RFEs
Courtesy of "www.cyrusmehta.com"
May 14 2004
USCIS CLARIFIES ITS POLICY ON ISSUANCE OF RFEs
by
Olivia Thuma*
The United States Citizenship and Immigration Services (USCIS) has recently
issued two memoranda, authored by William Yates, Associate Director for
Operations, which provide guidance on issuance of Requests for Evidence
(RFEs). The first Yates Memo of April 23, 20041 addresses the significance of a
prior approval of a nonimmigrant petition in the context of a subsequent
determination regarding eligibility for extension of petition validity.2 The second
Yates Memo of May 4, 20043 states that an RFE is not required for every case
prior to adjudication and clarifies when adjudicating officers may deny an
application or petition without issuing an RFE.
1. The Yates Memo of April 23, 2004
Adjudicating officers are not bound to approve subsequent petitions merely
because of a prior approval, which may have been issued erroneously.4
However, recent USCIS practices reveal that adjudicators have frequently
exceeded their authority when questioning prior determinations that were
readily approved. The Yates Memo of April 23, 2004 sets forth a general policy
against re-adjudicating previously approved petitions when there is no material
change in the underlying facts, to avoid issuance of unjustified RFEs or denials.
More specifically, the memo states that in extension cases involving the same
parties and the same underlying facts, a prior determination made by an
adjudicating officer regarding the eligibility of the beneficiary of a petition for the
classification should be given deference. However, notwithstanding the fact of a
prior approval, the adjudicator may request additional evidence or deny the
petition on three grounds:
1) There was a material error with regard to the previous petition
approval;
2) A substantial change in circumstances has taken place; or
3) There is new material information that adversely impacts the
petitioner’s or beneficiary’s eligibility.
A material error is a misapplication of the pertinent law or regulation to the
facts of the case. An example of a material error is an H-1B petition approval
where the beneficiary’s degree is not appropriate for the occupation. The memo
specifically points out that adjudicating officers should not question subjective
determinations made by prior adjudicators, including an evaluation of the
beneficiary’s education, specialized training, and progressively responsible
experience in a degree equivalency determination.
A substantial change in circumstances is a material change to either the
petitioner’s or the beneficiary’s eligibility for the given classification. For example,
in L extension cases, the adjudicator needs to make a new determination of
eligibility for the given classification if a change in the corporate relationship
occurs, or a change in the nature of the beneficiary’s employment takes place,
including a change in job duties, a change from a specialized knowledge to a
managerial or executive position, or a change in the organizational structure of
the petitioning company. Similarly, in H extension cases, where the instant
specialty occupation requires licensure, the adjudicator needs to review whether
the beneficiary obtained a permanent license or continues to hold a temporary
license in the state of intended employment.
New material information includes any fact not available to the previous
adjudicating officer that adversely impacts the petitioner’s or beneficiary’s
eligibility for the classification sought. This could be information affecting national
security or public safety obtained from security checks.
It is hoped that this memo will prevent re-adjudication of petitions already
approved where there is no material change in the underlying facts, and as a
result, eliminate issuance of unnecessary RFEs or unjustified denials, which have
been causing significant time delays in processing extension petitions.
2. The Yates Memo of May 4, 2004
On the other hand, the Yates Memo of May 4, 2004 re-affirms that an RFE is not
required for every case prior to adjudication. The memo clarifies that
adjudicating officers may deny an application or petition without issuing an RFE if
there is evidence of clear ineligibility5 or the record is complete.6
Clear ineligibility exists when an applicant or petitioner does not meet a basic
statutory or regulatory requirement. This may include circumstances where the
applicant or petitioner fails to establish that they are eligible to file for the
requested benefit, or they clearly fail to meet a substantive requirement needed
to establish eligibility for the benefit sought. The memo gives several examples
of clear ineligibility, including: a petitioner seeking to file a Form I-130 who is not
a qualifying relative; a petitioner in an L case who does not have the required
relationship to a foreign company abroad; an E-1 treaty trader or E-2 treaty
investor who is not a national of a country with a qualifying treaty with the
United States; or a beneficiary, whose education documents clearly establish
that he/she does not have the required degree or equivalency for H-1B status.
If the record is complete with respect to all initial evidence specified in the
regulations, on the application/petition, and accompanying instructions, the
adjudicating officer is not required to issue an RFE to obtain further
documentation to support a decision based on that record. The adjudicator may
issue a denial if the applicant or petitioner has not met his or her burden to
establish eligibility for the benefit sought. The memo gives an example of the
I-140 immigrant petition, where the petitioner is required to submit initial
evidence specified in the regulations such as copies of annual reports, federal
tax returns, or audited financial statements, to establish its ability to pay the
beneficiary the proffered wage.7 If the petitioner submits one of these required
documents, and the adjudicator determines that the submitted document fails to
establish its financial ability, he/she may deny the petition without issuing an
RFE. Similarly, the memo could also apply more drastically to an L-1A petition in
which the petitioner submits all the required evidence, including proof that the
beneficiary will be employed in a managerial position.8 The adjudicator may still
deny the petition without issuance of an RFE, if he/she determines that the
evidence fails to establish the managerial nature of the job duties.
The Yates Memo of May 4, 2004 also notes that the USCIS is only required to
issue an RFE when initial evidence is missing.9 In all other instances, when the
evidence raises issues regarding eligibility or does not fully establish eligibility,
issuance of an RFE is discretionary. The memo specifically states that the
adjudicating officers may deny cases when they determine that the applicant or
petitioner has not met his/her burden to establish eligibility for the benefit
sought, rather than exercise discretion and issue and RFE prior to final
adjudication. The American Immigration Law Association (AILA) raised concerns
about the memo, which instructs adjudicating officers to issue decisions rather
than RFEs in many instances. Bill Yates, Associate Director of Operations at
USCIS is currently addressing these concerns.10
It is hoped that USCIS adjudicators will carefully consider all submitted evidence
before they deny a petition without issuing an RFE. If the case is denied, the
applicant or petitioner is left only with the option to file an appeal or a motion to
reopen/reconsider, which is a time-consuming process and which also does not
guarantee that the initial denial decision would be reversed.
*Olivia Thuma is a Law Clerk at Cyrus D. Mehta & Associates, PLLC. She
graduated with a Master of Laws degree from Columbia Law School in 2003,
where she was a Human Rights Fellow. She also received a Master of Law
degree from the Jagiellonian University Faculty of Law and Administration
(Poland) in 2001. She was a recipient of scholarships from Columbia Law
School, Boston College, SOROS, OSI, and the Ministry of Education of the
Republic of Poland. This article was written under the supervision of Cyrus D.
Mehta, Esq. Further inquiries to the firm can be made at (212) 425-0555 or
info@cyrusmehta.com.
1 Memorandum from William Yates, Associate Director for Operations, HQOPRD
72/11.3 (April 23, 2004).
2 This memo does not apply to E-2 treaty investor and L-1 “new office”
extension petitions.
3 Memorandum from William Yates, Associate Director for Operations (May 4,
2004).
4 Matter of Church Scientology International, 19 I&N Dec. 593, 597 (Comm. 1988).
5 8 CFR §103.2(b)(8).
6 8 CFR §103.2(b)(1).
7 8 CFR §204.5.
8 8 CFR §214.2(l)(3)(ii).
9 8 CFR §103.2(b)(8).
10 RFE Memo Clarification Sought, posted on AILA InfoNet at Doc. No. 04051462
(May 14, 2004).