, and blitz
targets to be used by other inspectors. Plans actions to be taken, coordinates activities with designated team
members and appropriate agents outside the teams, and leads/oversees the intensive action operations,
where appropriate. Monitors trends and forces (i.e. political, economic, social, and cultural) in foreign and
domestic areas which may directly or indirectly foster/support illegal migration, terrorism, or drug trafficking,
and/or any other related illegal activity which may be of interest to the port, the Service or the intelligence
community. Maintains contact to keep abreast of current local, national, and international developments,
resolves common/strategic problems, and provides for free flow of information on matters of intelligence
interest; establishes effective/harmonious working relationships with counterparts. May perform these
functions for more than one station, all of which may be remote from the unit's central duty station.
Represents their area of responsibility on committees, at conferences and other meetings. Provides
intelligence and other information to the local intelligence officer for possible use and incorporation into future

intelligence endeavors.
As a member of the Advance Passenger Information System (APIS) special emphasis unit, reviews flight and
vessel manifests, schedules, and arrivals produced by APIS to identify and profile passengers for secondary
inspection and to provide a track record/point of research to screen possible involvement of crewmembers
and airline/ shipping company officials. Reviews and analyzes such areas as carrier compliance with boarding
regulations, patterns of violations and problems with carriers in order to build an intelligence history of
crewmembers, airlines, and officials. Analyzes information and identifies aircraft, vessels, and passengers
that may require an in-depth or special emphasis inspection because of a high risk of narcotics, fraud and
similar high-priority violations. Forwards information to inspectors on the scene. Incumbent uses available
information systems (e.g. IBIS, NAILS, NCIC, TECS, NLETS, EPIC, OASIS), and other national and
international law enforcement data bases, in the inspection and investigation of individuals applying for
admission into the United States and performs a variety of intelligence gathering analyses of passengers to
determine if they are admissible or excludable. Notifies the appropriate lead agency and foreign
embassy/consular personnel of detained aliens. Reviews recommendations from inspectors, deportation
officers, and special agents to enter data into various law enforcement data bases, ensuring that the case file
supports the recommendation and authorizes or denies entry into the files.
2. Team Lea_der. Serves as a team leader to a group of lower graded inspectors. Provides advice and
guidance to lower graded inspectors in applying a wide variety of procedures and methods to widely
diversified inspection activities, i.e., questions relating to interpretation of difficult and/or complex points of
Immigration and Nationality Law, criminal or civil laws, and precedent decisions, and/or interrelationship of
facts and evidence necessary to substantiate criminal or administrative procedures. Incumbent is recognized
authority on the interpretation of immigration and nationality laws, regulations, and policy materials and is
called upon to provide advice and assistance to other governmental entities including foreign, as well as
assistance in non-governmental functions. Incumbent is recognized as an "expert" in the detection of
fraudulent documents and is often summoned by the courts, as well as other government agencies, including
foreign, to identify fraudulent documents, e.g., visas, passports, marriage licenses, divorce papers, birth
certificates, death certificates, adoption records, etc. Resolves difficulties which arise between inspectors and
passengers/persons entering the country. Provides guidance and oversight if needed in the preparation of
reports and documents pertaining to the apprehension, interrogation, exclusion, and/or detention of an alien;
approves recommendation for final disposition of a case, in accordance with standard operating instructions,
to the prosecuting officer for review and execution. Provides oversight and monitors inspection, enforcement,
and facilitation activities in one or more stations, and performs a variety of administrative, advisory, and
coordinatIon tasks. Provides daily assignments to members of the assigned group, balances workload,
identifies areas of special emphasis, and assures that work is completed in accordance with prescribed
regulations. Approves actions involving sensitive and unique conditions, e.g., people or situations requiring
special handling. Closely monitors training needs of assigned officers according to type of work performed,
cases encountered, and officer expertise. Assures required post-academy training is completed, coordinates

training needs with training officer. Handles sensitive situations including difficult individuals, which may result
in disputes or create chaos between passengers/aliens and individual inspectors. Performs necessary actions
to avoid and/or alleviate altercations in the primary inspection area.
3. Rover. In large airports, roves and mingles among passengers. At land border crossings, mingles among
those awaiting entry prior to primary inspection to identify suspicious individuals who warrant secondary
questioning. Those duties may be performed undercover. Incumbent is responsible for profiling and
evaluating incoming traffic to identify potential and/or known violators/criminal activity. Develops necessary
plan of action; carries out needed/proactive operations; writes reports; determines/recommends corrective
action and/or legal penalties to be assessed. Maintains the security of the inspectional area by adhering to
established guidelines, and recommending penalties and/or disciplinary action for violators. Ensures the
integrity and sterility of the inspectional area and makes recommendations for improvement. Coordinates and
participates in arriving aircraft and ship searches; makes recommendations regarding the assessment of
penalties for violations. Handles sensitive situations, e.g., need-to-know travel of prominent individuals,
foreign dignitaries, and identified politically sensitive travelers, to alleviate confusion or a situation which could
cause embarrassment to the agency and consternation by the press; resolves difficulties which arise between
inspectors and passengers or pedestrians entering through the port; provides guidance and assures that all
procedures for inspection, examination, seizures, penalties, arrests, etc. are properly effected. In a secondary
inspections area, observes that all legal requirements are satisfied, and coordinates actions with the
inspectors, Customs personnel such as special agents, and with other Federal and non-federal agencies such
as APHIS or local police. Resolves unusual problems and defuses tense situations.
4. Sn-ecial
SQecial Studies Relating to Inspections Program. Plans and carries out assignments, projects, studies,
or investigations to explore and resolve major problems in the Inspections Program's operations and
enforcement activities and to develop new operational procedures/techniques which will result in more
efficient and effective program operation. Specific projects may include reviewing inspection operations,
developing and recommending improvements in processes, and designing more efficient ways to use
personnel and facilities and presenting those recommendations to superiors. Also may include determining
impacts on resources; developing local methods for implementation considering local conditions; and
identifying trends or patterns in problems, determining if proper procedures were used and providing written
guidance on proper techniques and methods to avoid such problems. May perform cost study/analysis to
develop accurate cost per passenger processed, including overtime, specialized training, and/or unique
resources needs, security, etc.
(b) (7)(E)

(b) (7)(E)

6. Training Officer. Responsible for providing training to immigration inspector trainees, immigration officers
(e.g. adjudicators and deportation officers) detailed to perform inspectional duties, and Customs inspector
trainees and for providing refresher courses for journey level immigration inspectors. Instructs and conducts
classes in field pertinent to immigration and nationality law, immigration inspection, examinations and
adjudication, alien processing, naturalization, and fraudulent document detection. Prepares daily work or
lesson plans for individual classroom sessions in conformance with general course outlines and established
learning objectives. This includes responsibility for teaching methods, utilizing training aids, organizing and
presenting course material, and providing appropriate supplemental material according to stages of progress
and needs of students. Evaluates students' progress through established methods and techniques. Reviews
trainees' progress and problems with supervisory immigration inspectors. Within established course objectives
and guidelines, maintains and insures that specific course content is current, technically accurate, and
consistent with established INS academic operational and administrative policies. Continually upgrades and
updates course materials, especially on detection of fraudulent documents. Revises lesson plans and makes
improvements in instructional material to insure achievement of course objectives.
May be required to perform journey level inspectional duties as needed. Journeyman level inspectional duties
will be performed less than the majority of the time.
III. Factor Level Descriptions:

1. Knowledge required by position
An extensive knowledge and comprehensive understanding of the Service's and other agency laws,
regulations, precedent decisions, pertinent injunctions, and consent decrees, pertaining to: 1) the
admission or denial of admission of a wide variety of categories of applicants of admission to or
exclusion from the U.S.; 2) the granting or denial of benefits available under the immigration and
nationality laws; 3) the laws and decisions relating to search, seizure, arrest, and exclusion/refusal of
admission.

Knowledge of a variety of sources of information such as automated data bases, intelligence sources, and
others; and substantial experience in their use, particularly such automated data bases as: IBIS,
NAILS, TECS, NCIC, NLETS, EPIC, OASIS, etc., to gather information required for intelligence,
enforcement, and facilitation decisions.
Extensive knowledge of inspections regulations and procedures as well as demonstrated knowledge and
competence in search, seizure, arrest, interrogation, proper law enforcement, and investigative
techniques for obtaining information through: the application of rules of evidence, rules of criminal
procedures, and the functional jurisdiction of Federal, state, and local agencies; observation,
interrogation, and inspection of documents and search of records/systems; use of specialized covert
operations and effective liaison with other government jurisdictions that have primary responsibility for
particular kinds of cases; the gathering, analysis, and evaluation of data in a geographic or functional
area in order to effectively target high risk passengers or pedestrians; and utilization of selective
enforcement profiling.
Knowledge of jurisdictional entities among state, local, and Federal agencies and within the Service in
order to accurately refer matters which extend beyond the purview of the Inspections Program.
extensive knowledge of political, social and economic factors, both domestic and international in scope,
which may effect attempts to enter the country illegally.
Advanced knowledge of intelligence gathering techniques and skill in the development of confidential
informants in order to coordinate and evaluate on a continuing basis, information derived from diverse
sources.
Ability to identify and take appropriate action in sensitive situations which are significant in scope and
impact on international relations (e.g. political asylum claims).
Ability to: elicit pertinent information and material facts to be included in sworn statements from principals,
aliens, and other sources through investigative techniques; prepare eVidentiary documents in final
form for presentation in administrative or criminal proceedings; and locate, identify and evaluate other
evidence for successful presentation to the prosecuting officer. This requires comprehensive
knowledge of trends, profiles, and methods of drug and alien smuggling, terrorism, document fraud
and other sensitive national security issues.
Ability to identify and analyze a variety of counterfeit or fraudulent documents. Ability to provide accurate
and credible testimony at criminal and administrative hearings regarding the validity of the document
encountered or oral statements made during the inspection procedure.

Ability to deal tactfully with and gain cooperation of travelers, importers, trade and carrier representatives,
and law enforcement personnel; used to resolve sensitive and often vitriolic contentions about fact or
opinions related to enforcement or facilitation.
Ability to make accurate judgments and prompt decisions for enforcement and facilitation purposes.
Ability to observe and detect unusual conditions or behavior indicating possible violations and take
appropriate action to enforce immigration and other laws.
Ability to qualify with and maintain proficiency in the use of firearms to protect and defend his/her own life
or that of others.
2. Supervisory controls
The immigration inspector (special operations) is under the general direction of a supervisory immigration
inspector. The incumbent works with a high degree of independence in providing leadership and
resolving problems in an assigned area of responsibility. Special assignments have objectives stated
in general terms and usually are in the form of an identified problem, or an area for analysis or
investigation. The incumbent organizes the approach, determines the extent of fact-finding and
analysis, and adapts techniques and methods to the particular problem involved. Work is typically
accepted as completed staff work. Recommendations of changes in procedures and practices are
reviewed for effect on other operations, and administrative policy considerations (i.e. time, staff and
costs).
3. Guidelines
Written guidelines include the Immigration and Nationality Act, regulations, INS Administrative Manual,
Service Lookout Book, various policy memoranda, field manuals, systems user manuals, the United
States Code, precedent decisions, and other judicial decisions. The incumbent exercises sound
judgment in interpreting the law applying regulations and procedures to each individual case. Must
develop novel approaches and techniques to cope effectively with new or unusual circumstances for
which there are no written guidelines or procedures.
Since guidelines are frequently stated in general terms, the incumbent is required to use seasoned
judgment, based on extensive experience and broad knowledge, in the interpretation and application
of these instructions to sensitive, complex situations; to answer complicated technical questions; and
to develop and recommend new or modified procedures. It is often necessary to modify guidelines on
an immediate bases, e.g., application of instructions and procedures to situations involving reentry,
voluntary departure, smuggling, etc., for which the incumbent is held directly responsible.
4. Complexity

As the immigration inspector (special operations), the incumbent performs a wide range of advisory,
coordinating, and special investigative duties involving complex and highly sensitive inspection and
control issues. Oversees inspection, enforcement, and facilitation functions performed by lower graded
inspectors, plans and does studies to explore and resolve major operations problems, and functions as
an advisor on difficult/problem assignments. Reviews documents for authenticity and correctness,
evaluates information for tone and intent, assesses the consequences of proposed actions and
mitigating factors, and develops more detailed and explicit information.
Assignments may typically involve applying precedent court decisions and procedures, conducting
interrogations of suspects, taking sworn testimony often in a foreign language, and developing,
evaluating, and independently making determinations for immediate or deferred action as each
situation indicates. Working under severe time constraints, determines factual elements from
incomplete or conflicting data, determines factual elements from seemingly disparate facts which often
lead to sophisticated domestic and/or international conspiracies or other unforseen results.
In judgment situations, determine how far to go in sensitive or difficult situation, determine how important
particular actions are and whether they are reasonable. Provides ways to facilitate processing while
ensuring enforcement and inspectional requirements are met. Work performed at this level requires
the incumbent to develop, evaluate, and control information from all levels of the socio-economic
structure and requires broad flexibility and independence in making decisions concerning such things
as interpreting a large volume of conflicting information, planning of the work, or refining the methods
and specialized techniques to be used.
5. Scope and effect
The purpose of the position is to enforce the Immigration and Nationality Act and related statutes, i.e., 8
U.S.C. 1154; 8 U.S.C. 1158; 8 U.S.C. 1182-1184,8 U.S.C. 1187; 8 U.S.C. 1222; 8 U.S.C. 1225-1227;
8 U.S.C. 1281; 8 U.S.C. 1282; 8 U.S.C. 1286; 8 U.S.C. 1287; 8 U.S.C. 1301; 8 U.S.C. 1321-1325; 8
U.S.C. 1327; 8 U.S.C. 1357; 8 U.S.C. 1361; 8 U.S.C. 1401-1409; 8 U.S.C. 1431; and 8 U.S.C. 1432.
Through the investigation and analysis of unusual conditions, problems, and questions, inspectors
prevent unauthorized persons from entering the United States; deter the smuggling of aliens, promote
crime detection and prevention within their assigned area; and effect the apprehension, prosecution,
and expulsion of excludable aliens.
Many of these excludable aliens are also violators of criminal statutes. Through the application of
appropriate investigative techniques, the incumbent may provide the inspector with information
concerning organized crime or international terrorist organizations. Effective performance of duties has
considerable impact on reserving employment opportunities for United States citizens and legal
resident aliens, and on the operation of other law enforcement agencies.

The immigration inspector is not only charged with the responsibility for enforcing the administration of
criminal laws of the United States, but is also responsible for providing immigration information to the
general public, attorneys, Federal, state, and local law enforcement agencies, and foreign government
officials, as well as the intelligence community. When performing adjudicative functions, the inspector
must possess a wide and varied range of knowledge which is required when reviewing and making
final determinations to grant or deny an applicant benefits sought under the Immigration and
Nationality Act.
6. Personal contacts
Contacts are made independently with employees at various levels in Headquarters, regions, districts,
sectors, and ports-of-entry; employees of other Federal, state, and local government agencies;
diplomats, foreign government officials, members of Congress, and other United States Government
officials; and proprietors/officials of aircraft, vessels, and other related concerns.
Has contact with people asking admission into the United States, who frequently include inadmissible
aliens, i.e., those with criminal backgrounds, smugglers, terrorists, and drug traffickers. Other contacts
include attorneys, bond company officials, law enforcement officials, private citizens, confidential
informants, and members of the media.
7. Purpose of contacts
Contacts are established for the purpose of determining admissibility to the Untied States,
providing/exchanging information, intelligence gathering, as well as for liaison and training with other
state, national and international law enforcement agencies. In addition, contacts are made for the
purpose of establishing an applicant's eligibility for benefits under the Immigration and Nationality Act.
Contacts are to elicit information in stressful or hostile situations; unearth irregular practices where efforts
have been made to hide them; identify operational problems, work out solutions, negotiate important
questions of compliance, enforcement, and smuggling practices with high level INS officials and other
knowledgeable staff members, agents of the airlines, transportation companies, and others, as well as
the traveling public, and to testify in court
R Physical demands
The position may require considerable and strenuous physical exertion such as lifting heavy objects,
crouching or crawling in hazardous/restricted areas, climbing on scaffolds and ladders to perform
inspections of ships and/or aircraft, stopping and bending to inspect vehicles, and long periods of
standing, walking, etc., and defending oneself or others against physical attack, using firearms only as

a last resort.
Positions require working long, irregular hours beyond a normal 40-hour workweek, which includes
weekends, holidays, and nights. Incumbent will be required to maintain proficiency with firearms.
Requires dealing with persons who are uncooperative, a threat to themselves and others.
9. Work environment
Works indoors in such places as offices and airport terminals, airplanes and ships; outdoors in all kinds of
weather at such places as docks, on and around ships, airports and aircraft, bridges and tunnels, and
trucks and other vehicles; all of which may require special safety precautions, e.g., caution on slippery,
moving surfaces. The incumbent is exposed to inclement weather extremes and exhaust fumes from
vehicles, trucks, and aircraft and in industrial areas, is subject to atmospheric contaminants which are
hazardous to health. Is exposed to potentially dangerous situations involving physical attack, exposure
to lethal weapons, and mob conditions.

Appendix 3-6

Sample Position Description: Carrier Consultant

I. Int[oduction: The incumbent is an immigration inspector (carrier consultant) who, under the supervision of
the Director, Carrier Consultant and Support Unit, Inspections Division, carries out temporary duty (TOY)
assignments to locations overseas as representatives of Headquarters and the Service to advise international
airline and shipping carriers. The incumbent develops standardized Service instructions and guidance for the
presentation to and use by members of the transportation industry concerning a wide range of immigrationrelated issues (including the identification of fraudulent travel documents, immigrant and nonimmigrant
requirements for travel to the United States, and fines and liquidated damages). The incumbent also acts as
the Service's primary source of technical expertise on US entry and documentary requirements, providing
guidance and assistance to field offices, the Department of State, and other US government and foreign
government agencies. The work is not limited in geographic area, but covers Inspections program issues both
within and outside the United States and has a significant effect Service and government-wide.

II. Major Duties and Responsibilities:
1. Consults with and advises the director, Carrier Consultant and Support Unit, and the assistant
commissioner, Office of Inspections, in devising overall policies, plans and procedures to be used as
guidelines by Headquarters and field office personnel in carrying out the Inspections functions of the Service.
(15%)
2. Carries out TOY assignments to locations overseas as a representative of Headquarters and the Service to
advise international airline and shipping carriers. Develops standardized Service instruction and guidance for
presentation to and use by members of the transportation industry concerning a wide range of immigrationrelated issues (including the identification of fraudulent travel documents, immigrant and nonimmigrant
requirements for travel to the United States, and fines and liquidated damages). Acts as the Service's primary
source of technical expertise on U.S. entry and documentary requirements, providing guidance and
assistance to field offices, the Department of State and other U.S. government and foreign government
agencies. The work is not limited in geographic area, but covers Inspections program issues both within and
outside the United States and has a significant effect Service and government-wide(20%)

3. Based on personal assessments made during the TOY assignments, evaluates the effectiveness of current
policies. Establishes, amends or otherwise controls Service programs, insuring Service-wide uniformity in the
application of laws, regulations and policies relating to Inspections work. Reviews operational analyses,
intelligence reports and field inspection reports in order to propose instructions and procedures regarding
document training and carrier issues. (20%)
4. Liaises with the corporate and operating component executives of major airlines and sea transportation
companies in the normal process of advising and training transportation company employees on U.S. entry
and documentary requirements, and document training issues. Routinely contacts senior personnel of
national and international organizations, such as the Air Transport Association (ATA), and the International Air
Transport Association (lATA). Conducts and addresses meetings, conferences and seminars related to U.S.
Entry and documentary requirements and training. Establishes and maintains liaison with foreign government
personnel at embassies and consulates in the United States, and with foreign immigration officials at the
Headquarters level. (20%)
5. Acts independently as the Service and Headquarters representative, consultant and advisor to members at
all levels of the international airline and shipping industries in matters concerning a wide range of immigration
related issues such as: the identification of fraudulent travel documents, immigrant and nonimmigrant
requirements for travel to the United States, and fines and liquidated damages provided for under the
Immigration and Nationality Act. Serves as the Inspections program expert on issues relating to documentary
requirements for admission to the United States relating to the airline and shipping industry, specifically,
insuring the proper and consistent application of all applicable laws, regulations, guidelines, etc., and provides
clear guidance to INS operational staff (both at Headquarters and in field offices) and the transportation
industry. (15%)
III. Factor Level Descriptions:

1. Knowledge required by position:
Extensive knowledge and comprehensive understanding of: the Service's and other agency laws,
regulations, precedent decisions, policies and procedures applicable to the admission and exclusion of
individuals desiring to enter the United States; the identification of fraudulent travel documents,
immigrant and nonimmigrant requirements for travel to the United States, and fines and liquidated
damages provided for under the Immigration and Nationality Act.
Extensive knowledge and skill in designing, developing and delivering instructional programs and
guidance. Must identify end users (commercial airline or shipping carrier personnel) needs and
specifically address these needs with effective instructional and guidance programs. Extensive
knOWledge and skill in establishing and maintaining liaison.

Extensive knowledge and skill in the collection and analysis of information. Knowledge of, experience in,
and total familiarity with a variety of sources of information such as automated data bases (Interagency
Border Inspections System- IBIS, National Crime Information System-NCIC, etc.) And numerous
intelligence sources.
Comprehensive knowledge of trends, profiles and methods of drug and alien smuggling, terrorism,
document fraud and other sensitive national security issues. Extensive knowledge of political, social
and economic factors, both domestic and international in scope, which may affect attempts to enter the
United States illegally.
The position also requires training skills, good interpersonal skills and the ability to interact with
individuals in varying and unfamiliar environments and stressful situations.
2. Supervisory Controls:
The incumbent is under the supervision of the director, Carrier Consultant and Support Unit, Office of
Inspections, Washington, DC. The incumbent works independently in planning and executing
Inspections programs to accomplish broadly defined Service objectives.
The incumbent carries through normal program work on his own initiative with the supervisor available for
guidance. Completed work is evaluated in light of results achieved, initiative displayed and judgment
exercised, rather than by direct review.
3. Guidelines:
Written guidelines include: the Immigration and Nationality Act; the Code of Federal Regulations; the
Administrative Manual, various field manuals; judicial and administrative decisions; and other policy
memoranda. The incumbent uses sound judgment, based on extensive experience and knowledge, in
interpreting and applying laws, regulations and procedures to sensitive, complex situations. The
incumbent works with limited oversight, both in the United States and overseas, and uses independent
jUdgment to recommend and revise guidelines for the program.
4. Complexity:
The incumbent carries out TOY assignments to locations overseas as the representative of Headquarters
and the Service to advise international airline and shipping carrriers. The incumbent develops the
standardized Service instruction and guidance for the presentation to and use by members of hte
transportation industry concerning a wide range of immigration-related issues (including the
identification of fraudulent travel documents, immigrant and nonimmigrant requirements for travel to

the United States, and fines and liquidated damages.
The incumbent acts as the Service's primary source of technical expertise on U.S. entry and documentary
requirements, providing gUidance and assistance to field offices, the Department of State and other
U.S. government and foreign government agencies. The work is not limited in geographic area, but
covers Inspections program issues both within and outside the United States and has a significant
effect Service and government-wide.
5. Scope and Effect:
The incumbent is the Inspections program expert on issues relating to documentary requirements for
admission to the United States relating to hte airline and shipping industry, insuring the proper and
consistent application of all applicable laws, regulations, guidelines, etc. The incumbent insures that all
written materials such as NAILS handbooks, carrier training guides, inspectional aids, document
reference material, etc. provide clear guidance to INS operatonal staff (both in Headquarters and in
field offices) and the transportation industry.
6. Personal Contacts:
The incumbent maintains contact with the corporate and operating component executives of major
airlines and sea transportation companies. The incumbent routinely contacts training program
managers of national and international organizations such as ATA and lATA. The incumbent
addresses meetings, conferences and seminars realted to U.S. entry and documentary requirements
and training, and assists airline personnel in the United States and overseas.
The incumbent maintains liaison with the Department of State, Customs Service, Department of
Transportation aand other Federal Government agencies at the Headqaurters level. The incumbent
also maintians liaison with foreign government personnel at embassies and consulates in the United
States, and with foreign immigration officials.
7. Purpose of Contacts:
The contacts are mainained so the incumbent can accomplish the goals of the Inspections Program and
enforce the appropriate sections of the Immigration and Nationality Act. These contacts enable the
normal process of advising and training transportation company employees on U.S. entry and
documentary requirements and document training issues to ensure carrier compliance with statute and
regulation.
- This requries extensive kowledge and comprehensive understnading of: the Sevice's and other agency
laws, regulations, precedent decisions, policies and procedures applicable to the admission and

exclusion of individuals desiring to enter the United States; the identification of fraudulent travel documents,
immigrant and nonimmigrant requirements for travel to the United States, and fines and liquidated
damages provided for under the Immigration and Nationality Act.
8. Physical Demands:
The position requires light to moderate physical exertion involving long periods of stnading and walking.
Extended work hours, travel, the need to adjust to various time zones, and the lifting and carrying of
training materials and equipment may be required.
9. Work Environment:
Work is performed in the Headquarters office and at selected domestic and overseas locations, such as
airports. Work is primarily performed indoors. The incumbent may be exposed to a variety of work
settigns due to overseas assignments. Assignments may take the incumbent to areas involving
extreme climates and hazardous health conditions. As a U.S. Government representative, the
incumbent may be at risk in certain overseas locations.
IV. Other Factors:
The position requires experience as an immigration inspector, access to classified materials, and involves
extensive domestic and overseas travel.

Appendix 3-7

Sample Position Description: Senior Immigration
Inspector

!.Introduction: This position is located at a high risk port-of-entry, where the incumbent serves as the senior
immigration inspector responsible for the enforcement of the Immigration and Nationality Act and other
criminal statutes by identifying, investigating, apprehending, and prosecuting persons who are attempting
illegal entry into the United States. The incumbent gives directions and guidance to other employees when
they are assigned to this activity.
II. Major Duties and Responsibilities:
1. At the port-of-entry the incumbent continues the questioning of individuals suspected by primary and
secondary officers of being involved with organized smuggling of aliens, terrorism, drug smuggling, and
document fraud. The incumbent interrogates these persons in situations where further useful information
could be extracted, such as: vendor source, route, smugglers names, etc. The incumbent conducts
investigations of these cases and, in appropriate situations, presents the facts to the U.S. Attorney for
determination of cases for
criminal prosecution in the federal courts. These investigations include reviewing evidence and
documentation, preparing criminal complaints, arranging for forensic examination, requesting records and
certification from other agencies and taking testimony from defendants and witnesses. (Combined with 2,
60%)
2. The incumbent presents all evidence to the representative of the U.S. Attorney's Office. Represents the
Service at judicial hearings for criminal prosecution in Federal grand jury indictments, bond determination
hearings, pre-trial hearings, trials and sentencing. Makes recommendations to the U.S. magistrate for bond
determination hearings and to Federal probation officers as part of the pre-sentencing report. (Combined with
1,60%)
3. The incumbent reviews and recommends local policy and procedures needed to collect and disseminate
effective intelligence data and information. Makes recommendations to the port director regarding changes to

policies and procedures. Reviews local records of attempted illegal entries and organizes information into
various reports, charts and displays. Establishes and maintains liaison with appropriate officials in foreign
government agencies, Department of State, Customs and other U.S. Government agencies, as well as other
INS officials for the purpose of exchanging information and developing avenues for obtaining law enforcement
assistance from these agencies in the future. (10%)
4. Develops and conduct training for all officers at the port-of-entry in terrorism, drug smuggling, and
document fraud. Ensures that training is provided for all temporary employees. Oversees post-academy
training courses for permanent employees, administers testing required under the program and provides other
related training during the probationary year. Closely monitors training needs of the employees according to
the type of work performed, cases encountered and officer expertise. Develops courses/classes to answer
those needs, using the resources available. (10%)
5. Responsible for reviewing all motor vehicle seizure documents to the port-of-entry to determine if the
conveyance is subject to seizure for a violation of 8 U.S.C. 1324(b) an din accordance with Service
guidelines. Conducts interviews with registered owners, attorneys and lien holders to clarify seizure and
condemnation procedures, to notify interested parties/ concerns that the vehicle has been seized, and to
provide information on appeal rights and procedures. The purpose of the interviews is to obtain facts and
evidence surrounding the violation. The information obtained during the interview is used in determining
whether the condemnation procedures should be continued, and in determining if the individuals are illegal
aliens or are involved in smuggling. Prepares reports and documents pertaining to the apprehension and
interrogation of the alien, and final disposition of the case. The incumbent accepts claim and cost bonds which
are forwarded to the U.S. Attorney for civil condemnation proceedings. Reports forfeited vehicles ready for
sale to GSA, coordinates viewing of the vehicles by the public, releases the vehicle to the purchaser after
sale, and maintains inventory of vehicles and property, inclUding appraisal of value. Receives and accounts
for monies received and maintains data and prepares reports regarding the vehicle seizure program. (15%)

6. Performs other law enforcement, inspections, and investigative duties as assigned. (5%)
III. Supervision and Guidance Received:

The incumbent works under the general supervision of the assistant port director or other port supervisory
personnel, who relies on the incumbent to operate with a high degree of independence. Work is appraised by
reviewing completed reports and presentations for adequacy, completeness, adherence to governing laws,
regulations and policies, and overall accomplishment of objectives. Written guidelines include the Immigration
and Nationality Act and regulations, INS Administrative Manual, Service Lookout Book, field manuals,
precedent decisions, and other policy materials. The incumbent exercises sound judgment in interpreting the
law and in enforcing it.

Appendix 3-8

Sample Position Description: Inspections Assistant

I. Introduction: This position is in the Inspections Program, located at the
port-of-entry. The
incumbent works under the supervision of a supervisory immigration inspector and is responsible for
performing a variety of administrative, technical, and clerical tasks in support of the Inspections program at
ports-of-entry within the district.
II. Major Duties and Responsibilities:
1. Completes operational and administrative duties, including but not limited to: filling out entry documents for
aliens; assisting with immigrant visa processing (i.e., taking photographs and fingerprints for alien registration
cards, separating medical forms and mailing them to the Public Health Service, logging visas and mailing
them to the Texas Service Center); assisting with border crossing card application processing (Le., setting up
appointments, advising applicants of documentary requirements, reviewing applications for completeness,
filing adjudicated applications, logging cards received from the Texas Service Center, and distributing cards to
applicants); giving or mailing forms to applicants for admission after completion by an inspector; tracking
applications and actions; and clerical preparation.
2. Conducts searches on INS records, indices, and automated systems (i.e. Interagency Border Inspection
System, National Automated Immigration Lookout System, etc.), and, as necessary, the indices of other
Federal, state, and loca/law enforcement or civil agencies, in connection with the adjudication of INS
applications for benefits or privileges relating to admissibility to the United States, or for records relating to
particular persons identified as, or believed to be, aliens or violators of the immigration laws of the United
States, Such information includes, but is not limited to, criminal records, entry records, and immigration status
of applicants for admission.
3, Collects fees for applications and services provided at the port. Examines cash, money orders, and checks
for authenticity and negotiability based on available guidelines, taking appropriate action (i.e., notifying
supervisor, calling the regional administrative center, etc.) on suspected counterfeit items. Insures amounts
remitted are correct for applications, petitions, permits, or services presented or requested. Prepares and

issues receipts. Verifies the accuracy of information on fee registers against actual fees received, reconciles
shortages or overages, and balances total transactions. Safeguards cash and other negotiable. Prepares and
forwards daily, weekly, and monthly reports to regional office and Headquarters.
4. Assists the inspector or supervisor in the execution of functions, including collecting, compiling, and
maintaining data on program activities. Assists is preparing a variety of correspondence, forms, charts,
graphs, and statistical and narrative reports.
5. Conducts research to provide information on routine inquiries from the public concerning basic immigration
law and regulations.
6. Answers telephonic and in-person inquiries for information and forms. Encounters individuals sent to
secondary, performing as first point of contact, referring individuals to the proper location or person.
7. Provides administrative support in the inventory and control of port-of-entry property, including but not
limited to: vehicles, forms, case files, secure documents, firearms and ammunition, radios, audio-visual
equipment, and office machines. Advises the port director, through supervisory channels, of the general
condition of such property and the need for maintenance or repair, and, upon authorization, arranges for
these actions. Collects and collates monthly inventory logs and usage reports relating to the port vehicles and
equipment.
8. Performs other duties as assigned.
III. Factor Level Descriptions:
1. KnOWledge required by the position:
KnOWledge of the Immigration and Nationality Act as it relates to the instructions and requirements of the
numerous forms used for immigration benefits and enforcement actions at ports-of-entry. Thorough
knOWledge of operational procedures such as immigrant visa processing, photo specifications and
numbers, number of forms needed, required documentation, etc. This includes in-depth knowledge of
general Service processing procedures (i.e., the mailing of certain applications and/or petitions to
service centers, etc.).
Knowledge of Service and Departmental regulations and procedures associated with fees (accountability,
collections, receipts, registers, etc.).
KnOWledge of INS records, (A-files, etc.), indices, and automated systems, and the records, indices and
automated systems of other Federal, state, and local law enforcement or civil agencies.

Knowledge of equipment of material resources (i.e., computers, vehicles, office equipment, firearms,
uniforms, etc.) and applicable inventory procedures.
Knowledge of Performance Analysis System, the Service's workload reporting system.
Skill in the use of personal computers, including familiarity with the standard keyboard.
Skill in English grammar usage, spelling, punctuation, and report formats, so as to prepare draft
responses to inquiries, complaints, and reports.
Skill in verbal and written communications, including excellent telephone protocol and techniques.
Skills in detecting counterfeit currency, determining negotiability of items presented, and explaining
regulations and/or requirements regarding fees. These skills are used under circumstances involving
language barriers and pressures from people who have been waiting for periods of time.
2. Supervisory controls:
Receives general supervision from a supervisory immigration inspector. Work is checked for overall
accomplishment of objectives, completeness and adherence to governing laws, regulations, and
policies. Completes recurring tasks and responsibilities by performing all necessary actions on own
initiative.
3. Guidelines:
Guidelines include the Immigration and Nationality Act, regulations, field manuals, the Administrative
Manual, precedent decisions, the Handbook for Accountability of Funds, operational manuals for
various automated systems (IBIS, NAILS, etc.), and the ADIT processing manual. Incumbent uses own
initiative to secure additional guidance and seeks assistance from supervisor only when necessary.
4. Complexity:
Performs the full range of administrative, technical, and clerical duties in support of the Inspections
Program, using judgment and initiative coupled with knowledge of responsibilities, priorities, and
commitments of the program to decide the applicable alternatives for any given task. Recognizes a
wide variety of documentation necessary for a properly submitted, complete application or petition.
Searches records and automated systems as necessary. Cases can be complex (e.g., multiple
aliases). Explains immigration law provisions, fee requirements, and procedures to applicants,
attorneys, foreign officials, and Federal, state, and local law enforcement personnel.
5. Scope and effect:

Provides technical, administrative and clerical support for the Inspections Program. Ensures that work is
accomplished in a timely and efficient manner in accordance with established guidelines, thus freeing
inspectors to concentrate in officer-level primary and secondary inspection program responsibilities.
6. Personal contacts:
Personal and telephone contacts are routine. Contacts include governmental, law enforcement and court
officials at the Federal, state, and local levels, foreign authorities including consular officials, attorneys,
representatives of educational institutions, and members of the general public.
7. Purpose of contacts:
Purpose of contacts is to dispense and solicit information, and conduct liaison to assist with work on
applications and petitions, reports, correspondence, inventories searches, inquiries, complaints, fees,
document generation (e.g., 1-94s, INSPASS and EAD cards, etc.) and immigrant visa processing.
8. Physical demands:
Work is performed at one or more of the following sites: land, sea, or air ports-of-entry. While most work is
performed indoors, outside work in varying weather conditions can occur. Periodic travel may be
necessary, either local or long distance. Lifting of moderately heavy or bulky objects (e.g., personal
computers, boxes, or forms) may be required. Shift work, including work on Saturdays, Sundays, and
holidays may occur. Entering large amounts of data into computers is required.
9. Work environment:
Work is performed in an office setting at one or more of the following sites: land, sea, or air ports-of-entry.
While most work is performed indoors, outside work in varying weather conditions can occur.
IV. Other Important Factors:
Incumbent must possess a valid state driver's license at time of appointment, and the ability to operate
automobiles, vans, or light trucks.
A specific language ability may be required, depending on the location of the position.
Periodic travel may be required within the district. Travel may also be required to receive training.

Appendix 3-9

Sample Position Description: Free Trade Examiner

I. Introduction: This position is located at ports-of-entry. Under the supervision of a supervisory immigration
inspector or higher graded officer, the incumbent is primarily responsible for the examination of North
American Free Trade Agreement applications for benefits and privileges. The incumbent also serves as an
examiner for the port, handling a broad range of applications for immigration benefits, assigned and remoted
from the district office or a service center. In addition, as time permits, the incumbent performs primary and
secondary inspection of persons applying for admission into the United States and determines their
admissibility under the Immigration and Nationality Act and related statutes.
II. Major Duties and Responsibilities:

1. The incumbent examines applications and petitions for benefits under the provisions of the North American
Free Trade Agreement (NAFTA). Examination of these applications requires an excellent knowledge of the
United States immigration laws, regulations, and procedures. The examiner must use good judgment in
applying laws, regulations, and procedures to cases not covered by the guidelines. Frequently, the incumbent
must research administrative decisions to identify cases with similar circumstances. Because NAFTA contains
a special "professional" classification, unique to entries under the agreement, the incumbent will decide many
issues of first impression: i.e., where no precedents or case law exists. Examination involves review of
applications, supporting documents (birth certificates, marriage certificates, court papers, degrees, diplomas,
etc.), and official files. In-depth interviews and investigations are periodically required in order to verify
information presented by applicants. Frequently, applications involve sensitive situations which could affect
the relations between the United States and Canada or Mexico.
2. Trains all personnel under port-of-entry jurisdiction in the provisions of NAFTA as they relate to the
inspection of Canadian and Mexican business visitors and professionals.
3. As time permits, incumbent assists in coordinating adjudications activities at the port-of-entry. The
incumbent also examines applications for immigration privileges and benefits. Applications require intensive
inquiry into facts, laws, and precedents and use of seasoned jUdgment to resolve complex and sensitive

issues. Uses intensive knowledge of immigration laws and sound judgment in applying regulations and
precedents to areas not clearly covered or cases presenting conflicting principles. Conclusions and decisions
frequently have an important impact on the applicants involved. Decisions can often set precedents for
immigration policy and administration. Some of the kinds of applications which regularly involve this degree of
knowledge and judgment include:
Visa petitions for professional or skilled workers to reside and work in the United States.
Visa petitions to bring persons of distinguished merit and ability to the United States to work temporarily
(e.g. accomplished performers, artists, actors, musicians, etc.).
Applications for permission to reapply for entry to the United States after deportation.
4. As time permits, the incumbent inspects all classes of applicants for admission to the United States. The
incumbent quickly determines whether applicants can be admitted without in-depth questioning based on brief
questioning and observation of the applicants. When a detailed examination is required, the incumbent refers
the subjects for secondary inspection. Incumbent also conducts secondary inspections of applicants on a
periodic basis; this usually involves intensive questioning of the applicants and careful study of citizenship,
travel and other documents. Incumbent conducts inspection at airports, seaports and land borders. Under
authority of responsible agencies, conducts inspection of arriving persons for the Department of Agriculture
and Customs Service; unusual cases are referred to the appropriate agency.
III. Supervision and Guidance Received:
The incumbent works under the general supervision of a supervisory immigration inspector or higher graded
officer who assigns priorities, projects and responsibilities. The incumbent independently plans and caries out
the work, coordinates with others, determines the approach and methodology to be used, resolves problems
and conflicts that occur, and keeps the supervisor informed of potentially controversial issues and precedentsetting situations. Review is made for adherence to policies and attainment of objectives.

Appendix 3-10
Sample Position Description: Assistant Chief
Inspector
I. Introduction: Under the general direction of the chief inspector or other supervisory official in a region or
Headquarters, the incumbent assists in all phases of the Inspections Program management, either in
providing technical guidance to field employees or in developing and implementing new program initiatives.
II. Major Duties and Responsibilities:
1. Consults with and advises superiors in devising overall policies, plans and procedures to be used as
guidelines by staff members at Headquarters, regional and field offices in carrying out the Inspections
functions of the Service. Assists superiors with respect to all phases of work, including development of long
range plans, goals and Service priorities.
2. Analyzes proposed legislation to determine probable effect on inspection functions and programs and
recommends whether the Service should support or oppose such legislation. Conducts special studies of
newly enacted legislation pertaining to Inspections and in the absence of established precedents,
recommends policy decisions which will interpret the intent of Congress. In this regard, the incumbent further
proposes changes or additions to the Code of Federal Regulations, field manuals and other policy guidance
for officers in the field.
3. Establishes, amends or otherwise controls Service programs insuring Service wide uniformity in the
application of laws, regulations and policies relating to inspectional work in general and to specific application
of those guidelines in situations where they must be adapted to local conditions. Reviews operational
analyses, intelligence reports and field inspection reports and on the basis of analysis thereon makes field
trips and holds conferences with regional officials to discover where problems exist before proposing
instructions and procedures for resolving them.
4. Works closely with staff members of the Service organizational units in developing procedures, and assists
in determining policy governing interrelated functions,

5. Represents Department of Justice and Service on interagency committees in consideration of national
policy or internal security problems related to the entry or exit of persons. In this connection, maintains close
liaison with the Department of Justice, the Department of State and basic defense and other agencies. In
such matters, must insure that Service policy is fully coordinated and presented to the other agencies
involved. Must insure Service implementation of national policy and criteria approved by the National Security
Council and initiate appropriate instructions to the field.
6. Answers questions from field offices, other Headquarters organizational components, other federal, state
and local officials, foreign officials, and the general public concerning the application of laws, regulations and
policies relating to the Inspections program in general and to specific application of guidelines in situations
where they must be adapted or interpreted for specific situations.

III. Supervision and Guidance Received:
Works under the general supervision of a chief immigration inspector or other supervisory official. Normally,
daily assignments are carried out independently, with the supervisory official available for guidance.
Performance is evaluated in relation to results achieved, initiative displayed and judgment exercised.
IV. Other Related Factors.
The incumbent must be able to make decisions based upon a thorough knowledge of the immigration laws,
legislative history of laws, the intent of Congress and national policy. He/she must be able to interpret these
laws for others through the preparation of regulations, policy guidance and interagency conferences. In
addition to contacts with Service employees and officials at all levels, incumbent must maintain frequent
contact and close liaison with officials of the Department of Justice, Department of State, Department of
Treasury, Department of Defense and other agencies concerned with the national security and other issues of
mutual concern.

Appendix 14-1

Data Collection Manual Update

Note: The Service publication 1-551 or 1-586 Card Data Collection Manual, Form M-226 (rev. October, 1987)
remains the primary source of information concerning ADIT processing and all procedures relating to the
Immigration Card Facility. The facility will be phased out and card production shifted to the Service Centers as
new card technology is adopted. This appendix is intended as an interim update to the M-226, valid ICF
procedures are completely transitioned to newer technology.
The original manual is not reproduced within INSERTS, but may be obtained from the ICF or reproduced
locally.
The following materials are revised:
1.

In Section 5, Fingerprinting, the use of the "Perfect Print" fingerprinting process is preferred to Porelon
pads or Printmaster equipment.

2.

The nationality code table on pages 7-21 to 7-31 is replaced by the Statistics Handbook, Statistical
Codes Section, Country/Nationality Codes

3.

The immigranVadjustment code table contained in Appendix 7-37 through 7-71 are replaced by the
Statistics Handbook, Statistical Codes Section, Class of Admission Codes

Exchange Visitor's Skills Listing

TABLE OF CONTENTS
Chapter 1.
Chapter

~.

Chapter 3.

Summary
Skills Listing
Country Listing

Chapter 1.

Summary

DATE PUBLISHED:

January 16, 1997

FEDERAL REGISTER CITE:

62 FR 2448
UNITED STATES INFORMATION AGENCY
Revised Exchange-Visitor Skills List

SUMMARY: The Exchange-Visitor Skills List which follows incorporates all previous reVISions and
amendments still in effect, and has been developed after consultation with foreign governments.
DATES: In order to provide time for the dissemination of this list to Foreign Service posts abroad and to
interested persons and organizations in the United States, the following Exchange-Visitor Skills List shall
become effective Ma rch 17, 1997.
FOR FURTHER INFORMATION CONTACT: Stanley S. Colvin or William G. Ohlhausen, Assistant General
Counsels, United States Information Agency, Suite 700, 301-4th Street, SW., Washington, DC 20547.
Telephone 202-619-6829.
SUPPLEMENTARY INFORMATION: Pursuant to the provisions of section 212(e) of the Immigration and
Nationality Act, as amended (8 U.S.C. 1182(e), and 22 CFR 41.65(b), The Secretary of State designated on
April 25, 1972, and revised on February 10, 1978, a list of fields of specialized knowledge or skills (referred to
as the Exchange-Visitor Skills List) and those countries which clearly required the services of persons
engaged in one or more of such fields. Any alien who was a national or resident of one of those countries and
obtained an exchange-visitor visa and/or became a participant in an Exchange-Visitor Program involving a
designated field of specialized knowledge or skill after the effective date of those public notices was subject to
the two-year foreign residence (home-country physical presence) requirement of section 212(e) of said
Immigration and Nationality Act as provided by said section and 22 CFR 41.65(b).
Pursuant to the provisions of Reorganization Plan NO.2 of 1977, section 217 of the United States

Information Agency Authorization Act of August 24, 1982 (Pub.L. 97-241) and Executive Orders Nos.
12038 of March 27, 1978 and 12388 of October 14, 1982, the Director, United States Information Agency,
further revised the 1972 Exchange-Visitor Skills List on: September 30, 1986; February 5, 1987; March 19,
1987; April 1, 1987; December 16, 1988 and on
July 28, 1993.
Exchange visitors who entered the country prior to said effective date shall continue to be governed by
the 1972 Exchange-Visitor Skills List, as amended. The Skills Lists have been developed after consultation
with foreign governments, USIA area offices, USIS posts abroad, and with the assistance of foreign services
officers assigned to USIA's Office of the General Counsel,
Waiver Branch, Exchange Visitor Program Services.
January 7, 1997
Dated:

Les Jin,

Signed

Chapter 2.

Skills Listing

The Revised Exchange Visitor Skills List appears as follows:
Revised Skills (Master)

Group (3).
Group (4).
Group (5).
Group (6).
Group (7).
GrouP (8).
Group (9).
Group (10),

Fields in the Administration of Public or Public-Oriented Affairs.
Fields in the Medical Profession.
Fields in Computer Science and Related Professions.
Fields in Engineering and Related Professions.
Fields in the Natural Sciences and Mathematics.
Fields in the Social Sciences.
Fields in the Study and Practice of Education.
Fields in Communication, Transport and Construction Professions and Skills.
Fields in Business.
Fields of Library Science.

Group (1).

Fields in the Administration of Public or Public-Oriented Affairs:

GLQu-P-(1t
G[o_uP-C~L

1A.

Public Administration (including, but not limited to: City Planning,
Urban Studies/Planning, Urban Transportation, and Public Health)

1B.

Public Social Administration (including, but not limited to: Welfare,
Dietetics, Nutrition, Family Planning and Public Health)

1C.

Public Social Services

10.

Sanitation

1E.

Drug Abuse and Narcotics Control

1F.

International Health

1G.

Tourism and Travel

1H.

Law Enforcement and Corrections (including, but not limited to the
Administration of Justice)

11.

Parks and Recreation Management (including, but not limited to
Wildlife Management)

1J.

Primary School Administration

1K.

Secondary School Administration

1L.

College, University and Higher Education Administration

1M.

Technical or Vocational School Administration

1N.

Hospital Administration

10.

Labor Union Administration

Group (2).
2A.

Fields in the Medical Profession:
General Practice of Medicine (including Osteopaths who also practice
Medicine)

28.

Recognized Medical Specializations (including, but not limited to:
Anesthesiology, Audiology, Cardiography, Cardiology, Dermatology,
Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery,
Obstetrics and Gynecology, Oncology, Ophthalmology, Orthopedic
Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology,
Plastic Surgery, Preventive Medicine, Proctology, Psychiatry and
Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery,
Thoracic Surgery, Toxicology, Urology and Virology)

2C.

Veterinary Medicine

20.

Emergency Medicine

2E.

Nuclear Medicine

2F.

Geriatrics

2G.

Nursing (including, but not limited to registered nurses, practical
nurses, physician's receptionists and medical records clerks)

2H.

Medical Instruments and Technology

21.

Dentistry

2J.

Dental Technology

2K.

Optometry

2L.

Chiropractic and Osteopathy (not including Osteopathic Physicians
who also practice Medicine)

2M.

Medical Cybernetics

2N.

All Therapies, Prosthetics and Healing (except Medicine, Osteopathy
or Osteopathic Medicine, Nursing, Dentistry, Chiropractic and
Optometry)

20.

Medical Statistics and Documentation

2P.

Cancer Research

20.

Medical Photography

2R.

Environmental Health

2S.

Medical Research

Group (3).

Fields in Computer Science and Related Professions:

3A.

Computer Science

38.

Information Science and Systems Analysis

3C.

Data Processing (including, but not limited to the use of data in
analyzing census financial planning and feasibility studies)

3D.

Computer Programming

3E.

Computer Maintenance Technologies

Group (4).

Fields in Engineering and Related Professions:

A.

Aerospace Engineering

4B.

Cartography

4C.

Chemical Engineering

4D.

Civil Engineering (including Airport Engineering)

4E.

Communication Engineering

4F.

Computer Engineering and Technologies

4G.

Electrical Engineering

4H.

Electronic Engineering (including Radio Engineering)

41.

Energy Engineering and Technology (but not including Petroleum and
Natural Gas Engineering and Technology)

4J.

Genetic and Biomedical Engineering

4K.

Industrial Engineering

4L.

Marine and Aeronautical Engineering and Technology (including, but
not limited to: Marine and Flight Engineers)

4M.

Materials Engineering and Sciences (including, but not limited to:
textiles, plastics, wood, paper and metal, but not including Metal
Fabrication)

4N.

Mechanical Engineering (including, but not limited to: systems, safety
and production engineers, and including Automatic Data Processing)

Group (5).

40.

Mining and Lumbering Engineering and Technology

4P.

Navigation and Transportation Engineering

40.

Optical Engineering (including, but not limited to light and sound
technology)

4R.

Petroleum and Natural Gas Engineering and Technology

4S.

Printing and Photographic Engineering and Technology

4T.

Surveying (including Oceanography)

4U.

Agricultural Engineering

4V.

Nuclear Engineering

4W.

Natural Resource Management Engineering (including but not Limited
to Water Resource Management)

4X.

Environmental Engineering

Fields in the Natural Sciences and Mathematics:

5A.

Chemistry (including all branches and specialties in Chemistry, except
in Pharmacy and Chemical Engineering)

5B.

Life Sciences (inclUding, but not limited to Pharmacy and Biology)

5C.

Study of Drugs and Allied Sciences

50.

Optics and Physics (including physical chemists, metallurgists and all
branches and specialties in Physics)

5E.

Genetics

5F.

Mathematics

5G.

Laboratory Technology (including, but not limited to physical and
chemistry laboratory technicians)

5H.

Metal Fabrication (including, but not limited to skilled metal crafts
workers)

51.

Atmospheric-Hydrospheric Sciences (including but not limited to
Marine Science, Meteorology and Oceanography)

5J.

Astronomy and Space Technology

5K.

Repair and Maintenance Technology

5L.

Agriculture and Agronomy (including, but not limited to veterinarians,
plant pathologists, poultry and dairy scientists, animal husbandry and
animal nutrition)

5M.

Food Science and Technology

5N.

Zoology (including Animal Behavior and Physiology)

50.

Forestry

5P.

Fisheries (or other Marine Products)

5Q.

Geology (including all branches and specialties, e.g. Oceanology, and
all branches of Applied Geology including geophysicists and
geochemists)

5R.

Hydrology (including, but not limited to Water Pollution)

5S.

Ecology and Environmental Protection (including Conservation)

5T.

Desalinization

5U.

Population Studies

5V.

Botany

5W.

Entomology

Group (6).

Fields in the Social Sciences:

6A.

Sociology (except Economics and including Criminology)

6B.

Psychology (including, but not limited to
Psychology and Psychobiology)

6C.

History (including Art History)

60.

Philosophy (including Humanities)

6E.

Anthropology and Archaeology

Psychometrics, Child

6F.

Demography

6G.

Government and Politics (including, but not limited to International
Relations)

6H.

Economics

61.

Literature

6J.

Instructional Media and Technology

6K.

Fine Arts (including, but not limited to Music, Theater, Sculpture,
Motion Picture Arts and Sciences, and Photography)

6L.

Estate Management

6M.

linguistics

6N.

Law (including Judicature and all branches and specialties in the
practice of Law, except in Law Enforcement)

60.

Theology

6P.

Cultural Diversity (including, but not limited to Women's, Minority,
Ethnic and Area Studies)

60.

Fashion and Textile Design

6R.

Graphic Design

6S.

Geography

6T.

Home Economics

6U.

Language Studies

Group (7).

Fields in the Study and Practice of Education:

7A.

Teaching and Religious Education

7B.

Educational Testing, Evaluation and Measurement

7C.

Primary School Teaching (including, but not limited to Nursery
Schools and Kindergartens)

70.

Secondary School Teaching (including, but not limited to Remedial
Teaching and Teaching of English as a Foreign Language)

7E.

Vocational and Technical School Teaching

7F.

College and University Teaching in Natural Sciences, Mathematics,
Engineering and Technology (except Agriculture)

7G.

College and University Teaching of Social Sciences, Liberal Arts and
Literature (including Foreign Language Education)

7H.

College and University Teaching of Education

71.

College and University Teaching of Business

7J.

Agricultural School Teaching

7K.

Education of the Physically Handicapped (including Education of the
Mentally Retarded and Emotionally Disturbed)

7L.

Education of Exceptional Children

7M.

Physical Education and Recreation (including, but not limited to
Coaching)

7N.

Teaching in Medical Schools (including, but not limited to lecturers)

70.

Teaching in Law Schools (including, but not limited to lecturers)

7P.

Career Guidance and Counseling

70.

Camp Counselor

7R.

Educational Technology (Instructional Systems Technology)

7S.

Educational Psychology

7T.

Curriculum Planning

Group (8).

Fields in Communication, Transport and Construction Professions and Skills:

8A.

Journalism (including, but not limited to editors and reporters, and
including text-book writers, interpreters and translators)

8B.

Communication Media (including Television and Film)

8C.

Electrical Communication Technology

80.

Radio Operation

8E.

Airplane Piloting (including, but not limited to Airline Piloting)

8F.

Merchant Marine

8G.

Architecture (including Marine Architecture)

8H.

Construction (including but not limited to builders, but not including
skilled and unskilled laborers)

81.

Construction-Project Management

8J.

Drafting

8K.

Skilled Operation of Construction Machines

8L.

Telecommunications

Group (9).

Fields in Business:

9A.

Industrial and Business Administration and Management (including,
but not limited to: programmers and Project Evaluation, Business,
Total Quality Management)

9B.

International Business and Commerce

9C.

Industrial Organization

90.

Labor and Industrial Relations

9E.

Economic Development and Planning (including Rural Development)

9F.

Economic Information
Management Studies)

9G.

Accounting

9H.

Cybernetic Technology

91.

Statistics

9J.

Insurance (including Actuaries)

9K.

Administration of Financial Institutions (including, but not limited to
Savings and Loan Organizations and Credit Unions)

9L.

Financial Planning

9M.

Operations Research

9N.

Banking

90.

Farm Management and Administration

9P.

Hotel and Motel Management

9R.

Marketing

9S.

Finance

Analysis

(including,

but

not

limited

to

Group (10).

Fields of Library Science:

10A.

Library Science (including, but not limited to Electronic Data Storage
and Retrieval)

Chapter 3.

Country Listing

Afghanistan
Albania
Algeri<.\
Argentina
Azerbaijan
Bahamas
Bangladesh
Benin
Bolivia
Botswana
Brazil
B IJrkin Cl-Fas Q
61lJma (see MyaJ'l111ar)
Burundi
Cameroon
Cape Verde
Central African Republic
Chad
Chile
People's Republic Of China
Colombia
Costa Rica
Cote d'ivoire (formerlyJvoryCoast)
Croatia
CYJ)[!Js
Czech_B~p~bJi~
D_Qmlni~a~ RepUblic

EG1Iador

EI$aIYador:
Equatori alGuinea
Ethion-ia
Fiji
G~IJQn

Gjlm_bi(l
Ghana
Guatemala
Guinea
Guinea-Bissau
Guyana
Haiti
Honduras
Hungary
India
Indonesia
Ivory Coast (see Cote d'ivoire)
Jamaica
JQrd~n

Kenya
Kon~a

K_uw_ait
L..aos
lel:LallQH
Lesotho
Liberia
Macedonia
Madag(lscar
Malawi
Malaysia
Mali
Malta
Mauritania
Mauritius
Morocco

MYjlmmu
Netta l

NiCl3 ra gul3
Niger
Ni~rJa

Oman
Pakistan
Pa_nama
P~PlJaNJ~w ~_uin~l3

Pl3 ra guay
Peru
Philippines
Poland
Qatar
Romanja
Rwanda
Saudi Arabia
Senegal
Sierra Leone
Singapore
Somalia
Sri Lank.'.l(i~cludjn9-MClLdiY~sJ
Susian
Swa4iJ~nd

Janzania
Thailand
Togo
Tonga
Trinidl3d and Tobago
Tunisia
Turkey
Uganda
Unit~dArabE:mi rates
Upp~rVolta (see13urk.in a Easo)
Uruguay
Venezuela
WestemSamoa
Yemen
Zaire

Zambia
Zimbe:tpwe

Afghanistan

(the Skills List For Afghanistan Is Currently Suspended)

Albania

Group (1)
All fields listed in part I.
Group (2)
All fields listed in part I.
Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
All fields listed in part I.
Group (6)
All fields listed in part I.
Group (7)
All fields listed in part I.
Group (8)
All fields listed in part I.

Group (9)
All fields listed in part I.
Group (10)
All fields listed in part I.

Algeria

Group (1 )
All fields listed in part I.
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to:Anesthesiology, AUdiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology
2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)

Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
All fields listed in part I.
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Child Psychology, Psychometrics and Psychobiology)
6H.

Economics

Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (including Foreign
Language Education)
7J. Agricultural School Teaching
7N. Teaching in Medical Schools (including, but not limited to lecturers)
70. Teaching in Law Schools (including, but not limited to lecturers)
Group (8)

All fields listed in part I.
Group (9)
All fields listed in part I.

Argentina

Group (1)
1A. Public Administration (including but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1E. Drug Abuse and Narcotics Control
1J. Primary School Administration
1K. Secondary School Administration
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)
2C. Veterinary Medicine
Group (3)
All fields listed in part I.
Group (4)
4E. Communication Engineering

4H. Electronic Engineering (including Radio Engineering)
4J. Genetic and Biomedical Engineering
4L. Marine and Aeronautical Engineering and Technology including, but not limited to: Marine and Flight
Engineers)
4U. Agricultural Engineering
4W. Natural Resource Management Engineering (including but not limited to Water Resource
Management)
4X. Environmental Engineering
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
5E. Genetics
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: Physical and Chemistry Laboratory
Technicians)
51. Atmospheric-Hydrospheric Sciences (including but not limited to: Marine Science, Meteorology and
Oceanography)
5L. Agriculture and Agronomy (including, but not limited to: Veterinarians, Plant Pathologists, Poultry and
Dairy Scientists, Animal Husbandry and Animal Nutrition)
5M. Food Science and Technology
5P. Fisheries (or other Marine Products)
5Q. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied

Geology including Geophysicists and Geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
5T. Desalinization
5U. Population Studies
Group (6)
6J. Instructional Media and Technology
6M. Linguistics
Group (7)
7B. Educational Testing, Evaluation and Measurement
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (including Foreign
Language Education)
7H. College and University Teaching of Education

71. College and University Teaching of Business
7J. Agricultural School Teaching
7K. Education of the Physically Handicapped (including Education of the Mentally Retarded and
Emotionally Disturbed)

7L. Education of Exceptional Children
7M. Physical Education and Recreation (including, but not limited to Coaching)
7R. Educational Technology (Instructions Systems Technology)
7T. Curriculum Planning
Group (8)
8L. Telecommunications
Group (9)
91. Statistics
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Azerbaijan

Group (2)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, AUdiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology, and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
20. Emergency Medicine
2H. Medical Instruments and Technology
2M. Medical Cybernetics
20. Medical Statistics and Documentation
2P. Cancer Research
2R. Environmental Health
Group (3)
38. Information Science and Systems Analysis
3D. Computer Programming
Group (4)
48. Cartography

4H. Electronic Engineering (including Radio Engineering)
4J. Genetic and Biomedical Engineering
4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: Marine and Flight
Engineers)
4M. Materials Engineering and Sciences (including, but not limited to: textiles, Plastics, Wood, Paper and
Metal, but not including Metal Fabrication)
4P. Navigation and Transportation Engineering
4Q. Optical Engineering (including, but not limited to: light and sound technology)
4S. Printing and Photographic Engineering and Technology
Group (5)
5C. Study of Drugs and Allied Sciences
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
51. Atmospheric-Hydrospheric Sciences (including, but not limited to: Marine Science, Meteorology and
Oceanography)
5M. Food Science and Technology
5Q. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including Geophysicists and Geochemists)
5S. Ecology and Environmental Protection (including Conservation)
Group (6)
6J. Instructional Media and Technology
6K. Fine Arts (including, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management

6R. Graphic Design
6T. Home Economics
Group (7)
7B. Educational Testing, Evaluation and Measurement
7K. Education of the Physically Handicapped (including Education of the Mentally Retarded and
Emotionally Disturbed)
7L. Education of Exceptional Children
7N. Teaching in Medical Schools (including, but not limited to lecturers)
7R. Educational Technology (Instructional Systems Technology)
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8E. Airplane Piloting (including, but not limited to Airline Piloting)
8F. Merchant Marine
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
8L. Telecommunications
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: Programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
90. Labor and Industrial Relations
9F. Economic Information Analysis (including, but not limited to Management Studies)

9H. Cybernetic Technology
9J. Insurance (including Actuaries)
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9M. Operations Research
9N. Banking
9P. Hotel and Motel Management
9R. Marketing
9S. Finance

Bahamas

Group (1)
1A. Public Administration (including but Not Limited To: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1M. Technical or Vocational School Administration

10. Labor Union Administration
Group (3)
All fields listed in part I.
Group (4)
40. Civil Engineering (including Airport Engineering)
4G. Electrical Engineering
4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: Marine and Flight
Engineers)
4N. Mechanical Engineering (including, but not limited to: systems, safety and production engineers, and
including Automatic Data Processing)
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)

5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
5F. Mathematics
5L. Agriculture and Agronomy (including, but not limited to: Veterinarians, Plant Pathologists, Poultry and
Dairy Scientists, Animal Husbandry and Animal Nutrition)
5P. Fisheries (or other marine products)
50. Geology (including all branches and specialties, ego Oceanology, and all branches of Applied
Geology including Geophysicists and Geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
51. Desalinization
Group (6)
6A. Sociology (except Economics and including Criminology)
6B. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6H. Economics
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (including Foreign
Language Education)

7H. College and University Teaching of Education
7J. Agricultural School Teaching
7M. Physical Education and Recreation (including, but not limited to Coaching)
7N. Teaching in Medical Schools (including, but not limited to lecturers)
70. Teaching in Law Schools (including, but not limited to lecturers)
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8E. Airplane Piloting (including, but not limited to Airline Piloting)
8F. Merchant Marine
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
8L. Telecommunications
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
90. Labor and Industrial Relations
9F. Economic Information Analysis (including, but not limited to Management Studies)
9H. Cybernetic Technology
9J. Insurance (including Actuaries)
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations

and Credit Unions)
9M. Operations Research
9N. Banking
9P. Hotel and Motel Management
9R. Marketing
9S. Finance
Bahamas

Group (1)
1A. Public Administration (including but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1K. Secondary School Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
2B. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive
Medicine,Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine. Surgery,
Thoracic Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)

2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology
2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics And Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
Group (3)
All fields listed in part I.
Group (4)
40. Civil Engineering (including Airport Engineering)
4G. Electrical Engineering
4H. Electronic Engineering (including Radio Engineering)
4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: Marine and Flight
Engineers)
4N. Mechanical Engineering (including, but not limited to: systems, safety and production engineers, and
including Automatic Data Processing)
4T. Surveying (including Oceanography)
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, exceptin Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including physical chemists, metallurgists and all branches and specialties in

Physics)
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5P. Fisheries (or other marine products)
50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
51. Desalinization
Group (6)
6H. Economics
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
Group (8)
8C. Electrical Communication Technology

80. Radio Operation
8E. Airplane Piloting (including, but not limited to Airline Piloting)
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: Programmers
and Project Evaluation, Business, Total Quality Management)
91. Statistics
9B. Banking
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Bangladesh
Group (1)
All fields listed in part I.
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2G. Nursing (inclUding, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology
2K. Optometry
Group (3)
All fields listed in part l.
Group (4)

All fields listed in part I.
Group (5)
All fields listed in part I.
Group (6)
6H. Economics
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
7D. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (inclUding Foreign
Language Education)
7H. College and University Teaching of Education
7J. Agricultural School Teaching
7N. Teaching in Medical Schools (including, but not limited to lecturers)
Group (B)
BC. Electrical Communication Technology
BH. Construction (inclUding, but not limited to builders, but not including skilled and unskilled laborers)
BJ. Drafting
BK. Skilled Operation of Construction Machines
Group (9)
91. Statistics

9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9N. Banking

Benin
Group (1)
1A. Public Administration (including, but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1J. Primary School Administration
1K. Secondary School Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
2B. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology

21. Dentistry
2J. Dental Technology
2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
20. Medical Statistics and Documentation
2P. Cancer Research
20. Medical Photography
2R. Environmental Health
2S. Medical Research
Group (3)
All Fields Listed in Part I.
Group (4)
40. Civil Engineering (including Airport Engineering)
4G. Electrical Engineering
4H. Electrical Engineering (including Radio Engineering)
4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: Marine and Flight
Engineers)
4N. Mechanical Engineering (including, but not limited to: systems, safety and production engineers, and
including Automatic Data Processing)
40. Mining and Lumbering Engineering and Technology
4T. Surveying (including Oceanography)

4U. Agricultural Engineering
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
50. Forestry
5P. Fisheries (or other Marine Products)
5Q. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
Group (6)
6A. Sociology (except Economics and including Criminology)
6B. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6H. Economics
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
7D. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)

7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (including Foreign
Language Education)
7H. College and University Teaching of Education
7J. Agricultural School Teaching
7N. Teaching in Medical Schools (including, but not limited to lecturers)
70. Teaching in Law Schools (including, but not limited to lecturers)
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8C. Electrical Communication Technology
80. Radio Operation
8G. Architecture (including Marine Architecture)
8H. Construction (including but not limited to builders, but not including skilled and unskilled laborers)
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)

9N. Banking
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Bolivia

Group (1)
1A. Public Administration (including but Not Limited To: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
18. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1J. Primary School Administration
1K. Secondary School Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine.
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology

21. Dentistry
2J. Dental Technology
2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
Group (3)
All fields listed in part I.
Group (4)
40. Civil Engineering (including Airport Engineering)
4G. Electrical Engineering
4H. Electronic Engineering (including Radio Engineering)
4N. Mechanical Engineering (including, but not limited to: systems, safety and production engineers, and
including Automatic Data Processing)
40. Mining and Lumbering Engineering and Technology
4T. Surveying (including Oceanography)
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
5F. Mathematics

5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to Skilled Metal Crafts Workers)
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
50. Forestry
5P. Fisheries (or other marine products)

50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Psychometrics, Child Psychology, and Psychobiology)
6H. Economics
6N. Law (including Judicature and all branches and specialties in the practice of Law, except in Law
Enforcement)
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7G. College and University Teaching of Social Sciences, Liberal Arts and Literature (including Foreign
Language Education)

7H. College and University Teaching of Education
7J. Agricultural School Teaching
7N. Teaching in Medical Schools (including, but not limited to lecturers)
70. Teaching in Law Schools (including, but not limited to lecturers)
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
88. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
8E. Airplane Piloting (including, but not limited to Airline Piloting)
8F. Merchant Marine
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations

9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to Management Studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics
9J. Insurance (including Actuaries)
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Botswana

Group (1)
All fields listed in part I.
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive
Medicine,Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery,
Thoracic Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology
2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)

Group (3)
All fields listed in part I.
Group (4)
40. Civil Engineering (including Airport Engineering)
4G. Electrical Engineering
4H. Electronic Engineering (including Radio Engineering)
4N. Mechanical Engineering (including, but not limited to: systems, safety and production engineers, and
including Automatic Data Processing)
40. Mining and Lumbering Engineering and Technology
4T. Surveying (including Oceanography)
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to Skilled metal crafts workers)
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
50. Forestry
5P. Fisheries (or other marine products)

5Q. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6H. Economics
6N. Law (including Judicature and all branches and specialties in the practice of Law, except in Law
Enforcement)
Group (7)
7C. Primary School Teaching (including, but not limited to Nursery Schools and Kindergartens)
70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of
English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7J. Agricultural School Teaching
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8C. Electrical Communication Technology
80. Radio Operation
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)

81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9N. Banking
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Brazil

Group (1)
1A. Public Administration (including, but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1C. Public Social Services
1D. Sanitation
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1H. Law Enforcement and Corrections (including, but not limited to the Administration of Justice)
11. Parks and Recreation Management (including, but not limited to Wildlife Management)
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
10. Labor Union Administration
Group (2)
2B. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,

Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
2J. Dental Technology
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
2S. Medical Research
Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5C. Study of Drugs and Allied Sciences
50. Optics and Physics (including Physical Chemists, Metallurgists and all branches and specialties in
Physics)
5E. Genetics
5F. Mathematics

5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
51. Atmospheric-Hydrospheric Sciences (including but not limited to: Marine Science, Meteorology and
Oceanography)
5J. Astronomy and Space Technology
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: Veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5M. Food Science and Technology
5N. Zoology (including Animal Behavior and Physiology)
50. Forestry
5P. Fisheries (or other marine products)
50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
51. Desalinization
5U. Population Studies
5V. Botany
5W. Entomology
Group (6)
6J. Instructional Media and Technology
Group (7)

70. Secondary School Teaching (including, but not limited to Remedial Teaching and Teaching of

English as a Foreign Language)
7E. Vocational and Technical School Teaching
7F. College and University Teaching in Natural Sciences, Mathematics, Engineering and Technology
(except Agriculture)
7H. College and University Teaching of Education
7J. Agricultural School Teaching
7N. Teaching in Medical Schools (including, but not limited to lecturers)
7R. Educational Technology (Instructional Systems Technology)
71. Curriculum Planning
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
81. Construction-Project Management
8J. Drafting
8L. Telecommunications
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
91. Statistics
9J. Insurance (including Actuaries)

Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Burkina Faso
Group (1)
1A. Public Administration (including but not limited to: City Planning, Urban Studies/Planning, Urban
Transporation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1C. Public Social Services
1D. Sanitation
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1H. Law Enforcement and Corrections (including, but not limited to the Administration of Justice)
11. Parks and Recreation Management (including, but not limited to Wildlife Management)
1J. Primary School Administration
1K. Secondary School Administration
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)

All fields listed in part I.
Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
All fields listed in part I.
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6C. History (including Art History)
60. Philosophy (including Humanities)
6E. Anthropology and Archaeology
6F. Demography
6G. Government and Politics (including, but not limited to International Relations)
6H. Economics
61. Literature
6J. Instructional Media and Technology
6K. Fine Arts (including, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management
6M. Linguistics

Group (7)
All fields listed in part I.
Group (8)
All fields listed in part I.
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations
9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to Management Studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management

Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Burma (see Myanmar)

Burundi
Group (1)
All fields listed in part I.
Group (2)
2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, Audiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology,
Oncology, Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation, Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic
Surgery, Toxicology, Urology and Virology)
2C. Veterinary Medicine
20. Emergency Medicine
2E. Nuclear Medicine
2F. Geriatrics
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology

2K. Optometry
2L. Chiropractic and Osteopathy (not including Osteopathic Physicians who also practice medicine)
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
20. Medical Statistics and Documentation
2P. Cancer Research
20. Medical Photography
2R. Environmental Health
Group (3)
All fields listed in part I.
Group (4)
4A. Aerospace Engineering
4B. Cartography
4C. Chemical Engineering
4D. Civil Engineering (including Airport Engineering)
4E. Communication Engineering
4F. Computer Engineering and Technologies
4G. Electrical Engineering
41. Energy Engineering and Technology (but not including Petroleum and Natural Gas Engineering and
Technology)
4J. Genetic and Biomedical Engineering
4K. Industrial Engineering
4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: marine and flight

engineers)
4M. Materials Engineering and Sciences (including, but not limited to: textiles, plastics, wood, paper and
metal, but not including metal fabrication)
4N. Mechanical Engineering (including, but not limited to: systems, safety, and production engineers, and
including Automatic Data Processing)
40. Mining and Lumbering Engineering and Technology
4P. Navigation and Transportation Engineering
40. Optical Engineering (including, but not limited to: light and sound technology)
4R. Petroleum and Natural Gas Engineering and Technology
4S. Printing and Photographic Engineering and Technology
4T. Surveying (including Oceanography)
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5C. Study of Drugs and Allied Sciences
5E. Genetics
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
51. Atmospheric-Hydrospheric Sciences (including, but not limited to: Marine Science, Meteorology and
Oceanography)
5J. Astronomy and Space Technology
5K. Repair and Maintenance Technology

5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5M. Food Science and Technology
5N. Zoology (including Animal Behavior and Physiology)
50. Forestry
5Q. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
Group (6)
6A. Sociology (except Economics and including Criminology)
6B. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6C. History (including Art History)
60. Philosophy (including Humanities)
6E. Anthropology and Archaeology
6F. Demography
6G. Government and Politics (including, but not limited to International Relations)
6H. Economics
61. Literature
6J. Instructional Media and Technology
6K. Fine Arts (including, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management

6M. linguistics
6N. Law (including Judicature and all branches and specialties in the practice of Law, except in Law
Enforcement)
Group (7)
All fields listed in part I.
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
8F. Merchant Marine
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations

9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to Management Studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Cameroon
Group (1)
1A. Public Administration (including but Not Limited To: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1C. Public Social Services
1D. Sanitation
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1H. Law Enforcement and Corrections (including, but not limited to the Administration of Justice)

11. Parks and Recreation Management (including, but not limited to Wildlife Management)
1J. Primary School Administration
1K. Secondary School Administration
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)

2A. General Practice of Medicine (including Osteopaths who also practice medicine)
28. Recognized Medical Specializations (including, but not limited to: Anesthesiology, AUdiology,
Cardiography, Cardiology, Dermatology, Embryology, Epidemiology, Forensic Medicine, Gastroenterology,
Hematology, Immunology, Internal Medicine, Neurological Surgery, Obstetrics and Gynecology, Oncology,
Ophthalmology, Orthopedic Surgery, Otolaryngology, Pathology, Pediatrics, Pharmacology and
Pharmaceutics, Physical Medicine and Rehabilitation,Physiology, Plastic Surgery, Preventive Medicine,
Proctology, Psychiatry and Neurology, Radiology, Speech Pathology, Sports Medicine, Surgery, Thoracic,
Surgery, Toxicology, Urology and Virology)
2C. Veterinary Medicine
20. Emergency Medicine
2E. Nuclear Medicine
2F. Geriatrics
2G. Nursing (including, but not limited to registered nurses, practical nurses, physician's receptionists
and medical records clerks)
2H. Medical Instruments and Technology
21. Dentistry
2J. Dental Technology
2K. Optometry
2M. Medical Cybernetics
2N. All Therapies, Prosthetics and Healing (except Medicine, Osteopathy or Osteopathic Medicine,
Nursing, Dentistry, Chiropractic and Optometry)
20. Medical Statistics and Documentation
2P. Cancer Research

20. Medical Photography
2R. Environmental Health

Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5C. Study of Drugs and Allied Sciences
50. Optics and Physics (including physical chemists, metallurgists and all branches and specialties in
Physics)
5E. Genetics
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
51. Atmospheric-Hydrospheric Sciences (including, but not limited to: Marine Science, Meteorology and
Oceanography)
5J. Astronomy and Space Technology
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5M. Food Science and Technology
5N. Zoology (including Animal Behavior and Physiology)
50. Forestry

5P. Fisheries (Or Other Marine Products)
50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
Group (6)
6A. Sociology (except Economics and including Criminology)
6C. History (including Art History)
60. Philosophy (including Humanities)
6E. Anthropology and Archaeology
6F. Demography
6G. Government and Politics (including, but not limited to International Relations)
6H. Economics
61. Literature
6J. Instructional Media and Technology
6K. Fine Arts (including, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management
6M. Linguistics
Group (7)
All fields listed in part I.
Group (8)

8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
8F. Merchant Marine
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations
9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to Management Studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations

and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Cape Verde

Group (1)
1A. Public Administration (including but Not Limited To: Urban Studies/Planning, Urban Transportation,
City Planning and Public Health)
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1N. Hospital Administration
Group (3)
All fields listed in part I.
Group (4)
4C. Chemical Engineering
40. Civil Engineering (including Airport Engineering)
4F. Computer Engineering and Technologies
4G. Electrical Engineering
4H. Electronic Engineering (including Radio Engineering)
41. Energy Engineering and Technology (but not including Petroleum and Natural Gas Engineering and
Technology)
4K. Industrial Engineering

4L. Marine and Aeronautical Engineering and Technology (including, but not limited to: Marine and Flight
Engineers)
4N. Mechanical Engineering (including, but not limited to: systems, safety,and production engineers, and
including Automatic Data Processing)
4U. Agricultural Engineering
4W. Water Resource Management
4X. Environmental Engineering
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
50. Optics and Physics (including physical chemists, metallurgists and all branches and specialties in
Physics)
51. Atmospheric-Hydrospheric Sciences (including, but not limited to: Marine Science, Meteorology and
Oceanography
5L. Agriculture and Agronomy (including, but not limited to: veterinarians,plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
50. Forestry
5P. Fisheries (or other marine products)
50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
5T. Desalinization
5U. Population Studies

Group (6)
6E. Anthropology and Archaeology
6H. Economics
6J. Instructional Media and Technology
Group (7)
7E. Vocational and Technical School Teaching
Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8G. Architecture (including Marine Architecture)
8L. Telecommunications
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
90. Labor and Industrial Relations
9E. Economic Development and Planning (including Rural Development)
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9N. Banking
9P. Hotel and Motel Management

9R. Marketing
98. Finance

Central African Republic
Group (1)
1A. Public Administration (including, but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and PUblic Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1C. Public Social Services
1D. Sanitation
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1H. Law Enforcement and Corrections (including, but not limited to the Administration of Justice)

11. Parks and Recreation Management (including, but not limited to Wildlife Management)
1J. Primary School Administration
1K. Secondary School Administration
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)

All fields listed in part I.
Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5C. Study of Drugs and Allied Sciences
5E. Genetics
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
51. Atmospheric-Hydrospheric Sciences (including, but not limited to Marine Science, Meteorology and
Oceanography)
5J. Astronomy and Space Technology
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians, plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5M. Food Science and Technology
5N. Zoology (including Animal Behavior and Physiology)
50. Forestry

50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
5U. Population Studies
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6C. History (including Art History)
60. Philosophy (including Humanities)
6E. Anthropology and Archaeology
6F. Demography
6G. Government and Politics (including, but not limited to International Relations)
6H. Economics
61. Literature
6J. Instructional Media and Technology
6K. Fine Arts (inclUding, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management
6M. Linguistics
Group (7)
All fields listed in part I.
Group (8)

8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
8F. Merchant Marine
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations
9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to management studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics
9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations

and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)

Chad
Group (1)
1A. Public Administration (including, but not limited to: City Planning, Urban Studies/Planning, Urban
Transportation, and Public Health)
1B. Public Social Administration (including, but not limited to: Welfare, Dietetics, Nutrition, Family
Planning and Public Health)
1C. Public Social Services
1D. Sanitation
1E. Drug Abuse and Narcotics Control
1F. International Health
1G. Tourism and Travel
1H. Law Enforcement and Corrections (including, but not limited to the Administration of Justice)
11. Parks and Recreation Management (including, but not limited to Wildlife Management)
1J. Primary School Administration
1K. Secondary School Administration
1L. College, University and Higher Education Administration
1M. Technical or Vocational School Administration
1N. Hospital Administration
Group (2)

All fields listed in part I.
Group (3)
All fields listed in part I.
Group (4)
All fields listed in part I.
Group (5)
5A. Chemistry (including all branches and specialties in Chemistry, except in Pharmacy and Chemical
Engineering)
5B. Life Sciences (including, but not limited to: Pharmacy and Biology)
5C. Study of Drugs and Allied Sciences
5E. Genetics
5F. Mathematics
5G. Laboratory Technology (including, but not limited to: physical and chemistry laboratory technicians)
5H. Metal Fabrication (including, but not limited to skilled metal crafts workers)
51. Atmospheric-Hydrospheric Sciences (including but not limited to: Marine Science, Meteorology and
Oceanography)
5J. Astronomy and Space Technology
5K. Repair and Maintenance Technology
5L. Agriculture and Agronomy (including, but not limited to: veterinarians,plant pathologists, poultry and
dairy scientists, animal husbandry and animal nutrition)
5M. Food Science and Technology
5N. Zoology (including Animal Behavior and Physiology)
50. Forestry

50. Geology (including all branches and specialties, e.g. Oceanology, and all branches of Applied
Geology including geophysicists and geochemists)
5R. Hydrology (including, but not limited to Water Pollution)
5S. Ecology and Environmental Protection (including Conservation)
5U. Population Studies
Group (6)
6A. Sociology (except Economics and including Criminology)
68. Psychology (including, but not limited to Psychometrics, Child Psychology and Psychobiology)
6C. History (including Art History)
60. Philosophy (including Humanities)
6E. Anthropology and Archaeology
6F. Demography
6G. Government and Politics (including, but not limited to International Relations)
6H. Economics
61. Literature
6J. Instructional Media and Technology
6K. Fine Arts (including, but not limited to Music, Theater, Sculpture, Motion Picture Arts and Sciences,
and Photography)
6L. Estate Management
6M. Linguistics
Group (7)
All fields listed in part I.

Group (8)
8A. Journalism (including, but not limited to editors and reporters, and including text-book writers,
interpreters and translators)
8B. Communication Media (including Television and Film)
8C. Electrical Communication Technology
80. Radio Operation
8F. Merchant Marine
8G. Architecture (including Marine Architecture)
8H. Construction (including, but not limited to builders, but not including skilled and unskilled laborers)
81. Construction-Project Management
8J. Drafting
8K. Skilled Operation of Construction Machines
Group (9)
9A. Industrial and Business Administration and Management (including, but not limited to: programmers
and Project Evaluation, Business, Total Quality Management)
9B. International Business and Commerce
9C. Industrial Organization
90. Labor and Industrial Relations
9E. Economic Development and Planning (including Rural Development)
9F. Economic Information Analysis (including, but not limited to Management Studies)
9G. Accounting
9H. Cybernetic Technology
91. Statistics

9K. Administration of Financial Institutions (including, but not limited to Savings and Loan Organizations
and Credit Unions)
9L. Financial Planning
9M. Operations Research
9N. Banking
90. Farm Management and Administration
9P. Hotel and Motel Management
Group (10)
10A. Library Science (including, but not limited to Electronic Data Storage and Retrieval)