The long-anticipated U.S. Citizenship and Immigration Service (USCIS) fee-for-service genealogy program opened to the public in August 2008 with USCIS’s well-known historian Marian Smith as Acting Chief. Complete details and history of the program were described by Arline Sachs in the Summer 2007 issue of AVOTAYNU.¹ This article, an update to Sach’s report, discusses all of the relevant provisions of this new program, including some changes and new information described for the first time. Information is based upon details supplied at a USCIS press conference as well as upon answers to questions subsequently posed by this author.

Until now, genealogists seeking records from USCIS received the information free of charge in response to requests made under the Freedom of Information Act (FOIA). The change from free to fee service follows a Congressional action mandating that the cost of providing historical information be covered by the requesters. Details and complete provisions of the final rule establishing USCIS’s Genealogy Program appear in the Federal Register, the official publication of regulations issued by the U.S. Federal government.²

The major change that impacts genealogists is that FOIA no longer will accept requests for records deemed to be the province of the new Genealogy Program—with one exception. Individuals who have pending searches may submit a genealogy request and cancel their FOIA request if they choose—for the stated fees—by providing any needed additional information. Alternatively, they may choose to continue their FOIA requests—and endure the long waits that have characterized such requests in recent years. Requests to convert must be initiated by the requester; conversions will not be automatic. FOIA responses usually take about 15 months and sometimes involve redactions³ of information that extend reply time even more. USCIS officials expect the new Genealogy Program to cut the time for searches of the USCIS master index to a few weeks and for providing copies of the files to a month or less. At the beginning, the expected initial deluge may delay responses a bit more.

How To Initiate a Search

Under the new Genealogy Program, most searches for information involve two steps. The first is a search of the Master Index to determine whether or not USCIS holds documents for the person in question. If the index search reveals relevant holdings, the second step is to request copies of the documents. Searches may be initiated either electronically or by postal mail by completing Form G-1041 for a single search of the Master Index. Currently, however, all requests must come via postal mail, although the electronic (web) submission is expected to begin soon.

To initiate an electronic search through the USCIS website, go to <www.USCIS.gov>. Click on the “Education and Resources” button near the top, and then select “Genealogy” on the left side. Or simply go to <www.uscis.gov/ genealogy>.

At this site, researchers may download and print (in PDF format) Form G-1041 for a search of the Master Index. Paper versions of the same form are available from the USCIS Forms Centers around the United States; check the USCIS website for locations.

On the form, requesters may indicate a preference to receive search results via e-mail or postal mail. Postal mail takes longer, but only by the amount of time the post office takes to deliver the reply. At present, all responses are being sent by postal service as the Program awaits additional staff.

Those who already know the relevant number of a file they wish to obtain may bypass the Master Index search if they wish and simply request the file of interest. Because a search of the Master Index often reveals additional, previously unknown documents (plus some other benefits discussed below), however, thorough researchers may wish to do a Master Index search in all cases.

Forms and Fees

Form G-1041 is used for a single search—one name in the Master Index—but multiple copies of the form G-1041 may be sent at a single time—either by mail in a single envelope or by submitting multiple electronic versions of Form G-1041 in one session (when the online feature is operational). The non-refundable fee for each person searched is $20, payable by cashier’s check, money order, or credit card. No personal checks are accepted. One financial transaction may be sent to cover all Forms G-1041 submitted at one time in a single envelope. Paper Forms G-1041 will be sent to a post office box. Payment by credit card will be through an Internet E-commerce website once the program goes online.

An index search should take about two weeks once the program is up to speed. If a record is found, the Genealogy Program will provide information on the type of record or records found and the relevant file numbers to enable file retrieval. When no record is found, the program may suggest where to locate other records held by other federal or state agencies, perhaps suggesting further inquiry for federal records at the National Archives, if appropriate—although the Program cannot offer consultation on individual research programs.

At this point, the requester may decide which files to retrieve and to complete a second, different form—Form G-1041A—using the file number obtained from the search of the Master Index. Costs are $20 for each file if the file is on microfilm or $35 for each file if the file exists in paper form. As many as three files may exist in either format. Charges pertain to each file regardless of the length, whether one page or hundreds of pages. If, for example, three files are ordered, one on microfilm and two in hard copy, The USCIS charge would be $90. Paper copies (text of the files) take longer to process because the records must be pulled from a warehouse, generally the one located in Suitland, Maryland. To avoid confusion, the Program has instituted a rule of thumb that C-File numbers below 650000 will be charged as microfilm ($20) and those above charged as paper ($35).

The Genealogy Record Request Form G-1041A will ask requesters, “If the requested records are available in electronic format, do you prefer to receive them electronically or via printed/postal mail?” The only delay resulting from a postal delivery request will be the mailing time. Currently, the e-mailing of records poses some problems for the new service (and likely for some requesters). As a result, requesters who check the “electronically” box will receive records via postal mail, but they will be on CD in PDF format. Otherwise, they will be paper. This is not clear on the form which must be updated. In the meantime, the website does indicate the CD option.

If an applicant submits $20 with a G-1041A request for a copy of historical records and the USCIS locates the file but discovers that it is not on microfilm but in hard copy, the Genealogy Program will notify the researcher and may request an additional $15—although the rule of thumb described above should eliminate the need for any requests for an additional $15. Form G-1041A fees are refunded only if the index search identifies a file and a subsequent search is unable to locate the file. This is another good reason to do an index search request prior to requesting a file, even when the researcher already knows a file number.

Files that exist on microfilm should take two weeks to retrieve; textual files will take about four weeks, a great improvement over the current 15 months for an FOIA request. At present, the initial influx of requests is causing some delays. As a result of the institution of the Genealogy Program, other FOIA requests should also speed up slightly.

To initiate a search of the Master Index, researchers are asked to furnish a full name, any known aliases, and at least the year and country of birth (preferably, the name of the country as it was called at the time of immigration). Additional helpful details are date of arrival in the United States, names of spouse and children, residence at time of naturalization, and any and all places of residence in the United States.

Types of Documents in Files

USCIS has identified 153 unique documents that might appear in a given file (although not in all files), mostly its own forms. These files might contain almost anything, even objects, such as, in one case, a skateboard that was submitted with an application. Files may contain non-federal items, especially if submitted by the applicant or by law enforcement agencies. Thus, local records might be in the file. Furthermore, applicants might well have submitted foreign-source records to prove some fact, such as date or place of birth. Therefore, a stamped birth certificate might be in such files. All of the above generally applies to visa files, C-Files after 1944, and A-Files active after 1944.

An index search is most likely to return a C-File number (i.e., naturalization files dating from September 27, 1906, to April 1, 1956). These records document naturalizations performed in any court in the United States as well as overseas military naturalizations, replacement of old law naturalization certificates, and some other cases as well. Most such C-Files exist only on microfilm and will contain the application form, (either the Declaration of Intention and/or the Petition for Naturalization) and a duplicate copy of the certificate issued. Many files include various types of additional documents, but only those from 1929 onward contain photographs.

Immigration records often carry multiple numbers, and they can be confusing. Typically, the only useful number is the C-File number, but files also may be identified by a visa file number and/or an alien registration number, for example. Other official numbers on records usually refer to file series that have not been preserved. In rare cases, the information in those files was transferred to an existing file, such as a naturalization file.

Other Available File Series

USCIS Consolidated C-Files (naturalizations April 1, 1944, to March 31, 1956) include all agency records relating to the naturalized person, including alien registration, visa, registry, and all other USCIS records.

The 5.5 million microfilmed Alien Registration Forms (Form AR-2) date from August 1, 1940, to March 31, 1944, and offer information on all aliens age 14 years and older residing in or entering the United States during that period. The two-page form includes all of the registrants’ names; addresses; citizenship; gender; marital status; race; a physical description; ship arrival information for the last arrival; date of first arrival in the United States; number of years in the United States; usual and present occupation; information on the current employer; memberships in organizations; military service; whether citizenship papers filed, and if so, full particulars; arrest record and information on each arrest; whether affiliated with a foreign government; signature; and fingerprint.

Alien Files (A-files) numbered below 8 million (A8000000) contain documents dated from April 1, 1944, to May 1, 1951. Any documents in the A-file dated after May 1, 1951, remain subject to FOIA or Privacy Act restrictions. At the moment, the USCIS has begun a multiple-year project to digitize these A-files. Because the USCIS has approximately 59 million A-files, the process will take many years.

Visa files dating from July 1, 1924, to March 31, 1944, detail the original arrival records of immigrants admitted for permanent residence under the provisions of the Immigration Act of 1924. A visa file contains copies of the original arrival record for any immigrant admitted for permanent residence, all information normally found on a ship passenger list of the period, the immigrant’s exact date and place of birth, names of both parents and children, all places of residence for the five years prior to immigration, and a photograph (if after 1929). The file may also contain birth, marriage, military records and miscellaneous other data. Usually birth records are in the visa file; marriage, military, or police records may also be there.

Registry files date from March 2, 1929, to March 31, 1944, and document individuals who entered the United States prior to July 1, 1924, or for whom no arrival rec-ord was later found. Files may include supporting documents of any kind that tend to prove that the immigrant was here prior to that date. These records could contain almost anything, even receipts for payments, such as rent receipts.

Under the New Genealogy Program or
Still Under the Old FOIA/PA Program?

The following chart, taken directly from the Congressional Rule, shows which files are retrievable under the Genealogy Program and which continue to be subject to FOIA and PA.

Table 1. Records under USCIS Programs

Why Do a Search If I Already Know the Number?

• If the researcher already knows the desired file number of one of the surviving files or has already received the results of a Form G-1041 search, the applicant may submit a search request for one or more persons (using the appropriate file numbers) taken from records, such as the Alien Registration file (A number). Not all file series have survived, so not all numbers on records, even those issued by predecessors of the USCIS on official documents, lead to retrievable files. The application must state the file type and number, as well as the name of the person sought.

File Series That Have Not Been Preserved

• Records most often sought by researchers that did not survive are Board of Special Inquiry records or other files maintained at ports of entry. The vast majority of such rec-ords maintained at the ports or district offices were destroyed long ago. The few surviving records were transferred to the National Archives. Such records were never indexed for the USCIS Master Index, however, and so would not be retrievable via an index search request under any circumstances, even though they might (albeit rarely) have survived within some other file series that was indexed.
• Another series of records often requested by researchers is Re-entry Permits, 1924–44. Researchers often encounter passenger list annotations related to Re-entry Permits, but this record series did not survive. In rare cases, Re-entry Permit files survived because they were consolidated into A-Files or C-Files after 1944.
• Many other record series have not survived but will occasionally be preserved on an individual basis in some other file.

If a Person Was Born Less Than 100 Years Ago, What Form Must I Submit?

• USCIS normally releases the entire file of individuals born more than 100 years prior to the request and for those for whom a death record has been provided. For persons born less than 100 years ago, the applicant may submit as proof of death, death certificates, published obituaries or eulogies, published death notices, church or bible records, photographs of gravestones, and/or copies of official documents relating to the payment of death benefits. For persons born less than 100 years earlier mentioned in the file and for whom the applicant provides no death record, the applicant must provide a release authorization, signed by the person mentioned, allowing the applicant to obtain a copy of the records. Whether there are redactions or not, the charges will apply to all cases where the file is retrieved.

Who Else Can Know That I Am Looking?

Genealogy Program Files of deceased subjects (Provided files are defined as historical records) Naturalization certificate files (C-Files) from 9/27/1906 to 4/1/1956 Visa files from 7/1/1924 to 3/31/1944 and visa records from 3/31/1944 to 5/1/1951 in A-files A-Files numbered below 8,000,000 and documents therein dated prior to 5/1/1951 Registry files from 3/2/1929 to 3/31/1944 and registry records from 4/1/1944 to 4/30/1951 in A-files AR–2 Files from 8/1/1940 to 3/31/1944 and Alien Registration Forms from 3/31/1944 to 4/30/1951 in A-Files

FOIA/PA Program Files of living subjects Naturalization records on or after 4/1/1956 Visa records on or after 5/1/1951 in A-Files A-files numbered above 8,000,000 million and documents therein dated on or after 5/1/1951 Registry records on or after 5/1/1951 in A-Files Alien Registration Forms on or after 5/1/1951 in A-Files

• Currently, the Genealogy Program has no mechanism to allow researchers to indicate if they wish to be contacted by other individuals searching for the same immigrant. That issue will be reviewed periodically in the future when the forms are revised. Furthermore, the software does not allow a notation of evidence of death to be placed in the file rec-ord to indicate that a person born more recently than 100 years ago has died. As a result, proof is required in all such cases, even those previously searched for by others who provided such proof.

Immigration Records at the National Archives
And Records Administration (NARA)

• In the past, the U.S. Bureau of Naturalization, a predecessor agency of USCIS, deposited some of its old records with the National Archives and Records Administration (NARA). These records are found in NARA Record Group 85, Entry 26, Administrative Records Relating to Naturalization. They consist primarily of files on those persons who, from 1906 to circa 1946, started the naturalization process, but for whatever reason—such as death or re-emigration—never completed the process.
• The Bureau of Naturalization used this series for all correspondence that was not filed in C-files (see below). Although a significant percentage of the series covers administrative matters, most of the files relate to individual cases. They are arranged in sub-series by subject, such as “Soldiers and Sailors,” or “Loss of U.S. Citizenship by Residence in Canada,” or a long list of citizenship topics. Within each sub-series, the individual cases are arranged chronologically or alphabetically by last name. Most individual case files relate to persons who never naturalized and concern issues or problems relating to difficulties obtaining naturalization.
• Other files relate to individuals who did naturalize, but who lost their certificate, lost their citizenship, or had some other issue or question after naturalization. Still others relate to the children of naturalized citizens seeking to prove their derivative status. In theory, because any information on naturalization was placed in the C-files, these Entry 26 files relate to those persons not naturalized or those persons having difficulty proving naturalization. A few exceptions may exist, usually files erroneously omitted from the C-files, but available in this series.
• USCIS files held at NARA may be retrieved only by providing the correct file number for an existing set of preserved records. USCIS has an old index, “The Name Index to Bureau of Naturalization Correspondence, 1906–1944,” maintained for many years by USCIS predecessors, often showing aliases and alternative spellings for a person’s name. This index currently is not available at NARA even though it holds the records themselves (which, therefore, are not available from USCIS). NARA eventually will release Microfilm A3388, which will contain this index, but the release date is unknown at this time. USCIS, however, retains its own copy of the index and will search its copy and then refer the researcher to NARA for access to those files. This index is not restricted, so that a requester may learn that a record exists even if its content is not yet available to the public.
• USCIS currently is considering a “retention schedule,” that is, a schedule for determining which file series it will deposit at the National Archives and when. Such determinations are based upon the content and date of the files in the series. No final decisions have been made yet.

USCIS Files or NARA Files?

• Significant similarities and differences exist between USCIS-held records and those held by NARA in Record Group 21, “Records of the U.S. District Courts.” USCIS C-files include duplicate copies of all declaration and petition documents filed after September 26, 1906, in the Federal court where the petition for naturalization was granted. Unlike District Court records, however, the USCIS C-files:
• Date only from September 27, 1906
• Do not include declarations or petitions that did not result in naturalization, and
• Include duplicate copies of all declarations and petitions filed in state and local courts after September 26, 1906, and any related correspondence, where the petition for naturalization was granted, and thus could include:

1. Duplicate certificates of naturalization and/or all rec-ords relating to applications for replacement naturalization certificates
2. Requests for replacement of certificates issued prior to September 27, 1906
3. Records of repatriation and resumption of citizenship, both those duplicated in federal, state, and local courts, and those performed administratively or overseas
4. Duplicate certificates and other paperwork related to applications for certificates of citizenship filed by persons who derived United States citizenship through the naturalization of a parent or husband.

• Notes

1. Arline Sachs, “Long-awaited Genealogy Program Opens at U.S. Immigration Service,” AVOTAYNU, Vol. XXIII, No. 2, Summer 2007, pp. 25–27.
2. See “Establishment of a Genealogy Program,” Federal Register, vol. 73, no. 95 (15May 2008): 28026–28032); http://edocket.access.gpo.gov/2008/E8-10651.htm.
3. Redaction involves blacking out information, as required by federal regulations, for reasons of privacy or (rarely) for national security reasons.

• Edward David Luft is a frequent contributor to AVOTAYNU. A list of his publications appears at <GetCited.org/mbrx/PT/99/MBR/11078005>.