Responding to Requests for Client Files: Do’s and Don’ts

Posted on October 15, 2015 | Comments Off on Responding to Requests for Client Files: Do’s and Don’ts

Lawyers might think they “own” their clients and their clients’ files. But clients are always free to fire their lawyers and get new counsel. And the file – at least the most critical parts – belong to the client.

Failure to promptly hand over the file to the departing client or to his new counsel is a strong basis for an ethics complaint and a common reason for disciplinary action.

What are the Minnesota rules on releasing client files? 

Rules 1.16(d) (Declining or Terminating Representation) and 1.15(c)(4) (Safekeeping Property), Minnesota Rules of Professional Conduct (MRPC), require lawyers to return client files upon the client’s request.

In 2005, Rules 1.16(e), (f) and (g) were added to the MRPC, which basically incorporated Lawyers Board Opinions 11 (repealed) and 13 (amended). Rule 1.16(e) describes which papers and property belong to the client and must be surrendered as the client’s file. Rule 1.16(f) states that lawyers may charge for reasonable costs of duplicating or retrieving the client file, after termination of the representation, but only if the client agreed at the outset, in writing,  to such a charge. Rule 1.16(g) prohibits lawyers from conditioning the return of the client file on payment of the lawyer’s fee or the cost of copying the files or papers.

What does the ABA have to say about releasing client files?

In July 2015, the American Bar Association (ABA) provided further guidance on the return of client files in Formal Opinion 471, Ethical Obligations of Lawyer to Surrender Papers and Property to which Former Client is Entitled.  The ABA noted that the lawyer must, at a minimum, turn over materials that would likely harm the client’s interest if not provided.

Applying Model Rule 1.15, the ABA determined that the lawyer must return all property that came into his possession in connection with the representation. This includes tangible personal property; items with intrinsic value or that affect valuable rights, such as securities, negotiable instruments, wills, or deeds; and any documents provided by the client.

Applying Model Rule 1.16(d), the ABA determined that the lawyer must surrender any materials provided by the client; legal documents filed with a tribunal (or those completed and ready to be filed); executed instruments like contracts; orders or other records of a tribunal; correspondence in connection with the representation (including emails retained according to the lawyer’s document retention policy); discovery or evidentiary exhibits (including interrogatories and their answers, deposition transcripts, expert witness reports and witness statements, and exhibits); legal opinions issued at the client’s request; and third-party evaluations or records paid for by the client.

The ABA stated it is unlikely the client is entitled to papers or property that the lawyer generated for internal use primarily for the lawyer’s own purpose in working on the matter. Thus, the ABA determined the  lawyer need not provide drafts or mark-ups of documents to be filed with a tribunal; internal research memos and materials; a general assessment of the client or the client’s matter; internal conflict checks; personal notes, billing statements; and documents that might reveal other client confidences.  The ABA added, however, that internal notes and memos, for which no final product emerged, may have to be disclosed if this would avoid harming the client’s interests. An example is the most recent draft of a document and the supporting research to help meet an imminent filing deadline.

In a September 2015 Bench & Bar of Minnesota article, the Director of the Office of Lawyers Professional Responsibility, Martin Cole, commented on the recent ABA opinion. He stated Minnesota has a long-standing rule on what constitutes papers and property belonging to the client, and Minnesota normally follows ABA guidance, absent good cause.

Lawyers who are terminated from representation or withdraw from representation must protect the client’s interest by surrendering papers and property that belong to the client. Although the ABA Model Rules and Formal Opinions provide guidance, the state rules of professional conduct are what governs.

There are things to do and things to not do when surrendering client files and responding to requests for client files:

DO’S

1. Determine exactly what you must provide to the client 

Upon termination of representation or upon receiving a request for a client file from the client or an authorized third party, the lawyer must review Rule 1.16(e), MRPC. It provides a detailed list of what lawyers must hand over to the client in all representations, pending claims or litigation representations, and nonlitigation or transactional representations. The rule also describes what does not constitute client files, papers and property.

Rule 1.16(e) states  “Papers and property to which the client is entitled [upon termination of representation] include the following, whether stored electronically or otherwise:

(1) in all representations, the papers and property delivered to the lawyer by or on behalf of the client and the papers and property for which the client has paid the lawyer’s fees and reimbursed the lawyer’s costs;

(2) in pending claims or litigation representations:

(i) all pleadings, motions, discovery, memoranda, correspondence and other litigation materials which have been drafted and served or filed, regardless of whether the client has paid the lawyer for drafting and serving the document(s), but shall not include pleadings, discovery, motion papers, memoranda and correspondence which have been drafted, but not served or filed if the client has not paid the lawyer’s fee for drafting or creating the documents; and

(ii) all items for which the lawyer has agreed to advance costs and expenses regardless of whether the client has reimbursed the lawyer for the costs and expenses including depositions, expert opinions and statements, business records, witness statements, and other materials that may have evidentiary value;

(3) in nonlitigation or transactional representations, client files, papers, and property shall not include drafted but unexecuted estate plans, title opinions, articles of incorporation, contracts, partnership agreements, or any other unexecuted document which does not otherwise have legal effect, where the client has not paid the lawyer’s fee for drafting the document(s).

Like the ABA’s Formal Opinion 471, the Minnesota rule states that papers and property submitted to the lawyer by the client must be returned to the client. The Minnesota rule further requires any papers and property for which the client has already paid the lawyer’s legal fees or reimbursed the lawyer’s costs to be surrendered. In its recent Opinion, the ABA presumes that all fees were paid, but still allows withholding some documents.

Although lawyers retain billing and collection rights, they must hand over documents that have been served or filed in litigation matters, as well as items for which they agreed to advance costs and payments – even if the client has not paid for the work or items. In transactional matters, lawyers have a bit more leeway in withholding documents. While all work already paid for must be released, unexecuted documents that have no legal effect may be withheld if the client has not paid for the work.

2. Surrender the client file promptly

Rule 1.15(c)(4), MRPC, states a lawyer shall “promptly…deliver to the client or third person as requested…properties in the possession of the lawyer which the client or third person is entitled to receive.”

Rule 1.16(d), MRPC states, “Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client’s interests, such as…surrendering papers and property to which the client is entitled…”

Rule 1.(4)(a)(4), MRPC, further requires the lawyer to “promptly comply with reasonable requests for information.”

Delays in surrendering the client file can and often do harm the client’s interests, especially when there is an imminent deadline or statute of limitations to meet. Responding promptly to requests for client files should be a top priority for the lawyer and his firm.

The state ethics rules do not require a hard copy transmission of client files. Lawyers Professional Responsibility Board Opinion 19 states a lawyer may use technological means such as email, without encryption, to transmit confidential client information without violating Rule 1.6, MRPC.

Using cloud computing software, such as Dropbox, to transmit client files is also not prohibited specifically. In general, cloud computing refers to data that is provided over the Internet and stored on servers owned by a third party, rather than installed on the user’s computer or server. Many states have issued cloud ethics opinions that permit the use of such technology to store and transfer client files, as long as reasonable care is taken and certain conditions are met.

Lawyers — particularly those who run paperless or mobile offices — may release the file electronically to the client in the interest of expediency. Of course, original documents belonging to the client must be returned.

3.  Obtain a written agreement from clients, at the outset, authorizing you to charge for duplicating or retrieving client files upon termination of representation (if you do not want to bear such costs)

Lawyers may charge a client for the reasonable costs of duplicating or retrieving the client’s file only if they had a written fee agreement, at the outset, allowing such a charge. Billing the client for such costs, without prior written authorization from the client, violates Rule 1.16(f).

The Minnesota Supreme Court has stated that when an attorney copies the client file at the termination of representation, the copy is really for the attorney’s benefit (for example, to defend against malpractice claims or ethics complaints). If there is no written agreement authorizing the charge, lawyers must surrender all items belonging to the client without cost.

Lawyers are not required to duplicate the files upon release to the departing client. Keeping at least an electronic copy, however, is a good, protective measure.  And if the firm hands over the file without retaining any copy, it is especially important to obtain written acknowledgment from the ex-client or new counsel confirming receipt of the file. An inventory list of the items surrendered should also be kept.

4. Keep a systematic file retention policy and notify your clients about it

Rule 1.15 (c) obligates lawyers to maintain complete records of all properties of a client coming into the lawyer’s possession and promptly surrender to the client, as requested, the properties to which the client is entitled. Rule 1.16 requires lawyers, upon termination of representation, to surrender all property to which the client is entitled. But as former Director of OLPR, Kenneth L. Jorgenson stated in a Bench & Bar article, “Neither of these rules, however, provides any guidance or insight about the duration of the obligation to return client property or whether it is ever appropriate to dispose of client files.”

Advances in technology and electronic storage make it possible to retain client files indefinitely. But such a conservative file retention policy is not required by the ethics rules.

Jorgenson notes that retention periods for client files must meet or slightly exceed a client’s reasonable anticipated needs for the file.  Relevant factors include statutes of limitations or deadlines relating to the file, tax laws and other regulations applicable to the client, and whether the file includes original documents that are intrinsically valuable (e.g., stocks, bonds, notes, deeds, wills and trusts).

Lawyers should also consider their  own need for the file in the event of a malpractice claim. Work with your malpractice carrier to create and implement a file retention policy.

Jorgenson advises lawyers to separate client originals from the file and return them to the client at the end of representation, or if necessary, retain them when the rest of the file is destroyed. The lawyer should provide notice of the retention policy at the outset in a retainer agreement and/or at the end of representation in a closing letter.  Jorgenson adds, “Client notice of the firm’s file retention period may render client demand for documents after expiration of the retention period unreasonable, or at least less reasonable.”

DON’TS

1.  Refrain from hanging on to documents you may keep if this serves a trivial purpose 

Holding back parts of the file to which the client is not entitled – out of spite or for no substantial purpose – can make a bad situation worse.  Even upon termination of representation, a lawyer shall take reasonable steps to protect the client’s interest.

Lawyers may choose to hand over the entire file to the client, even if they can withhold certain parts under the state rules. Unless full release would disclose other client confidences, reveal competitive business strategies, violate a court order, or harm a lawyer’s professional interest, it is generally better to provide all documents to help the client.

In his September 2015 article, OLPR Director Cole noted:

Minnesota does not in its rule otherwise distinguish intermediate drafts of documents from final products, as the ABA opinion spends time doing. Minnesota has not stated that such drafts are somehow documents to which a client is not entitled, so it would seem that they may be. Many lawyers may not historically have retained drafts of pleadings, research memos, etc., but in today’s electronic world, perhaps they are retained and may contain valuable tracking information about changes made. Maybe this will be an area in which the new ABA opinion can influence Minnesota’s rules.

2. No holding the client file hostage to secure payment

The ABA Model Rule 1.16 (d) states that in surrendering papers and property to which the client is entitled, “[t]he lawyer may retain papers relating to the client to the extent permitted by other law.” The phrase “other law” generally refers to a common law retaining lien or other law permitting the lawyer to retain a file as security for a fee.  State rules, however, trump the Model Rules.

While some states like South Dakota, Massachusetts, Georgia and Vermont follow the Model Rule and allow retaining liens in general, others such as North Dakota and Minnesota forbid them entirely.

North Dakota Rule 1.19 states  “[a] lawyer shall not assert a retaining lien against a client’s files, papers, or property[,]” including electronically-stored items.

In Minnesota, Rule 1.16(g), MRPC, forbids lawyers from conditioning the return of client papers and property on payment of the lawyer’s fee or the cost of copying or retrieving the file. Even when a lawyer has a written agreement authorizing charges for copying or retrieving the file, he may not withhold the client file to secure payment of those costs or legal fees owed.

Rule 1.16(e), MRPC, does allow lawyers to withhold certain items that have not been paid for. But lawyers cannot keep documents that belong to the client and must be surrendered to the client, while awaiting payment for those documents.

Lawyers whose state rules allow retaining liens should carefully consider whether to exercise this right. Withholding client files to secure payment — regardless of whether you have such a right — could harm the firm’s reputation, conflict with your professional values, fuel public mistrust, and interfere with your ethical obligations not to prejudice the client’s interest.

3. Stop using client communication & correspondences during representation as an excuse to not surrender the client file

Lawyers might resist releasing a client file when they have previously provided the client with copies of documents, correspondences, etc. during representation. Rule 1.4(a)(3), MRPC, states a lawyer shall “keep the client reasonably informed about the status of the matter.”

In its Formal Opinion 471, the ABA  encourages lawyers to regularly provide clients with information and copies of documents during the course of representation and encourages lawyers to advise clients to maintain these documents. This helps to comply with Rule 1.4. But the ABA added, “The fact that copies of certain materials may have been previously provided to a client is not dispositive of whether the lawyer must also provide such materials at the termination of a representation.”

The Office of Lawyers Professional Responsibility takes a similar approach.  A lawyer is not relieved of his duty to surrender client property by claiming the client previously received copies of pleadings and other items during representation. This is part of client communication and reduces the likelihood that the client will request the file at the end of representation. But the client cannot be forced to maintain a copy of the file.

4. Avoid careless loss and premature destruction of valuable documents in the client file

Although the ethics rules do not, per se, require permanent storage of client files, lawyers ought to safeguard their client’s property under Rule 1.15  Sloppy maintenance of client files will make it much harder for you to surrender them upon request.

Keep your file management and retention system well-organized, secure, and properly labeled to allow easy retrieval. You should not destroy a client file without proper notice to the client and without providing an opportunity to take the file before the retention period ends. A client can be harmed substantially if the firm loses or destroys documents that are not otherwise readily available to the client.

Conclusion

A lawyer’s failure to return papers and property belonging to the client is a common basis for ethics complaints. The Minnesota Supreme Court has rendered public discipline when the failure to return a client file is part of a pattern of misconduct. Withholding the client file to secure payment of fees or costs may also lead to discipline, even when no other misconduct is involved.

Practicing the Do’s and Don’ts in releasing client files and responding to such requests will help you avoid ethics complaints and malpractice claims, as well as protect your reputation and your (ex) clients’ interests.

* * *

This article provides general information only. Do not consider it as legal advice for any individual case or situation.   The sharing or receipt of this information does not create an attorney-client relationship.

The author, Dyan Williams, is admitted to the Minnesota state bar and focuses on the Minnesota Rules of Professional Conduct, which are subject to change. Check your individual state rules of professional conduct, regulations, ethics opinions and case precedents, instead of relying on this article for specific guidance. 

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Diversity Immigrant Visa – November Entry Deadline (Plus Other Things to Consider)

Posted on October 1, 2015 | Comments Off on Diversity Immigrant Visa – November Entry Deadline (Plus Other Things to Consider)

The Diversity Visa allows persons from countries with low rates of immigration to the U.S. to become lawful permanent residents – if they win the DV lottery and successfully complete the immigrant visa or green card process.

Most DV lottery winners live outside the United States and immigrate to the U.S. by obtaining the visa at their U.S. Consulate. When they land in the U.S., the customs officer endorses their visa, which serves as temporary evidence of their permanent residence. The green card is mailed to them in a few weeks at their U.S. address. A smaller number of DV lottery winners are already in the U.S. in nonimmigrant or other lawful status. They file for DV-based adjustment of status with USCIS and, if approved, are mailed a welcome notice and then their green card.

How many Diversity Visas are available each year? 

Starting on October 1 of each year, the U.S. State Department administers the DV Lottery to provide diversity immigrant visas to persons from countries with low rates of immigration to the U.S. in the last five years. Diversity visas are distributed among six geographic regions and no single country may receive more than seven percent of the available DVs in any one year.

When to Enter

Entries for the Diversity Visa Lottery must be submitted electronically between 12 pm (Eastern Time) in early October and 12 pm (Eastern Time) in early November of the fiscal year, as specified at the U.S. State Department website: https://www.dvlottery.state.gov/. Register early to avoid system delays in the last days of the entry period.

Who Can Enter

Applicants are selected through a randomized computer drawing. They must meet simple, but strict, eligibility requirements to qualify for a diversity visa.

Requirement #1: Applicant must be born in an eligible country (with two exceptions).

Countries with more than 50,000 natives immigrating to the U.S. in the previous five years are ineligible. Natives of some countries do not qualify. For example, natives of all countries except the following may apply for DV-2017:

Bangladesh, Brazil, Canada, China (mainland-born), Colombia, Dominican Republic, Ecuador, El Salvador, Haiti, India, Jamaica, Mexico, Nigeria, Pakistan, Peru, Philippines, South Korea, United Kingdom (except Northern Ireland) and its dependent territories, and Vietnam.

Persons who are ineligible due to their country of birth may be able to qualify if:

  • Their spouse was born in an eligible country. They could claim the country of birth of their spouse.
  • They were born in an ineligible country in which neither of their parents was born or legally resided at the  time of their birth. They could claim  the country of birth of one of their parents if it is a country whose natives are eligible for the DV.

Requirement #2: Applicant must have the necessary education or work experience.

Applicants must have either:

  • At least a high school education or its equivalent, defined as successful completion of a 12-year course of formal elementary and secondary education; OR
  • Two years of work experience within the past five years in an occupation requiring at least two years of training or experience to perform the job.

How to Enter

There is no cost to register for the DV lottery.  DV applicants must submit an online Electronic Diversity Visa Entry Form (E-DV Entry Form or DS-5501) and a digital photograph at www.dvlottery.state.gov by 12 pm Eastern Time on the November due date.

Failure to list your eligible spouse will result in your disqualification as the DV principal applicant and refusal of all visa applications in your case at the time of the visa interview. You must list your spouse even if you plan to be divorced before you apply for a visa. A spouse who is already a U.S. citizen or LPR will not require or be issued a visa, but you will not be penalized if you list them on your entry form.

Failure to list all your eligible children will result in your disqualification as the DV principal applicant and refusal of all visa applications in the case at the time of the visa interview. Eligible children include:

  • all living natural children;
  • all living children legally adopted by you; and,
  • all living step-children who are unmarried and under the age of 21 on the date of your entry, even if you are no longer legally married to the child’s parent, and even if the child does not currently reside with you and/or will not immigrate with you.

Married children and children who are aged 21 or older when you submit your entry are not eligible for the DV program. However, the Child Status Protection Act protects children from “aging out” in certain circumstances. If your DV entry is made before your unmarried child turns 21, and the child turns 21 before visa issuance, he/she may be treated as though he/she were under 21 for visa-processing purposes. A child who is already a U.S. citizen or LPR is not eligible for a Diversity Visa; you will not be penalized for including or omitting them from your entry.

Incomplete entries will not be accepted.  No late entries or paper entries will be accepted.

Each person is allowed only one entry.  Multiple entries on behalf of one person will all be disqualified.

After you submit a complete entry, you will see a confirmation screen containing your name and a unique confirmation number. Print this confirmation screen for your records.

The Department of State issues the complete instructions each year. The instructions for the 2017 Diversity Immigrant Visa Program (DV-2017) are available here.

How to Obtain a Diversity Immigrant Visa

Entering the DV Lottery is just the first step to becoming a diversity immigrant. You also need to be selected and obtain an immigrant visa (if you are outside the U.S.) or adjustment of status (if you are in the U.S.) by the end of the fiscal year (e.g. September 30, 2017 for the DV-2017 program).

From May 3, 2016 through September 30, 2017,  2017 DV Lottery entrants will need to visit www.dvlottery.state.gov, click on the Entrant Status Check link, and enter their confirmation number and personal information to check the status of their entry. You must use Entrant Status Check to confirm if you have been selected for the DV lottery and to check your immigrant visa interview appointment date. The U.S. government will not inform you directly.

Entrants who are selected may apply for permanent residence in the fiscal year, which is October 1 through September 30. The earliest they may apply for an immigrant visa at the U.S. Consulate (if they are outside the U.S.) or adjustment of status before USCIS (if they are in the U.S.) is October 1.They must also obtain their immigrant visa or adjustment of status by September 30, the end of the fiscal year.

No diversity visas can be issued and no DV-based adjustments can be approved after September 30th. Family members also may not obtain DVs to follow-to-join the principal applicant in the United States after this date.

Although there is no DV registration fee, consular processing or adjustment of status processing fees apply. Moreover, applying for the visa at the U.S. Consulate or filing for adjustment at USCIS is more complicated than entering the lottery.

Caution!

Being selected in the DV lottery doesn’t guarantee you will get the visa or green card. There are more lottery winners than there are actual visas available. When an allocation cut-off number is shown in the State Department’s monthly Visa Bulletin, visas are available only for applicants with DV regional lottery rank numbers BELOW the specified allocation cut-off number.

Keep in mind that if you apply for DV-based adjustment of status or a diversity immigrant visa, you are showing you have immigrant intent. So if you do not get the green card or diversity visa, you will face challenges qualifying for a B-2 visitor visa, F-1 student visa, or other visas that require nonimmigrant intent.

Police clearances and background checks are part of the process, which can cause delays. Diversity immigrant visa applicants must provide police clearance certificates from every country, except the U.S., where they have resided since age 16. Adjustment of status applicants do not have to submit police clearances, but they still need to get their biometrics taken and pass the FBI background check.

Plus, a DV applicant may be inadmissible to the U.S. for criminal-related reasons, prior immigration violations (e.g. falling out of status, accruing unlawful presence in the U.S. or being ordered removed from the U.S.), or other factors.  Inadmissibility means you are prohibited from entering the U.S. under federal immigration law.

If you are inadmissible to the U.S., you must obtain a waiver by filing a Form I-601 or Form I-212 before you may receive the diversity visa or DV-based adjustment.  You would have to meet the strict eligibility requirements for these waivers. And for some grounds of inadmissibility, there is no waiver available. On average, it takes 6 to 12 months to receive a decision on a waiver request.

If an inadmissibility bar applies to you, you should consult an immigration attorney to determine whether you qualify for a waiver to receive the visa or adjustment to permanent residence. An experienced attorney can help you prepare a strong waiver application and request an expedited approval to meet the September 30th deadline.

Even if you don’t need a waiver, an immigration attorney can also help you prepare the immigrant visa or adjustment application properly, and avoid unnecessary delays and missteps.

This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each legal case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.

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Immigration Consequences of Criminal Offenses: Myths & Facts

Posted on September 28, 2015 | Comments Off on Immigration Consequences of Criminal Offenses: Myths & Facts

When a person is charged with a crime, he and his criminal defense attorney are often most concerned with minimizing the penalties. The defendant might give up his right to a trial and enter a guilty plea or no-contest plea to a less serious charge, in exchange for the dismissal of other charges or a reduced sentence. But the U.S. immigration consequences can be far more serious than the jail time, fine, probation or other more direct consequences of the conviction.

Criminal convictions can lead to a non-citizen being deported from the United States, denied entry (or re-entry) into the United States, and stripped of immigration benefits, including eligibility to become a permanent resident or a naturalized citizen. The immigration consequences continue long after the person has already served his sentence.

If you are a foreign national who wishes to visit, immigrate to, or stay in the United States, you need to know the myths surrounding criminal offenses and their immigration consequences. The most common include:

Myth #1:  The “dismissal” of my criminal case, after I have met certain conditions, means I have no “conviction” under U.S. immigration law. 

Fact:  A conviction could still exist under federal immigration law even when a dismissal of the case means there is no conviction under state law.

You may qualify for a pre-trial intervention, first offender, or diversion program, in which counseling rather than punishment is emphasized. Some states and programs do not require defendants to enter a guilty plea or no-contest plea to qualify for the program. Prior to entering a plea, the person agrees to complete probation, anger management, group therapy, substance abuse treatment or other type of program. If the person successfully completes the program, the charges are dropped or the case is dismissed.

But when you must admit guilt or you are found guilty before the pre-trial intervention, first offender, or diversion program is imposed, this amounts to a conviction under federal immigration law. In this situation, a dismissal of the case — after you complete the program — does not wipe the slate clean for immigration purposes.

Immigration law defines “conviction” as a formal judgment of guilt or, if adjudication of guilt has been withheld, where (i) a judge or jury has found the person guilty or the person has entered a plea of guilty or nolo contendere or has admitted sufficient facts to warrant a finding of guilt, and (ii) the judge has ordered some form of punishment, penalty, or restraint on the person’s liberty to be imposed.

“Restraint on liberty” includes imprisonment, a fine or restitution, and probation. It also includes minimal community-based sanctions such as work-release programs, rehabilitation programs, house arrest, revocation or suspension of a driver’s license, and community service. Whether a jail sentence is actually served or suspended is irrelevant.

Unless a criminal case is outright dismissed, is stricken, or is not prosecuted — without any admission of guilt or penalty imposed — a criminal conviction exists under immigration law.

Myth #2:  An expungement (or sealing) of my criminal record means it is erased as if it never existed. 

Fact:  Generally, an expungement seals or deletes the criminal record in the local court and (perhaps) the state police’s databases.  Each state uses its own approach and procedures.  In most cases, a full expungement treats the offense as if it never occurred. For immigration purposes, however, an expungement does not erase the conviction.

Fingerprints taken when you were arrested remain in the FBI or federal databases. Immigration officials may still see or request expunged records for certain purposes.

When you file for a nonimmigrant visa, a visa waiver (under ESTA), permanent residence or U.S. citizenship, you are asked about arrests, charges and convictions. An expunged or sealed record does not make the arrest, charge or conviction go away for immigration purposes.

As part of a Form I-485 application for adjustment to permanent residence, Form I-90 application for replacement of green card, or Form N-400 application for naturalization, you must provide your fingerprints at a biometrics appointment.  A background check, including review of criminal records in the FBI database, will be conducted before you receive a decision on your application.

Your criminal record will normally turn up in the background check. If an immigration officer sees that you have a record, and you stated that you had no arrests, charges or convictions, he may deny your application based on fraud or willful misrepresentation of material fact to gain immigration benefits.

Immigration officials can sometimes obtain expunged records from the court. But you have the burden to produce court-certified records when you apply for certain immigration benefits, such as permanent residence, a new green card, or naturalization. Therefore, it’s best that you obtain the court-certified records before you seek an expungement. Otherwise, you might need to get the record unsealed to allow continued processing of your application.

Myth #3:  A relatively minor offense, such as a misdemeanor or a conviction resulting in a sentence under 1 year, will not cause any immigration problems.

Fact: A conviction does not necessarily disqualify a person from obtaining a visa, permanent residence, naturalization, or other immigration benefits. The  only situation in which a single conviction is an automatic and permanent bar to entering the U.S. is when the conviction is for an aggravated felony, and you have been previously removed due to the conviction.

In general, misdemeanor offenses carry less serious consequences than felony offenses. A sentence of less than one year can save the person from being deported without a viable defense. But the nature of the offense, type of conviction, and the maximum potential penalty are additional factors to consider.

Even non-violent, relatively minor misdemeanor offenses under state law can be classified as a felony or even an aggravated felony under federal immigration law. The Immigration and Nationality Act does not distinguish between felony and misdemeanor crimes. Rather, crimes are categorized by the type of conduct involved.

Aggravated Felony

A person convicted of an aggravated felony is ineligible for asylum, cancellation of removal, certain waivers of inadmissibility, and voluntary departure. Section 101(a)(43) of the Immigration and Nationality Act provides a list of offenses that are deemed aggravated felonies. They include:

  • murder
  • rape
  • sexual abuse of a minor (including statutory rape)
  • controlled substance trafficking
  • illicit trafficking in firearms or destructive devices
  • money laundering of more than $10,000
  • fraud or tax evasion involving a loss that exceeds $10,000
  • a crime of violence with a sentence of at least one year
  • a theft offense or burglary offense with a sentence of at least one year
  • perjury with a sentence of at least one year
  • kidnapping
  • commercial bribery, counterfeiting, forgery, or trafficking in vehicles
  • failure to appear in court on a felony charge for which a sentence of two years in prison may be imposed
  • obstruction of justice, perjury, or bribery of a witness, if the term of imprisonment was at least one year

While a reduced sentence under 1 year might help you avoid an aggravated felony charge, this only applies to a narrow group of convictions (e.g. theft and violent crimes).  There are various types of convictions that present immigration problems, no matter the sentence.

An aggravated felony is not the only crime that carries serious immigration consequences. Controlled substance violations, firearms offenses,  domestic violence, stalking, violation of protective orders, child endangerment, and child abuse are especially problematic.

Crime Involving Moral Turpitude

A Crime Involving Moral Turpitude (CIMT) often causes major immigration problems as well. A CIMT involves engaging in morally reprehensible and intrinsically wrong conduct with willful, reckless, or malicious intent.

Examples are crimes against a person (aggravated battery, aggravated assault with a deadly weapon, statutory rape); crimes against property (shoplifting, theft, fraud, forgery, robbery); sexual and family crimes (e.g. child abuse, aggravated domestic assault); and crimes against the government (e.g. bribery, counterfeiting, willful tax evasion).

A noncitizen is inadmissible to the U.S. if he is convicted of – or admits to committing – one CIMT (other than a political offense), unless he qualifies for:

(1) the petty offense exception, where the person committed only one CIMT ever, the CIMT has a potential sentence of a year or less, and a sentence of six months or less was imposed ; OR

(2) the youthful offender exception, where the person committed a single CIMT while under age 18, and at least five years have passed since the conviction and release from jail.

A noncitizen is deportable if convicted of a CIMT (other than a political offense) committed within five years after the date of his admission to the U.S., and for which a sentence of one year or longer may be imposed. The maximum sentence possible is the determining factor. For example, if the CIMT occurred within five years of the person becoming a lawful permanent resident, he is still removable from the U.S. if he could have been sentenced for 365 days or more. It doesn’t matter whether the actual sentence was less than 365 days or was suspended upon completion of probation.

A noncitizen is deportable for two or more convictions of crimes involving moral turpitude that occur anytime after admission to the U.S. on any visa, or after adjustment of status. The only two exceptions are if the offenses are “purely political” or arose in a “single scheme of criminal misconduct” (i.e. the very same incident).

To be admitted to the U.S. as a permanent resident or to prevent removal from the U.S. as a result of a CIMT, the person must qualify for certain relief, such as a 212(h) waiver in conjunction with adjustment to lawful permanent resident status.

Controlled Substance Violations

Section 212(a)(2)(A) (i)(II) of the INA states a person is inadmissible if he violated (or conspired or attempted to violate) any law or regulation of a State, the United States, or a foreign country relating to a controlled substance, as defined in section 802 of Title 21 (Controlled Substances Act). To be subject to this permanent bar, the person must be convicted of or admit to the essential elements of a controlled substance violation. This includes simple possession or use of marijuana or any other drug listed in Title 21, section 802.

The 212(h) waiver is available only when the intended immigrant has one controlled substance violation involving simple possession of 30 grams or less of marijuana (or an equivalent amount of hashish).

Multiple Convictions

A noncitizen is inadmissible if convicted of two or more crimes (other than purely political offenses) – regardless of whether the conviction arose from a single trial or whether the offenses arose from a single scheme of misconduct, and regardless of whether the crimes involved moral turpitude –  for an aggregate confinement totaling five years or more.

Criminal Records in general

In addition, any criminal record can make it much harder for you receive certain immigration benefits. For example, a disorderly conduct conviction or multiple DUI offenses are not automatic or conditional bars to naturalization. But they can make it harder for you to establish good moral character and easier for USCIS to deny your naturalization application – especially if they occurred within the statutory period (generally 3 to 5 years before you file your Form N-400.)

Myth #4: My criminal record will not matter if I have been a permanent resident for many years. 

Unconditional permanent resident status does not expire even when your 10-year green card is no longer valid.  But it can be revoked due to certain criminal convictions. As a permanent resident, you may also be denied-re-entry to the U.S. or be placed in removal proceedings on criminal-related grounds.

Although lawful permanent residents have more rights and privileges than undocumented immigrants and foreign nationals in non-immigrant status, only U.S. citizens are fully protected from the immigration consequences of criminal convictions.

Myth #5: Foreign convictions do not count for U.S. immigration or travel purposes.

U.S. immigration authorities consider a foreign conviction to be a “conviction” in the immigration context if the conviction resulted from an offense deemed to be criminal by U.S. standards. Federal U.S. standards on sentencing are also used to determine whether the foreign conviction is a felony or a misdemeanor, regardless of the sentence imposed in the foreign jurisdiction.

The U.S. also does not recognize foreign pardons.  Only full and unconditional U.S. pardons for a U.S. conviction – granted by the highest executive authority – removes deportability and inadmissibility under INA 212(a)(2)(A)(i)(I) (crime involving moral turpitude).  Foreign pardons do not county for U.S. immigration or travel purposes.

The Form I-485 application specifically asks you to disclose whether you have been arrested, cited, charged, convicted or sentenced for crimes outside the U.S. In the naturalization context and in visa applications, you are also expected to list criminal offenses that occurred outside the U.S., regardless of whether they resulted in a conviction or guilty plea.

Learn about the immigration consequences of a criminal charge or conviction before you enter a plea, leave the U.S., or apply for immigration benefits

In 2010, the U.S. Supreme Court ruled in Padilla v. Kentucky that the 6th Amendment right to counsel requires criminal defense attorneys to provide advice about the immigration consequences of a conviction to their noncitizen clients.  This decision, however, does not apply retroactively to pre-Padilla cases.

The immigration consequences depend on the elements of the crime, the nature of the offense, the potential sentence, the actual sentence imposed, and whether the person has other convictions.

Deportation, denial of entry to the U.S., and separation from families often have far more lasting effects than the sentence imposed.  Certain criminal convictions lead you into removal proceedings after you complete your jail sentence, or when you apply for a green card or for U.S. citizenship. You can also be denied re-entry to the U.S. as a permanent resident or valid visa holder on crime-related grounds.

You need to know how a conviction or sentence affects your immigration status before you enter a guilty plea, leave the U.S., or apply for immigration benefits including naturalization. Make sure to seek advice from an attorney who is experienced in the intersection between the two complex areas of immigration law and criminal law.

This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each legal case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.

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Form I-751: Removing Conditions on Permanent Residence When Marriage is on the Rocks

Posted on August 29, 2015 | Comments Off on Form I-751: Removing Conditions on Permanent Residence When Marriage is on the Rocks

Your permanent residence is “conditional” if it is based on a marriage that was less than two years old on the date you were granted this status.  The conditional residence – which begins on the date you lawfully enter the U.S. on an immigrant visa or the date you adjust to permanent residence – is valid for two years.

Failing to file a timely joint Form I-751 petition to remove the conditions results in the automatic termination of your status and subjects you to removal from the U.S.

In the best-case scenario, you and your U.S. citizen or lawful permanent resident (LPR) spouse would file a joint Form I-751 petition to remove the conditions during the 90 days before your two-year green card expires.

Then USCIS would approve the petition, remove the conditions, and issue the 10-year green card, based on documentary evidence showing the marriage is bona fide (i.e. entered into with the purpose of establishing a married life, and not for the purpose of obtaining immigration benefits). USCIS may approve the petition without interviewing you, if the documentary evidence is very strong.

But when the marriage is on the rocks, it becomes much harder to file a timely joint I-751 petition and to get the conditions on your residence removed.

Joint Filing When Parties are Separated or Initiated Divorce or Annulment

If the parties are separated but are on relatively good terms, they may submit a joint I-751 petition to the USCIS Service Center. The joint petition must be filed during the 90 days preceding the expiration of the two-year conditional residence. Otherwise, the conditional resident must establish “good cause and extenuating circumstances” for the late filing. Examples of good cause include hospitalization, long term illness, death of a family member, legal or financial problems, having to care for someone, bereavement, serious family emergency, and work commitment, or a family member on active duty with the U.S. military.

The couple must also appear for an in-person interview at a USCIS Field Office, if one is scheduled. In addition, they must meet a four-part test as follows: 1) the marriage was legal where it took place; 2) the marriage has not been terminated; 3) the marriage was not entered into for the purpose of procuring permanent resident status; and 4) no fee (other than to an attorney for filing assistance) was paid for the filing of the Form I-130 or Form I-129F petition.

If USCIS finds that the joint petitioners are legally separated and/or have initiated divorce or annulment proceedings, it will issue a Request for Evidence. The RFE will instruct the conditional resident to submit a copy of the divorce decree or annulment within 87 days, along with a written request to treat the joint petition as a waiver request petition.

If the conditional resident submits the divorce decree or annulment, USCIS will amend the joint petition to indicate it is a waiver request petition based on termination of marriage. USCIS will determine whether there is sufficient evidence to approve the petition on the merits or whether to transfer the case to a Field Office for an in-person interview.

If the conditional resident does not respond to the RFE, or the response does not sufficiently show the marriage has been terminated, USCIS will assess evidence of the bona fides of the marriage. USCIS will decide whether to approve the petition, deny it, or transfer it to a Field Office for an in-person interview.

USCIS may not deny a  joint petition solely because the parties are separated and/or have initiated divorce or annulment proceedings. But legal separation or initiation of divorce or annulment proceedings could suggest that the conditional resident entered into marriage solely for immigration benefits.

As long as the parties prove they married in good faith and the marriage has not been terminated or annulled, USCIS will approve the joint petition (even when the marriage is no longer viable).

Waiver of the Joint Filing Requirement

Conditional residence was introduced in 1986, when Congress passed the Immigration Marriage Fraud Amendment to discourage individuals from entering into sham marriages to circumvent U.S. immigration law. In the 1990’s, Congress passed laws that allow conditional residents, in certain situations, to individually file the I-751 petition so they do not have to stay in  bad or abusive marriages to keep immigrant status.

If the parties file for a divorce or annulment, or the U.S. citizen or LPR spouse is not willing to sign a joint I-751 petition, the conditional resident must then qualify for a waiver of the joint filing requirement.

To receive a waiver of joint filing,  conditional residents must show at least one of the following:

1. The U.S. citizen spouse subsequently died.

2. They entered the qualifying marriage in good faith, but the marriage was terminated (other than by death), and they are not at fault in failing to file a joint petition.

3. They entered the qualifying marriage in good faith, but during the marriage, they or their conditional resident child was battered or subjected to extreme cruelty committed by the U.S. citizen or permanent resident spouse or parent, and they are not at fault in failing to file a joint petition.

4. Extreme hardship would result if they were removed from the U.S.

Waiver petitions can be filed at any time prior to a final removal order, and do not require proof of “good cause and extenuating circumstances” for a late filing.

Waiver Based on Divorce (Good Faith/Divorce Waiver)

You may file your I-751 by yourself and request a waiver of the joint filing requirement if you are divorced from your U.S. citizen or LPR spouse. When there’s a divorce, an in-person interview at the USCIS Field Office is likely.

Current USCIS policy states that if you file a waiver request petition because you are separated from your spouse or because you are in divorce or annulment proceedings, USCIS will issue a Request for Evidence, giving you 87 days to submit a copy of the divorce decree or annulment.

If you submit the divorce decree or annulment, with a request for a waiver of the joint filing requirement based on termination of marriage, USCIS will continue processing your petition and adjudicate it on the merits.  If you do not submit the divorce decree or annulment, USCIS will deny the waiver request petition and issue a Notice of Termination of Conditional Residence.  USCIS may also serve you with a Notice to Appear (NTA) in removal proceedings before the Immigration Court.

After your divorce becomes final, you may refile your waiver request petition with USCIS if you are not in removal proceedings. Or you may apply for the waiver before the Immigration Court if you are placed in removal proceedings.

A divorce raises suspicion that the marriage was not entered in good faith. To get the waiver request petition approved, you must submit bona fide marriage documents such as birth certificates of your children;  joint mortgages or leases; records of shared bank accounts and credit cards; joint tax returns; photographs of the two of you together and with friends and relatives; correspondences you shared; and affidavits from marriage counselors, therapists, relatives and friends who know about your relationship.

Waiver Based on Battery or Extreme Cruelty by Spouse (Battered Spouse Waiver)

You may individually file the I-751 petition when you are in an abusive marriage that subjects you or your conditional resident child to battery or extreme cruelty perpetuated by the U.S. citizen or LPR spouse. This waiver is available regardless of whether you are still married to or still living with the spouse.

Battery or extreme cruelty is defined as “any act or threatened act of violence, including any forceful detention, which results or threatens to result in physical or mental injury.” Acts of violence include “psychological or sexual abuse or exploitation, including rape, molestation, incest (if the victim is a minor), or forced prostitution.”

Battery involves physical violence committed against you by your spouse. This can include slapping, shoving, punching or any other infliction of bodily injury.

Extreme cruelty includes nonviolent abuse inflicted on you by your spouse to control or punish you. This includes refusing to jointly file the I-751 unless you give in to unreasonable demands; threatening to report you to authorities and have you deported from the U.S.; threatening to physically harm you;  forbidding you from contacting friends and family; withholding food, transportation and other basic necessities; and searching through or destroying your personal property, including important documents.

To establish battery, you should present “expert testimony in the form of reports and affidavits from police, judges, medical personnel, school officials and social service agency personnel.” You may also submit evidence that you sought an order of protection against the abuser or present photographs of injuries you suffered.

To support claims of extreme cruelty, you should provide objective evidence from professionals recognized as experts in the field; namely, licensed clinical social workers, psychologists, and psychiatrists.

A detailed affidavit describing the abuse you suffered is also helpful.

Waiver Based on Extreme Hardship (Extreme Hardship Waiver)

You may self-petition to remove the conditions on your residence if termination of your permanent residency and removal from the United States would result in extreme hardship. The immigration statute is silent about who must suffer the extreme  hardship, but USCIS normally considers the hardships to the conditional resident and to the children of the marriage.

USCIS considers only factors that arose after you became a conditional permanent resident.  One example is when the political or economic conditions in your home country have deteriorated, and you have publicly criticized its government, since you became a conditional resident.

The term “extreme hardship” is not defined by immigration law. Rather, USCIS generally applies case law regarding applications for suspension of deportation or waivers of inadmissibility. USCIS will consider factors such as your age,  health condition, ability to obtain employment in the home country, length of residence in the U.S. and family ties in the U.S. Other factors include the financial difficulties and emotional hardships you would suffer if you were removed from the U.S., as well as the current political and economic conditions in your home country.

Although the statute itself does not require you to prove a good faith marriage, you must prove extreme hardship if you are removed from the U.S. Such hardship is significantly greater than the hardship that one would ordinarily experience upon being removed from the U.S.

Choosing the Appropriate Form I-751 Waiver

The most recent version of the Form I-751, dated 04/11/13, does not indicate that the waivers are mutually exclusive or that the conditional resident must select only one of the possible grounds for a waiver. Some USCIS officers or immigration judges, however, might instruct you to choose one waiver.

If the U.S. citizen or LPR spouse dies during the two-year conditional period, a separate waiver is available on that basis.  A copy of the death certificate and proof of the bona fide nature of the marriage must be submitted.

Consult an Immigration Attorney

An experienced immigration attorney can help you file a well-documented Form I-751 petition, as well as choose an appropriate waiver, if necessary. The attorney can also prepare you for the interview and attend it with you, if USCIS schedules one.  A denial of petition to remove conditions or a termination of conditional residence subjects you to removal from the U.S., so seeking accurate legal advice is crucial.

This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each legal case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.

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Applying for a Green Card Following Entry Into the U.S. as a Visitor

Posted on July 31, 2015 | Comments Off on Applying for a Green Card Following Entry Into the U.S. as a Visitor

Foreign nationals who enter the U.S. on a B-1/B-2 visitor visa or on the Visa Waiver Program (VWP) may file for their green card within the U.S. – instead of apply for their immigrant visa aboard – if they fit in the Immediate Relatives category. A common example is when the person enters into a bona fide marriage to a U.S. citizen following entry to the U.S. as a visitor. But the green card applicant’s true intentions when he applied for the visitor visa (or ESTA) or requested entry in visitor status may be called into question.

The visitor visa and VWP program allow foreign nationals to enter the U.S. for tourism or business for a temporary period. Using the visitor visa or VWP to enter the U.S. with the specific intent of immigrating to the U.S. carries risks and consequences.

Overstaying their non-immigrant status in the U.S., in and of itself, does not prevent immediate relatives from adjusting to permanent resident status. Immediate relatives include the U.S. citizen’s spouse, children under age 21, and parents (if the U.S. citizen is 21 or older). In addition, a general desire to immigrate is generally fine. Problems, however, arise when there is willful misrepresentation about the purpose of the trip.

What are the risks and consequences of the visitor-to-green card holder option? 

1. Foreign national may be charged with fraud or willful misrepresentation to obtain immigration benefits

Immigration authorities expect fiancé(e)s of U.S. citizens to apply for a K-1 visa and spouses, parents and minor children of U.S. citizens to apply for an immigrant visa at the U.S. Consulate abroad, rather than enter the U.S. as a visitor and then apply for a marriage-based green card.

The U.S. Department of State adopted a 30/60 day rule when a foreign national violates his nonimmigrant status.  When a foreign national marries a U.S. citizen and takes up residency in the United States within 30 days of entry, the DOS presumes that he misrepresented his intent in seeking a visitor visa or entry. If the marriage or green card application occurred after 30 days but within 60 days of entry, the DOS does not presume there was misrepresentation. But if the facts provide a reasonable basis to believe the foreign national misrepresented his intent, the DOS allows him to present rebuttal evidence. If the marriage or green card application occurred after 60 days, the DOS does not consider such conduct to constitute fraud or willful misrepresentation to obtain immigration benefits.

USCIS is a separate agency from the DOS and the Board of Immigration Appeals has held that immediate relatives are exempt from the 30/60 day rule. In other words, immediate relatives of U.S. citizens who wish to apply for adjustment of status may do so at any time, even within 30 days of entry into the U.S.

[See updates below regarding the switch from 30/60 day rule to 90 day rule.]

Nevertheless, USCIS is often persuaded by and frequently follows the DOS policy. During the adjustment of status process, USCIS may find that the applicant misused the visitor visa or VWP by claiming to be a mere visitor at the U.S. port of entry, when in fact he intended to remain in the U.S. and file for a marriage-based green card.

USCIS might be especially suspicious if you get married or apply for a green card within 30 to 60 days of entering the U.S. They might overlook this conduct or you might be able to convince the USCIS officer that you decided to marry or apply for a green card only after you arrived in the U.S.

If USCIS is not convinced by  your explanation, it will deny your marriage-based green card application on the basis of immigration fraud or misrepresentation, unless you qualify for and receive an I-601 waiver of inadmissibility.  (To obtain an I-601 waiver, applicants must show a qualifying relative  – i.e. U.S. citizen or permanent resident spouse or parent – would suffer extreme hardships if  they are not granted the green card and allowed to stay in the U.S.)

At the U.S. port of entry, the U.S. Customs and Border Protection (CBP) officer may also question the visitor visa holder or VWP entrant about the purpose of his visit.  If you truthfully inform the customs officer that you are coming to the U.S. to get married or visit your U.S. citizen fiancé(e), he could find that you have no intent to leave the U.S. before your authorized stay expires.  The officer may then issue an expedited removal order or request that you withdraw your application for admission into the U.S. In some cases, your visitor visa may be cancelled or revoked and you may be barred from using the VWP.

It can be tempting to just tell the U.S. Consulate or customs officer that you are only coming to the U.S. for a temporary visit, when in fact you intend to engage in other conduct that reflects immigrant intent. While preconceived intent to immigrate to the U.S. does not bar immediate relatives from adjusting to permanent resident status, fraud or willful misrepresentation to obtain immigration benefits does.

2. Foreign national is subject to removal from the U.S.

Although overstaying the B-1/B-2 or VWP authorized period does not bar adjustment of status, it does make the foreign national removable from the U.S. The maximum period of stay in B-1/B-2 status is typically 6 months.  The maximum period of stay on the VWP is 90 days.

When the foreign national remains in the U.S. following expiration of the B-1/B-2 authorized period, he is subject to being placed in removal proceedings due to the overstay. Because VWP entrants waive their right to contest any action for removal, except when applying for asylum, they may be ordered removed without being referred to an Immigration Judge.

The filing of an I-485 application tolls unlawful presence, but does not provide any lawful status. If the adjustment application is denied and the person is not maintaining any nonimmigrant status, he is not only subject to removal, but also begins to accrue unlawful presence.

Departure from the U.S. after accruing more than 180 days to less than 1 year of unlawful presence in the U.S. triggers a 3-year bar from the U.S. The bar is 10 years if the unlawful presence lasted for 1 year or more. To obtain an immigrant visa prior to when the  3/10 year bar expires, the foreign national must first receive an I-601 waiver of inadmissibility. A foreign national who was ordered removed from the U.S. would also need to obtain advance permission to re-enter the U.S. by filing a Form I-212 application (unless the 5, 10 or 20-year bar, resulting from the removal order, has passed).

Visa fraud (misusing the visitor visa or VWP to gain entry into the U.S.) is also grounds for removal from the U.S. Instead of being granted a green card, the foreign national who entered on a visitor visa may end up in removal proceedings, and the VWP entrant may be issued an expedited removal order, if they are found to have committed visa fraud.

When does the visitor-to-green card holder option work best?

1. Foreign national met the U.S. citizen spouse or began committed relationship after he entered the U.S.

In many cases, foreign nationals meet their U.S. citizen spouses-to-be or enter into a committed relationship or get engaged only after they arrive in the U.S. on a visitor’s visa or on the VWP, either during the authorized stay or after the authorized stay expired.

A bona fide marriage between the U.S. citizen and foreign national allows the couple to file a one-step application with USCIS (i.e. US citizen files I-130 immigrant petition and foreign national files I-485 application for adjustment of status, concurrently.)  Upon entry, the foreign national might have a general desire to remain in the U.S., but no specific plans to immigrate because he had yet to meet or become engaged to the U.S. citizen spouse.

The longer the time period between the visitor visa or VWP entry and the filing of the green card application, the easier it is for the foreign national to prove he did not commit fraud or willful misrepresentation to gain entry into the U.S.

2. Foreign national is undecided about immigrating to the U.S. at the time of entry to the U.S.

Entering the U.S. on a visitor visa or on the VWP to spend time with a U.S. citizen petitioner is a permissible activity. It is possible for a person to enter the U.S. in visitor status to maintain a long-distance relationship with a U.S. citizen fiancé(e), or to get married to the U.S. citizen – as long as the intent is to timely depart the U.S. before the authorized stay ends.

Not all foreign nationals want to immigrate to the United States. Some are from developed countries or run successful businesses or hold lucrative professions in their home countries that they do not want to relinquish.

Fraud or willful misrepresentation occurs when you intend to remain in the U.S. permanently, but you tell the consular officer or customs officer that you are coming to the U.S. for a temporary visit. In general, silence or failure to volunteer negative information that is not specifically requested does not amount to fraud or willful misrepresentation.

Due to the 30/60 day rule, it is best to wait to file the marriage-based green card application at least 91 days after entry on a visitor visa or on the VWP.  If the application is made after 90 days, USCIS normally assumes the foreign national acted in good faith and was undecided about immigrating to the U.S.

[UPDATE, August 1, 2017: The DOS replaced the 30/60 day rule with the 90-day rule, which establishes a presumption of willful misrepresentation “if an alien violates or engages in conduct inconsistent with his or her nonimmigrant status within 90 days of entry.” If such actions occur within 90 days of entry, a consular officer “may presume that the applicant’s representations about engaging in only status-compliant activity were willful misrepresentations of his or her intention in seeking a visa or entry.]

[UPDATE, September 10, 2021: The DOS updated its policy on the 90-day rule: If an individual engages in conduct inconsistent with their nonimmigrant status within 90 days of visa application or admission to the United States, the officer may presume the applicant made a willful misrepresentation. The officer must provide the applicant with the opportunity to rebut the presumption of misrepresentation. Inconsistent conduct includes the visitor marrying a United States citizen or LPR and taking up residence in the United States.  Examples of taking up residence are applicant signing a long-term lease or mortgage, having utility bills, and obtaining a local driver’s license.]”

Keep in mind that USCIS considers other evidence when determining your true intentions upon entry into the U.S. For example, to prove the bona fide nature of your marriage, you may submit letters, emails and other correspondences proving your premarital courtship. If any of these correspondences show you planned to marry and remain permanently in the U.S. following entry as a visitor, USCIS could find that you misused the visitor visa or VWP and thus deny your green card application.

Consult an Immigration Attorney to Help You Determine Your Best Immigration Option

Although filing for a marriage-based green card following entry to the U.S. as a visitor is quite common, there are risks and consequences involved in this process.

Applying for a K-1 fiancé(e) visa, K-3 nonimmigrant visa, or immigrant visa at the U.S. Consulate abroad  instead of entering the U.S. on a visitor visa – when the intent is to immigrate to the U.S. – is normally more appropriate.

If you are already in the U.S. and have concerns about proving your good faith non-immigrant intent upon entry into the U.S., you could leave the U.S. before your authorized stay expires and apply for the appropriate visa abroad. And if you leave the U.S. after your authorized stay expires, and you accumulated at least 180 days of unlawful presence prior to your departure, you will trigger the 3/10-year bar. In that event, you will need to obtain an I-601 waiver of inadmissibility to obtain the immigrant visa before the 3/10-year bar expires.

Consult an experienced immigration attorney to help you determine your best visa option and immigration route based on marriage to a U.S. citizen.

This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each legal case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.

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