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政策法规移民局 (USCIS)重要#H-1B 专业人士#职业移民与工卡

DHS提议取消USCIS对既往批准决定的遵从,影响工作签证延期申请

发布日期 2026年10月14日

美国国土安全部(DHS)提议废除要求USCIS在审理通过Form I-129提交的非移民工作签证延期申请时对涉及相同事实的既往批准给予遵从的规定(8 CFR 214.1(c)(5))。根据现行规定,除非存在重大错误、重大情况变化或新的实质性信息,USCIS通常应遵从此前的批准决定。该提案尚未最终确定或生效,公众可在2026年11月13日前提交意见。

要点

影响对象

为非移民工作签证持有者提交Form I-129延期申请的雇主,以及延期申请一直依赖此前USCIS批准的非移民员工,尤其是H-1B等类别的申请人。

建议行动

受影响的雇主和员工可通过regulations.gov在2026年11月13日前提交意见,并应为未来延期申请面临更严格审查做好准备。

全文翻译

官方原文全文已于 2026-10-14 保存在本站。即使原链接变更或被删除,仍可在此查看全文。译文由 AI 逐段翻译,仅英文原文具有法律效力。

文件标题
Document Headings
文件标题因文件类型而异,但可能包含以下内容:
Document headings vary by document type but may contain the following:
签发并签署文件的机构或多个机构
the agency or agencies that issued and signed a document
文件所修订、拟议修订或直接相关的联邦法规汇编(CFR)标题编号及各部分编号
the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to
机构档案编号/机构内部文件编号
the agency docket number / agency internal file number
RIN,用于标识《联邦监管与放松监管行动统一议程》中列出的每项监管行动
the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions
有关详细信息,请参阅《文件起草手册》。
See the Document Drafting Handbook for more details.
美国国土安全部
Department of Homeland Security
8 CFR 第214部分
8 CFR Part 214
[CIS 编号 2870-26;DHS 档案编号 USCIS-2026-0529]
[CIS No. 2870-26; DHS Docket No. USCIS-2026-0529]
RIN 1615-AD26
RIN 1615-AD26
(印刷版第65119页)
( printed page 65119)
机构:
AGENCY:
美国公民及移民服务局(USCIS),国土安全部(DHS)。
U.S. Citizenship and Immigration Services, DHS.
行动:
ACTION:
拟议规则制定通知。
Notice of proposed rulemaking.
摘要:
SUMMARY:
美国国土安全部(DHS)所属的美国公民及移民服务局(USCIS)拟议删除8 CFR 214.1(c)(5),该条款通常规定,USCIS在审理涉及外国人就业或停留期限延期请求时,对涉及相同事实的先前批准给予遵从。此项变更将使国土安全部的法规更好地与制定法保持一致,该法将证明获得所有移民福利资格的举证责任置于请愿人、申请人或受益人身上;加强裁决审查;并支持机构的优先事项,以提升移民体系的完整性,并更好地保护美国工人的利益。
The U.S. Department of Homeland Security (DHS), U.S. Citizenship and Immigration Services (USCIS), proposes to remove 8 CFR 214.1(c)(5), which generally provides that USCIS gives deference to a prior approval involving the same facts when adjudicating a request to extend a petition for an alien's employment or stay. This change would better align DHS regulations with the statute, which places the burden of proving eligibility for all immigration benefits on the petitioner, applicant, or beneficiary; strengthen adjudicatory review; and support agency priorities to improve the integrity of the immigration system and better protect the interests of U.S. workers.
日期:
DATES:
关于本拟议规则制定通知(NPRM)的书面意见必须于2026年11月13日或之前提交。联邦电子档案管理系统将在当日东部时间午夜之前接受意见。
Written comments on the notice of proposed rulemaking (NPRM) must be submitted on or before November 13, 2026. The electronic Federal Docket Management System will accept comments before midnight Eastern time at the end of that day.
地址:
ADDRESSES:
您可以通过联邦电子规则制定门户网站https://www.regulations.gov就本拟议规则制定整个文件包提交意见,该文件包以DHS档案编号USCIS-2026-0529标识。根据5 U.S.C. 553(b)(4),上文所载本规则的摘要也可在https://www.regulations.gov上查阅。请按照网站说明提交意见。
You may submit comments on the entirety of this proposed rulemaking package, identified by DHS Docket No. USCIS-2026-0529 through the Federal eRulemaking Portal: https://www.regulations.gov. In accordance with 5 U.S.C. 553(b)(4), the summary of this rule found above may also be found at https://www.regulations.gov. Follow the website instructions for submitting comments.
以非https://www.regulations.gov方式提交的意见,包括发送给DHS或USCIS官员的电子邮件或信函,将不被视为对本拟议规则的意见,且DHS可能不会予以回复。请注意,DHS和USCIS不能接受任何手递或专人快递的意见。此外,DHS和USCIS不能接受存储于任何形式数字存储介质(如CD/DVD和USB驱动器)上的意见。USCIS目前也不接受邮寄意见。如果您无法通过https://www.regulations.gov提交意见,请致电(240) 721-3000联系美国国土安全部美国公民及移民服务局政策与战略办公室监管协调处,以获取替代提交说明。
Comments submitted in a manner other than via https://www.regulations.gov, including emails or letters sent to DHS or USCIS officials, will not be considered comments on the proposed rule and may not receive a response from DHS. Please note that DHS and USCIS cannot accept any comments that are hand-delivered or couriered. In addition, DHS and USCIS cannot accept comments contained on any form of digital media storage devices, such as CDs/DVDs and USB drives. USCIS is also not accepting mailed comments at this time. If you cannot submit your comment by using https://www.regulations.gov, please contact the Regulatory Coordination Division, Office of Policy and Strategy, U.S. Citizenship and Immigration Services, U.S. Department of Homeland Security, by telephone at (240) 721-3000 for alternate instructions.
欲知详情,请联系:
FOR FURTHER INFORMATION CONTACT:
美国国土安全部美国公民及移民服务局政策与战略办公室商业与外国工人事务处,地址:5900 Capital Gateway Drive, Camp Springs, MD 20746;电话(240) 721-3000(非免费电话)。
Business and Foreign Workers Division, Office of Policy and Strategy, U.S. Citizenship and Immigration Services, U.S. Department of Homeland Security, 5900 Capital Gateway Drive, Camp Springs, MD 20746; telephone (240) 721-3000 (not a toll-free call).
补充信息:
SUPPLEMENTARY INFORMATION:
目录
Table of Contents
一、公众参与
I. Public Participation
二、背景
II. Background
A. 拟议监管行动的目的与摘要
A. Purpose and Summary of the Proposed Regulatory Action
B. 法律授权
B. Legal Authority
C. 停留期限延长与请愿有效期
C. Extensions of Stay and Petition Validity
D. USCIS裁决中遵从原则的历史
D. History of Deference in USCIS Adjudications
三、拟议规则的讨论
III. Discussion of Proposed Rule
A. 恢复举证责任的正确分配
A. Restoring the Proper Allocation of the Burden of Proof
B. 加强USCIS官员的事实认定权限
B. Enhancing USCIS Officer Fact-Finding Authority
C. 加强项目完整性
C. Strengthening Program Integrity
D. 对遵从政策的重新审视
D. Reconsideration of the Deference Policy
E. 信赖利益与已考虑的替代方案
E. Reliance Interests and Alternatives Considered
四、法定与法规要求
IV. Statutory and Regulatory Requirements
A. 第12866号行政命令(监管规划与审查)、第13563号行政命令(改进监管与监管审查)及第14192号行政命令(通过放松监管释放繁荣)
A. Executive Orders 12866 (Regulatory Planning and Review), 13563 (Improving Regulation and Regulatory Review), and 14192 (Unleashing Prosperity Through Deregulation)
1. 摘要
1. Summary
2. 背景与目的
2. Background and Purpose
3. 受影响人群
3. Population
4. 成本效益分析
4. Cost-Benefit Analysis
B. 《监管灵活性法》
B. Regulatory Flexibility Act
1. 初步监管灵活性分析
1. Initial Regulatory Flexibility Analysis
C. 《无资金授权改革法》
C. Unfunded Mandates Reform Act
D. 第13132号行政命令(联邦制)
D. Executive Order 13132 (Federalism)
E. 第12988号行政命令(民事司法改革)
E. Executive Order 12988 (Civil Justice Reform)
F. 第13175号行政命令(与印第安部落政府的协商与协调)
F. Executive Order 13175 (Consultation and Coordination With Indian Tribal Governments)
G. 《国家环境政策法》
G. National Environmental Policy Act
H. 《文书削减法》
H. Paperwork Reduction Act
缩略语表
Table of Abbreviations
CFR,联邦法规汇编
CFR—Code of Federal Regulations
DHS,美国国土安全部
DHS—U.S. Department of Homeland Security
FR,《联邦纪事》
FR—Federal Register
HSA,2002年《国土安全法》
HSA—Homeland Security Act of 2002
INA,《移民与国籍法》
INA—Immigration and Nationality Act
NEPA,《国家环境政策法》
NEPA—National Environmental Policy Act
NOID,拟拒绝通知
NOID—Notice of Intent to Deny
NPRM,拟议规则制定通知
NPRM—Notice of Proposed Rulemaking
OMB,管理和预算办公室
OMB—Office of Management and Budget
PRA,1995年文书削减法
PRA—Paperwork Reduction Act of 1995
RFA,1980年监管灵活性法案
RFA—Regulatory Flexibility Act of 1980
RFE,证据请求
RFE—Request for Evidence
RIA,监管影响分析
RIA—Regulatory Impact Analysis
RIN,法规识别号
RIN—Regulation Identifier Number
SBA,美国小企业管理局
SBA—U.S. Small Business Administration
部长,国土安全部部长
Secretary—Secretary of Homeland Security
UMRA,1995年无资金授权改革法
UMRA—Unfunded Mandates Reform Act 1995
U.S.C.,美国法典
U.S.C.—United States Code
USCIS,美国公民及移民服务局
USCIS—U.S. Citizenship and Immigration Services
一、公众参与
I. Public Participation
国土安全部(DHS)邀请所有利益相关方通过提交书面数据、意见、评论和论点,就本拟议规则的各个方面参与本次规则制定。国土安全部还邀请提交与本拟议规则可能产生的经济、环境或联邦制效应相关的评论。评论必须以英文提交,或须提供英文译文。对美国公民及移民服务局(USCIS)实施这些变更最有帮助的评论将引用拟议规则的具体部分,说明建议变更的理由,并包含支持该建议变更的数据、信息或依据。以https://www.regulations.gov以外方式提交的评论,包括发送给国土安全部或美国公民及移民服务局官员的电子邮件或信函,将不被视为对本拟议规则的评论,国土安全部可能不会作出回应。
DHS invites all interested parties to participate in this rulemaking by submitting written data, views, comments, and arguments on all aspects of this proposed rule. DHS also invites comments that relate to the economic, environmental, or federalism effects that might result from this proposed rule. Comments must be submitted in English, or an English translation must be provided. Comments that will provide the most assistance to USCIS in implementing these changes will reference a specific portion of the proposed rule, explain the reason for any recommended change, and include data, information, or authority that support such recommended change. Comments submitted in a manner other than via https://www.regulations.gov, including emails or letters sent to DHS or USCIS officials, will not be considered comments on the proposed rule and may not receive a response from DHS.
说明:如果您提交评论,必须注明机构名称(美国公民及移民服务局)和本次规则制定的国土安全部案卷编号USCIS-2026-0529。请注意,所有提交内容将原样发布于联邦电子规则制定门户网站https://www.regulations.gov,并将包括(印刷版第65120页)您提供的任何个人信息。因此,提交此类信息即意味着将其公开。您在向国土安全部提交的任何自愿公开评论中,可考虑限制所提供个人信息的数量。国土安全部可能会对其认定可能影响个人隐私或具有冒犯性的评论内容不予公开。欲了解更多信息,请阅读https://www.regulations.gov上提供的《隐私与安全声明》。
Instructions: If you submit a comment, you must include the agency name (U.S. Citizenship and Immigration Services) and the DHS Docket No. USCIS-2026-0529 for this rulemaking. Please note all submissions will be posted, without change, to the Federal eRulemaking Portal at https://www.regulations.gov, and will include ( printed page 65120) any personal information you provide. Therefore, submitting this information makes it public. You may wish to consider limiting the amount of personal information that you provide in any voluntary public comment submission you make to DHS. DHS may withhold information provided in comments from public viewing that it determines may impact the privacy of an individual or is offensive. For additional information, please read the Privacy and Security Notice available at https://www.regulations.gov.
案卷:如需查阅案卷并阅读背景文件或已收到的评论,请访问https://www.regulations.gov,并引用国土安全部案卷编号USCIS-2026-0529。您还可以在线上案卷中注册电子邮件提醒,以便在评论发布或最终规则发布时获得通知。
Docket: For access to the docket and to read background documents or comments received, go to https://www.regulations.gov, referencing DHS Docket No. USCIS-2026-0529. You may also sign up for email alerts on the online docket to be notified when comments are posted or a final rule is published.
二、背景
II. Background
A. 拟议监管行动的目的和摘要
A. Purpose and Summary of the Proposed Regulatory Action
本拟议规则的目的是删除8 CFR 214.1(c)(5)。该法规指示美国公民及移民服务局(USCIS)官员在审理涉及相同当事人和相同基础事实的I-129表格(非移民工作者申请书)所提交的请求时,对申请人、请愿人或受益人资格的先前认定给予尊重。[1] 这一要求最常适用于申请雇主在相同的先前已获批准的非移民工作者类别下,寻求延长外国人在美国的雇佣或授权停留期限的申请书。根据现行法规,除非存在重大错误、重大变化或新的重大信息,美国公民及移民服务局通常必须尊重对非移民工作者类别资格的先前认定。参见8 CFR 214.1(c)(5)。
The purpose of this proposed rule is to remove 8 CFR 214.1(c)(5). That regulation instructs USCIS officers to give deference to a prior determination of a petitioner's, applicant's, or beneficiary's eligibility when adjudicating a request filed on Form I-129, Petition for a Nonimmigrant Worker, involving the same parties and the same underlying facts.[1] This requirement most often applies when a petitioning employer seeks to extend a petition for an alien's employment or authorized stay in the United States under the same previously approved nonimmigrant worker classification. Under the current regulation, USCIS must generally defer to the prior determination of eligibility for the nonimmigrant worker classification unless there was a material error, a material change, or new material information. 8 CFR 214.1(c)(5).
国土安全部在颁布8 CFR 214.1(c)(5)时曾表示,尽管此前已获批准,申请人“仍将负有举证责任,须提交所有必要且相关的证据”,以证明其符合所申请非移民工作者类别的资格。参见《H-1B要求现代化、为F-1项目提供灵活性以及影响其他非移民工作者的项目改进》,89 FR 103054, 103093(2024年12月18日)。该机构还表示,“尊重先前认定并不等同于美国公民及移民服务局不对申请书进行审查。”同上。
When DHS promulgated 8 CFR 214.1(c)(5), the agency stated that petitioners would “continue to have the burden to present all required and relevant evidence” to establish eligibility for the requested nonimmigrant worker classification notwithstanding the prior approval. See Modernizing H-1B Requirements, Providing Flexibility in the F-1 Program, and Program Improvements Affecting Other Nonimmigrant Workers,89 FR 103054, 103093 (Dec. 18, 2024). The agency also stated that “deference does not equate to a lack of USCIS review of the petition.” Id.
然而,国土安全部(DHS)现在认为,该遵从规定的实际效果与上述声明不一致。具体而言,遵从规定和政策实际上将证明有理由偏离先前批准的举证责任从申请人转移给了美国公民及移民服务局(USCIS)官员。国土安全部还担心,遵从政策产生的实际效果是,促使USCIS官员在裁决延期申请时优先考虑与先前批准保持一致以及裁决效率,而不是充分审查所有事实和证据以确保申请人持续符合非移民工人福利的资格。因此,国土安全部认为,部分申请人已将遵从政策理解为,在就先前批准申请延期时,减轻了其证明持续符合所申请非移民工人类别资格的义务。总体而言,遵从规定和政策可能通过降低对非移民工人类别延期申请的审查力度而损害项目诚信,从而可能使错误的先前批准得以延续,并造成一种使欺诈性和无实质理由的申请在批准前更不易被发现的环境。参见本序言第三部分。
DHS now believes, however, that the practical effect of the deference regulation is inconsistent with those statements. In particular, the deference regulation and policy effectively shift the burden from the petitioner to the USCIS officer to justify departing from a prior approval. DHS is also concerned that the deference policy has had the practical effect of encouraging USCIS officers to prioritize consistency with prior approvals and efficiency in adjudication of extension requests rather than fully exploring all facts and evidence to ensure continued eligibility for the nonimmigrant worker benefit. As a result, DHS believes that some petitioners have interpreted the deference policy as reducing their obligation to demonstrate continued eligibility for the requested nonimmigrant worker classification when seeking an extension of a prior approval. Overall, the deference regulation and policy risk undermining program integrity by potentially reducing scrutiny of extension requests of nonimmigrant worker classifications, thereby potentially perpetuating erroneous prior approvals and creating an environment in which fraudulent and meritless petitions are less likely to be detected before approval. See Section III of this preamble.
因此,国土安全部提议删除8 CFR 214.1(c)(5)条。国土安全部认为,这一改动将使国土安全部的法规和USCIS的裁决实践更好地与该机构对《移民与国籍法》(INA或该法)的长期解释保持一致,该解释将证明符合所有移民福利资格的举证责任置于申请人身上。参见INA第291条,8 U.S.C. 1361;Matter of Chawathe案,25 I. & N. Dec. 369, 375 n.7(USCIS行政上诉办公室,2010年)(“证明符合所寻求福利资格的举证责任完全由申请人承担”)。取消遵从要求还将有助于确保USCIS官员在每个案件中都充分审查事实和证据,以确保持续符合资格。总体而言,国土安全部认为,这一改动将促进更全面的裁决,加强非移民工人福利裁决中的项目诚信,降低错误批准得以延续的风险,并支持本届政府在更好地保护美国工人和更忠实地执行国会制定的移民法方面所做的更广泛努力。[2]
Therefore, DHS proposes to remove 8 CFR 214.1(c)(5). DHS believes that this change would better align DHS regulations and USCIS adjudicatory practice with the agency's longstanding interpretation of the Immigration and Nationality Act (INA or Act), which places the burden of proof in establishing eligibility for all immigration benefits on the petitioner. See INA sec. 291, 8 U.S.C. 1361; Matter of Chawathe, 25 I. & N. Dec. 369, 375 n.7 (USCIS AAO, 2010) (“The burden of proving eligibility for the benefit sought remains entirely with the applicant”). Removing the deference requirement would also help to ensure that USCIS officers fully review the facts and evidence in every case to ensure continued eligibility. Overall, DHS believes that this change would promote more complete adjudications, strengthen program integrity in the adjudication of nonimmigrant worker benefits, reduce the risk of perpetuating erroneous approvals, and support the Administration's broader efforts to better protect U.S. workers and more faithfully enforce the immigration laws enacted by Congress.[2]
B. 法律授权
B. Legal Authority
国土安全部部长(部长)就这些拟议法规修正案的授权,见于《移民与国籍法》(8 U.S.C. 1101及其后条款)的各个条款,以及《2002年国土安全法》(HSA,公法107-296号,116 Stat. 2135,6 U.S.C. 101及其后条款)。发布本拟议规则的一般授权见于INA第103(a)条,8 U.S.C. 1103(a),该条授权部长管理和执行移民与国籍法律,并制定部长认为为行使该授权所必需的法规,以及HSA第102条,6 U.S.C. 112,该条将国土安全部的所有职能赋予部长,并授权部长发布法规。[3]这些拟议法规修正案的进一步授权见于:
The Secretary of Homeland Security (Secretary)'s authority for these proposed regulatory amendments is found in various sections of the INA, 8 U.S.C. 1101 et seq., and the Homeland Security Act of 2002 (HSA), Public Law 107-296, 116 Stat. 2135, 6 U.S.C. 101 et seq. General authority for issuing this proposed rule is found in section 103(a) of the INA, 8 U.S.C. 1103(a), which authorizes the Secretary to administer and enforce the immigration and nationality laws and establish such regulations as the Secretary deems necessary for carrying out such authority, as well as section 102 of the HSA, 6 U.S.C. 112, which vests all of the functions of DHS in the Secretary and authorizes the Secretary to issue regulations.[3] Further authority for these proposed regulatory amendments is found in:
INA第214(a)(1)条,8 U.S.C. 1184(a)(1),该条授权部长以法规形式规定非移民入境的时间和条件;
Section 214(a)(1) of the INA,8 U.S.C. 1184(a)(1), which authorizes the Secretary to prescribe, by regulation, the time and conditions of the admission of nonimmigrants;
INA第214(c)(1)条,8 U.S.C. 1184(c)(1),该条除其他事项外,授权部长规定雇用方雇主如何为非移民工人申请,以及申请表格的形式和雇用方雇主在申请中必须提供的信息;
Section 214(c)(1) of the INA,8 U.S.C. 1184(c)(1), which, inter alia, authorizes the Secretary to prescribe how an importing employer may petition for nonimmigrant workers, as well as the form of the petition and the information that an importing employer must provide in the petition;
INA第235(d)(3)条,8 U.S.C. 1225(d)(3),该条授权“任何移民官员……就其认为或怀疑为外国人的任何人(第65121页)进入、再次进入、过境或在美国居留的特权,或与执行[该法]和[国土安全部]的管理有关的任何实质性和相关事项,主持宣誓并获取和审查来自任何人或关于任何人的证据”;
Section 235(d)(3) of the INA,8 U.S.C. 1225(d)(3), which authorizes “any immigration officer . . . to administer oaths and to take and consider evidence of or from any person ( printed page 65121) touching the privilege of any alien or person he believes or suspects to be an alien to enter, reenter, transit through, or reside in the United States or concerning any matter which is material and relevant to the enforcement of [the INA] and the administration of [DHS]”;
INA第287(b)条,8 U.S.C. 1357(b),该条授权就“与执行[该法]和[国土安全部]的管理有关的任何实质性或相关事项”获取和审查证据;
Section 287(b) of the INA,8 U.S.C. 1357(b), which authorizes the taking and consideration of evidence “concerning any matter which is material or relevant to the enforcement of [the INA] and the administration of [DHS]”;
《国土安全法》(HSA)第402条,6 U.S.C. 202,该条规定部长负责“建立和执行规则[4]……以管理签证或其他入境许可形式的授予……准许进入美国”,以及“制定国家移民执法政策和优先事项”;另见HSA第428条,6 U.S.C. 236;以及
Section 402 of the HSA,6 U.S.C. 202, which charges the Secretary with “[e]stablishing and administering rules [4] . . . governing the granting of visas or other forms of permission . . . to enter the United States” and “[e]stablishing national immigration enforcement policies and priorities”; see also HSA sec. 428, 6 U.S.C. 236; and
《国土安全法》第451(a)(3)条和(b)条,6 U.S.C. 271(a)(3)和(b),将裁决非移民身份申请、制定履行该职能的政策以及制定国家移民服务政策和优先事项的权力移交给美国公民及移民服务局(USCIS)。
Section 451(a)(3) and (b) of the HSA,6 U.S.C. 271(a)(3) and (b), transferring to USCIS the authority to adjudicate petitions for nonimmigrant status, establish policies for performing that function, and set national immigration services policies and priorities.
C. 停留期限延期与申请有效期延期
C. Extensions of Stay and Petition Validity
许多外国人以非移民签证类别进入美国。其中一些类别允许外国人在美国从事临时性的受雇工作或提供其他服务。见移民与国籍法(INA)第101(a)(15)条和第214条,8 U.S.C. 1101(a)(15)和1184。就在美国从事受雇工作或提供其他服务而言,每一类别都有其各自的资格要求,以及与准入或身份期限、身份维持、变更工作或雇主的能力以及延长非移民身份的能力相关的要求。同上。
Many aliens come to the United States under a nonimmigrant visa classification. Some of these classifications permit aliens to be employed or otherwise provide services in the United States for temporary periods. See INA secs. 101(a)(15) and 214, 8 U.S.C. 1101(a)(15) and 1184. Each classification for purposes of employment or otherwise performing services in the United States has its own eligibility requirements and requirements related to the period of admission or status, maintenance of status, the ability to change jobs or employers, and the ability to extend nonimmigrant status. Id.
对于某些非移民签证类别,寻求外国人服务超过此前获准停留期限的申请人,可以通过表格I-129《非移民工作者申请书》提交延长停留期限的申请。[5] 8 CFR 214.1(c)(1)。延长停留期限通常仅在外国人在提交申请时仍处于并已维持其非移民身份的情况下才予以批准。8 CFR 214.1(c)(6)。在通过表格I-129申请延长停留期限时,申请人必须提交证明外国人已维持其身份的证据,以及法规规定并根据表格说明要求的所有其他初始证据。见8 CFR 214.1(c)(1)、(6);表格I-129说明,《非移民工作者申请书填表说明》,https://www.uscis.gov/sites/default/files/document/forms/i-129instr.pdf(2026年9月9日)。
For certain nonimmigrant visa classifications, a petitioner seeking the services of an alien beyond the previously granted period of admission may file an extension of stay request on Form I-129, Petition for Nonimmigrant Worker.[5] 8 CFR 214.1(c)(1). An extension of stay is ordinarily only granted if the alien is still in, and has maintained, his or her nonimmigrant status at the time the request is filed. 8 CFR 214.1(c)(6). When requesting an extension of stay on Form I-129, the petitioner must submit evidence that the alien maintained his or her status along with all other initial evidence specified in the regulations and in accordance with form instructions. See8 CFR 214.1(c)(1), (6); Form I-129 Instructions, Instructions for Petition for Nonimmigrant Worker, https://www.uscis.gov/​sites/​default/​files/​document/​forms/​i-129instr.pdf (Sept. 9, 2026).
延长停留期限的申请通常与延长申请有效期的申请一并提交,后者是请求允许外国人在相同的非移民类别下继续为其现任雇主工作的申请。[6] 申请延期和停留期限延期均通过表格I-129提交,并随附证明继续符合该非移民类别资格的证据,以及法规规定并根据表格说明要求的所有其他初始证据。[7]
An extension of stay request is often submitted together with a request for an extension of petition validity, which is a request to allow the alien to continue to work for his or her current employer in the same nonimmigrant classification.[6] The petition extension and extension of stay request are filed on Form I-129 along with evidence of continued eligibility for the nonimmigrant classification, and all other initial evidence specified in the regulations and in accordance with form instructions.[7]
申请延长申请有效期是以此前对该非移民类别资格的认定为前提的。尽管存在此前的资格认定,但在任何移民申请中,包括申请延长申请有效期的请求,举证责任始终由申请人承担。见INA第291条,8 U.S.C. 1361。[8] 对于在资格未获证明的情况下寻求移民利益的后续申请,移民官员并不因先前已获批准而有义务予以批准。[9] 先前的批准可能存在错误,在这种情况下,如果裁决官员并未意识到该错误,而对该先前的资格认定给予遵从,则可能导致不应获批的申请被持续批准。即使先前的批准并无错误,申请人在每一次利益申请中仍须承担证明其符合资格的举证责任。USCIS根据个案记录中的证据,逐案作出决定。[10]
A request for an extension of petition validity follows a previous finding of eligibility for the nonimmigrant classification. Although there is a previous finding of eligibility, the burden of proof in any immigration request—including a request for an extension of petition validity—remains on the petitioner. See INA sec. 291, 8 U.S.C. 1361.[8] Officers are not bound to approve subsequent petitions seeking immigration benefits where eligibility has not been demonstrated, merely because of a prior approval.[9] The prior approval may have been erroneous, in which case giving deference to that prior determination of eligibility because the adjudicating officer was not aware of the error may perpetuate unmeritorious approvals. Even if the prior approval was not erroneous, the burden of proof remains on the petitioner to establish eligibility in each benefit request. USCIS decides each matter according to the evidence of record on a case-by-case basis.[10]
尽管存在上述已确立的原则,8 CFR 214.1(c)(5)所载法规仍指示USCIS官员,在裁决涉及相同当事方和相同基础事实、通过表格I-129提交的申请时,应对此前的资格认定给予遵从,除非该官员认定先前的批准存在实质性错误、情况或资格要求发生实质性变化,或存在对资格产生不利影响的新的实质性信息。如本序言第III节所述,国土安全部(DHS)认为,该遵从性法规与法定要求(即申请人必须承担证明其符合移民利益资格的举证责任)存在冲突,并且在某些情况下可能不当限制裁决官员固有的事实认定权力。
Despite these well-established principles, the regulation at 8 CFR 214.1(c)(5) instructs USCIS officers to give deference to a prior determination of eligibility when adjudicating a request filed on Form I-129 involving the same parties and the same underlying facts unless the officer determines that there was a material error involved with a prior approval, a material change in circumstances or eligibility requirements, or new, material information that adversely impacts eligibility. As discussed in Section III. of this preamble, DHS believes that the deference regulation is in tension with the statutory requirement that the petitioner must bear the burden to demonstrate eligibility for an immigration benefit, and it may unduly limit adjudicating officers' inherent fact-finding authority in certain cases.
D. USCIS裁决中遵从原则的历史沿革
D. History of Deference in USCIS Adjudications
尽管“遵从原则”(deference)的成文化相对较近,但美国公民及移民服务局(USCIS)自2004年以来通过一系列政策措施一直在实施和废止“遵从原则”,有其历史渊源。首先,在2004年4月,USCIS发布了一份备忘录,讨论了先前USCIS裁决的重要性。参见USCIS,《在随后关于申请延期的资格认定中,CIS先前批准非移民申请的重要性》(“The Significance of a Prior CIS Approval of a Nonimmigrant Petition in the Context(印刷页65122)of a Subsequent Determination Regarding Eligibility for Extension of Petition Validity”),HQPRD 72/11.3(2004年4月23日)。该备忘录虽然承认USCIS有权对先前的认定提出质疑,且每一案件均须根据案卷证据逐案判定,但首次确立了以下政策:指示裁决官员在涉及相同当事方(申请人和受益人)及相同基础事实的非移民申请延期事项中,对先前的资格认定给予遵从,除非存在实质性错误、情况发生重大变化,或出现新的实质性信息。
While the codification of deference was relatively recent, USCIS has had a history of implementing and rescinding deference through a series of policy actions beginning in 2004. First, in April 2004, USCIS issued a memorandum discussing the significance of prior USCIS adjudications. See USCIS, “The Significance of a Prior CIS Approval of a Nonimmigrant Petition in the Context ( printed page 65122) of a Subsequent Determination Regarding Eligibility for Extension of Petition Validity,” HQPRD 72/11.3 (Apr. 23, 2004). This memorandum, while recognizing USCIS' authority to question prior determinations and that each matter must be decided according to the evidence of record on a case-by-case basis, first set out the policy instructing adjudications officers to give deference to a prior determination of eligibility in matters relating to an extension of nonimmigrant petition validity involving the same parties (petitioner and beneficiary) and the same underlying facts, unless there was material error, a substantial change in circumstances, or new material information.
2017年10月,USCIS发布了一份备忘录,废止了2004年的指引,指出2004年备忘录不当地将举证责任从申请人转移至USCIS。参见USCIS,《废止关于在非移民身份延期申请裁决中对先前资格认定给予遵从的指引》(“Rescission of Guidance Regarding Deference to Prior Determinations of Eligibility in the Adjudication of Petitions for Extension of Nonimmigrant Status”),PM-602-0151(2017年10月23日)。在2017年备忘录中,USCIS还表示担忧,认为该“遵从”政策在某些情况下不当地限制了裁决官员固有的事实认定权。
In October 2017, USCIS issued a memorandum which rescinded the 2004 guidance, expressing concerns that the 2004 memorandum improperly shifted the burden from the petitioner to USCIS. See USCIS, “Rescission of Guidance Regarding Deference to Prior Determinations of Eligibility in the Adjudication of Petitions for Extension of Nonimmigrant Status,” PM-602-0151 (Oct. 23, 2017). In the 2017 memorandum, USCIS also expressed concerns that the deference policy unduly limited adjudicating officers' inherent fact-finding authority in certain cases.
2021年4月,USCIS恢复了其“遵从”政策,并将其纳入《USCIS政策手册》。参见《USCIS政策手册》第2卷,A部分,第4章《停留延期、身份变更及申请延期》(“Extension of Stay, Change of Status, and Extension of Petition Validity”)。该政策手册承认,官员不应仅因先前已获批准而必须批准后续申请,但如果资格未得到证明,则无须批准,同时强调对于涉及相同当事方及基础事实的情形,官员应遵从先前的认定。根据该政策手册,如果官员认定对先前批准给予遵从不恰当,则必须在拒绝决定、证据请求(RFE)或拟拒绝通知(NOID)中说明先前的批准情况,并阐明不遵从先前认定的理由(例如,由于实质性错误、情况变化,或出现新的不利实质性信息)。参见同上。官员必须依照8 CFR 103.2(b)(16)(i)的规定,给予申请人就新信息作出回应的机会。参见同上。
In April 2021, USCIS reinstituted its deference policy and incorporated it into the USCIS Policy Manual. See USCIS Policy Manual, Volume 2, Part A, Chapter 4 “Extension of Stay, Change of Status, and Extension of Petition Validity.” The policy manual acknowledges that officers are not required to approve subsequent petitions where eligibility has not been demonstrated strictly because of a prior approval but stressed that they should defer to prior determinations involving the same parties and underlying facts. According to the policy manual, if an officer determines that deference to a prior approval is not appropriate, the officer must acknowledge the previous approval(s) in the denial, Request for Evidence (RFE), or Notice of Intent to Deny (NOID) and articulate the reason for not deferring to the previous determination (for example, due to a material error, change in circumstances, or new adverse material information). See id. Officers must provide the petitioner with an opportunity to respond to the new information consistent with 8 CFR 103.2(b)(16)(i). See id.
2024年12月,国土安全部(DHS)通过最终规则《现代化H-1B要求、提供F-1项目灵活性及影响其他非移民工人的项目改进》(“Modernizing H-1B Requirements, Providing Flexibility in the F-1 Program, and Program Improvements Affecting Other Nonimmigrant Workers”),89 FR 103054(2024年12月18日)(“现代化最终规则”),将其“遵从”政策成文化,纳入8 CFR 214.1(c)(5)。现行8 CFR 214.1(c)(5)规定,在裁决涉及相同当事方及相同基础事实的I-129表(《非移民工人申请书》)时,USCIS应对其先前的资格认定给予遵从,除非存在实质性错误、实质性变化,或出现对资格产生不利影响的新的实质性信息。
In December 2024, DHS codified its deference policy at 8 CFR 214.1(c)(5) through the final rule Modernizing H-1B Requirements, Providing Flexibility in the F-1 Program, and Program Improvements Affecting Other Nonimmigrant Workers,89 FR 103054 (Dec. 18, 2024) (Modernization Final Rule). Current 8 CFR 214.1(c)(5) states that when adjudicating a Form I-129, Petition for Nonimmigrant Worker, involving the same parties and the same underlying facts, USCIS gives deference to its prior determination of eligibility unless there is a material error, a material change, or new material information that adversely impacts eligibility.
三、拟议规则的讨论
III. Discussion of Proposed Rule
美国国土安全部(DHS)提议废除其在8 CFR 214.1(c)(5)中的规定,以及该顺从政策。该政策指示美国公民及移民服务局(USCIS)官员在审理涉及相同当事人和相同基础事实的I-129表格提交的请求时,对申请人或受益人资格的先前认定给予顺从,除非存在实质性错误、实质性变化,或对资格产生不利影响的新的实质性信息。[11]该拟议变更将适用于所有使用I-129表格(非移民工人申请书)提交的福利请求。本提案并不禁止USCIS官员在相关情形下考虑先前的批准。相反,本提案将废除官员须以顺从先前批准为起点的要求。DHS认为,此项变更将更好地确保官员充分考虑所有相关事实和证据,以确保持续符合资格,并对每一份申请书或请求进行逐案审理,以确定申请人是否已履行其举证责任,证明其持续符合该福利的资格。总体而言,DHS认为,取消顺从将增强项目诚信,从而更好地保护美国工人的利益,这符合本届政府的优先事项。
DHS proposes to remove its regulation at 8 CFR 214.1(c)(5), and the deference policy, which instructs USCIS officers to give deference to a prior determination of the petitioner's or beneficiary's eligibility when adjudicating a request filed on Form I-129 involving the same parties and the same underlying facts, unless there was a material error, a material change, or new material information that adversely impacts eligibility.[11] This proposed change would apply to all benefit requests filed using Form I-129, Petition for a Nonimmigrant Worker. This proposal would not prohibit USCIS officers from considering a prior approval where relevant. Rather, it would remove the requirement that officers begin from a position of deference to the prior approval. DHS believes that this change would better ensure that officers fully consider all relevant facts and evidence to ensure continued eligibility, and adjudicate each petition or request on a case-by-case basis to determine whether the petitioner has met its burden of proof to demonstrate continued eligibility for the benefit. Overall, DHS believes that removing deference would enhance program integrity and thereby better protect the interests of U.S. workers, consistent with this Administration's priorities.
A. 恢复举证责任的正确分配
A. Restoring the Proper Allocation of the Burden of Proof
取消顺从将使DHS的法规更好地与该机构长期以来对《移民与国籍法》(INA)第291条,即8 U.S.C. 1361条的解释保持一致。该条规定,举证责任由申请人或申请方承担,须证明其符合所寻求的每项移民福利的资格。另参见Matter of Chawathe, 25 I. & N. Dec. 369, 375 n.7(USCIS行政上诉办公室,2010年)(“证明符合所寻求福利资格的举证责任完全由申请人承担。”)。尽管一个机构可以建立合理的证据推定,参见例如Reno v. Flores, 507 U.S. 292, 313(1993),但任何此类推定必须与制定法文本及体系保持一致,参见Lin v. U.S. Dep't of Justice, 494 F.3d 296, 308(第二巡回上诉法院,2007年,全院庭审)。无论顺从法规是否与该法律相符,DHS现在认为,就国会意图由该机构针对所寻求的每项移民福利确定的资格标准而言,该法规实际上产生了将举证责任从申请人转移至该机构的效果,这与INA第291条,即8 U.S.C. 1361条相抵触。
Removing deference would better align DHS regulations with the agency's longstanding interpretation of section 291 of the INA, 8 U.S.C. 1361, which places the burden of proof on the petitioner or applicant to establish eligibility for each immigration benefit sought. See also Matter of Chawathe, 25 I. & N. Dec. 369, 375 n.7 (USCIS AAO, 2010) (“The burden of proving eligibility for the benefit sought remains entirely with the applicant.”). Although an agency may establish reasonable evidentiary presumptions, see e.g., Reno v. Flores, 507 U.S. 292, 313 (1993), any such presumption must be consistent with the statutory text and scheme, see Lin v. U.S. Dep't of Justice, 494 F.3d 296, 308 (2d Cir. 2007) (en banc). Whether or not the deference regulation is consonant with the statute, DHS now believes that it has the practical effect of shifting the burden of proof from the petitioner to the agency, in tension with section 291 of the INA, 8 U.S.C. 1361, with respect to the eligibility criteria that Congress intended the agency to determine for each immigration benefit sought.
当DHS颁布8 CFR 214.1(c)(5)时,该机构曾表示申请人将继续承担证明其持续符合所申请非移民工人类别资格的举证责任。参见89 FR 103094。然而,在实践中,顺从政策实际上将举证责任从申请人转移给了审理官员,后者必须指出实质性错误或情况变化,才能证明偏离先前批准是正当的。[12]实际上,这形成了一种默认立场,即先前的批准是正确的,申请人和受益人仍符合该福利的资格,除非官员认定顺从政策所列明的某项例外情形适用(即存在实质性错误、资格要求或情况的实质性变化,或对资格产生不利影响的新的实质性信息)。这种结构实际上将举证责任从申请人转移给了(印刷页第65123页)审理官员。顺从法规及政策实际上并未要求申请人证明该外国人有资格在美国继续以某非移民类别从事工作,而是要求官员说明为何不应以先前的批准为准。
When DHS promulgated 8 CFR 214.1(c)(5), the agency stated that petitioners would continue to have the burden to demonstrate continued eligibility for the requested nonimmigrant worker classification. See89 FR 103094. In practice, however, the deference policy effectively shifts the burden from the petitioner to the adjudicating officer who must identify a material error or change in circumstances to justify deviating from the prior approval.[12] In effect, this creates a default position that the prior approval was correct, and the petitioner and beneficiary remain eligible for the benefit unless the officer finds that an enumerated exception to the deference policy applies ( i.e., that there was a material error, material change in circumstances or eligibility requirements, or new, material information that adversely impacts eligibility). This structure effectively shifts the burden from the petitioner to ( printed page 65123) the adjudicating officer. Instead of requiring the petitioner to establish that the alien is eligible to continue to work in the United States under a nonimmigration classification, the deference regulation and policy effectively require the officer to justify why the prior approval should not control.
B. 增强USCIS官员的事实认定权限
B. Enhancing USCIS Officer Fact-Finding Authority
取消顺从还将更好地确保USCIS官员在批准延期申请及批准延长居留请求之前,对每一案件的事实和证据进行审查,以确保持续符合资格。该顺从政策暗示对每一案件进行非彻底审查或属可接受,并给人以不当限制审理官员固有的事实认定权限之印象。部分官员可能将顺从视为对其全面考虑案件所有事实之能力的一种限制。由于该顺从政策的影响,部分官员可能并未在申请书未证明符合资格时采取适当行动(例如发出补充证据通知,RFE),而是在没有明显错误或变化的情况下直接批准该福利。
Removing deference would also better ensure that USCIS officers review the facts and evidence in every case to ensure continued eligibility before approving a petition extension and granting an extension of stay request. The deference policy suggests that a less than thorough review of each case may be acceptable and gives the impression of unduly limiting adjudicating officers' inherent fact-finding authority. Some officers may view deference as a restriction on their ability to consider all the facts of the case. Rather than taking appropriate action if eligibility was not demonstrated in the petition (such as issuing an RFE), some officers may simply grant the benefit absent glaring errors or changes as a result of the deference policy.
事实上,如下文表3所示,在2017年推迟遵从政策被废止后,要求提供证据(RFE)的比率比对照组的RFE比率增加了2.9个百分点。国土安全部(DHS)承认,其他与推迟遵从政策无关的变化可能在一定程度上导致了这一RFE比率的上升。然而,国土安全部认为,可以合理地得出结论,推迟遵从政策的废止是导致该RFE比率上升的因素之一。这一增长与国土安全部的担忧是一致的,即推迟遵从政策产生了这样的效果:即便在申请人未能就当前请求证明其符合非移民工作者类别资格的案件中,也会使部分官员不愿要求提供额外证据。
Indeed, as shown in Table 3 infra, the RFE rate increased by 2.9 percent more than the RFE rate for the comparison group after the deference policy was rescinded in 2017. DHS acknowledges that other changes unrelated to deference may have, in part, contributed to this increased RFE rate. However, DHS believes that it is reasonable to conclude that the rescission of the deference policy was one of the contributing factors for this increased RFE rate. This increase is consistent with DHS's concern that the deference policy has had the effect of discouraging some officers from requesting additional evidence even in cases where the petitioner has not established eligibility for the nonimmigrant worker classification in connection with the current request.
裁决官员的事实认定权限不应受到任何先前申请批准的限制。相反,官员应根据每个案件的具体情况,全面审查申请是否符合资格条件,并酌情要求提供额外文件,这与美国公民及移民服务局(USCIS)关于要求提供证据、拟拒绝通知以及非移民福利申请裁决的政策相一致。由于在开始审查某些申请材料时,推迟遵从可能被视为一种默认立场,因此在某些情况下,推迟遵从政策可能产生了意想不到的效果,即限制了官员对事实进行全面审查的能力,并限制了对每个案件资格的评估。尽管官员当然可以得出与先前裁决相同的结论,但不应被迫将此作为默认的出发点。[13]
An adjudicating officer's fact-finding authority should not be constrained by any prior petition approval. Instead, officers should thoroughly review a petition for eligibility and request additional documentation as appropriate based on the merits of each case, consistent with USCIS policy regarding requests for evidence, notices of intent to deny, and the adjudication of petitions for nonimmigrant benefits. Because deference may be viewed as a default position upon beginning review of certain filings, the deference policy may, in some cases, have had the unintended effect of limiting the ability of officers to conduct a thorough review of the facts and limiting assessment of eligibility in each case. While officers may, of course, reach the same conclusion as in a prior decision, they should not be compelled to do so as a default starting point.[13]
此外,推迟遵从还增加了官员未能发现先前裁决中实质性错误的风险。尽管推迟遵从政策允许官员在存在实质性错误的情况下偏离先前的裁决,但如果官员因假定先前裁决正确而限制了对其面前案件的审查,这必然会限制对实质性错误的发现。对非移民工作者类别资格的认定进行推迟遵从,而该认定可能是在申请延期裁决前数年作出的,且可能基于不准确或过时的事实,或是根据自原始批准作出以来已经发生变化的法规所裁决的,这与本届政府加强非移民工作者制度完整性的努力是不一致的。
In addition, deference increases the risk of officers not discovering material errors in prior adjudications. Although the deference policy allows officers to deviate from the prior decision if there was a material error, if officers limited their review of the cases before them because of an assumption that the prior decision was correct, it would necessarily limit the discovery of material error. Deferring to a determination of eligibility for nonimmigrant worker classification that was made potentially up to several years before the adjudication of the petition extension, and that may be based on inaccurate or outdated facts or adjudicated under regulations which have changed since the original approval was issued, is inconsistent with this Administration's efforts to strengthen the integrity of the nonimmigrant worker system.
美国公民及移民服务局认为,对官员进行额外培训或就如何适用推迟遵从作出澄清,不足以充分解决这些问题。如本序言前文所述,美国公民及移民服务局多年来一直在适用推迟遵从政策。在2024年将其编入法规之前,推迟遵从政策自2004年起在美国公民及移民服务局实施,直至2017年被废止,后于2021年重新实施。因此,美国公民及移民服务局的官员通常已就在推迟遵从政策实施期间如何裁决申请接受过培训和业务指导。然而,培训并非问题所在,也非解决之道。实际上,任何推迟遵从的要求本身都与官员在授予非移民工作者福利之前,必须进行全面审查以确保申请人已履行举证责任的义务存在根本性冲突。事实上,推迟遵从政策的部分初衷是希望通过减少官员重新审视先前资格认定的需要来提高效率。然而,这种效率却产生了意想不到的效果,即在裁决非移民工作者类别的延期申请时,使官员不愿对案件进行全面审查。国土安全部现在认为,推迟遵从政策不利于确保官员在每个案件中都全面评估资格,而这对于保护移民福利制度的完整性以及美国工人的利益是必要的,其方式是确保申请人和受益人符合所申请的非移民工作者福利的资格条件。
USCIS does not believe additional officer training or clarification on how to apply deference would sufficiently address these concerns. As discussed earlier in this preamble, USCIS has a history of applying deference over several years. Prior to its codification in the regulations in 2024, the deference policy was in place at USCIS from 2004 until its rescission in 2017 and was reinstituted in 2021. Therefore, USCIS officers generally have had training and operational guidance on how to adjudicate petitions with the deference policy in place. Training, however, is not the issue or solution. Rather, any deference requirement itself conveys a fundamental tension with an officer's obligation to conduct a fulsome review to ensure that the petitioner met its burden before granting a nonimmigrant worker benefit. Indeed, the deference policy was based in part on a desire to increase efficiency by reducing the officer's need to revisit prior determinations of eligibility. That efficiency, however, has had the unintended effect of discouraging officers from thoroughly reviewing a case when adjudicating extension requests for nonimmigrant worker classifications. DHS now believes that the deference policy is inconsistent with ensuring that officers fully evaluate eligibility in every case, which is necessary to protect the integrity of the immigration benefits system and the interests of U.S. workers by ensuring that petitioners and beneficiaries are eligible for the requested nonimmigrant worker benefit.
C. 加强项目完整性
C. Strengthening Program Integrity
国土安全部(DHS)还认为,遵从原则可能损害项目的完整性,包括为不择手段的申请人提交欺诈性或误导性非移民工人福利申请创造机会。例如,不择手段的申请人可能提交一份是否合理存疑的申请,期望一旦获批,该批准可以作为日后涉及类似事实、相关受益人或同一雇主的申请的依据。他们甚至可能提交多份此类申请,并使用最有利或最快获批的事实情节。同样,申请人可能在首次申请时夸大受益人的职责、薪酬或资质,期望一旦获批,未来的申请将受到较少审查。此外,如果申请人认为之前的批准具有约束力,他们在涉及影响其业务运营或所提供职位的变化方面(例如业务规模缩减、合同损失、工作职责变更或其他合规问题)可能不会如实披露。如果预期可获得遵从,申请人可能会被激励在未充分披露这些变化的情况下提交延期申请。
DHS also believes that deference may undermine program integrity, including by creating opportunities for unscrupulous petitioners to submit fraudulent or misleading petitions for nonimmigrant worker benefits. For example, an unscrupulous filer might submit a petition of questionable merit, hoping that if it is approved, the approval can be used as an anchor for later filings involving similar facts, related beneficiaries, or the same employer. They may even file multiple of these types of petitions and use the fact pattern that is the most advantageous or that is the most quickly approved. Similarly, a petitioner might overstate the beneficiary's role, compensation, or qualifications in the first filing, expecting that once approved, future filings will receive less scrutiny. Further, petitioners may be less forthcoming about changes affecting their business operations or the proffered position (such as reduced operations, loss of contracts, altered job duties, or other compliance issues) if they believe a prior approval is binding. If deference is expected, the petitioner may be incentivized to file extensions without fully disclosing those changes.
事实上,美国公民及移民服务局(USCIS)的数据在一定程度上支持了这样的担忧:遵从原则可能通过在某些情况下降低审查力度,从而损害项目完整性,并助长一种使误导性、不合规或欺诈性的非移民工人申请延期更容易获批的环境。例如,数据显示,自USCIS恢复遵从政策并将其纳入《USCIS政策手册》以来,在H-1B和L-1A项目中发现的欺诈和不合规比例有所上升。[14](第65124页)具体而言,就2022财年至2025财年的H-1B延期案件而言,在USCIS行政现场访查和定向现场访查中所访查的H-1B场所中,不合规和/或欺诈的总体综合比例为22.39%。相比之下,在USCIS实行不遵从政策的时期,即2018财年至2020财年,访查的H-1B场所中不合规和/或欺诈的总体综合比例为16.77%。[15]就L-1A延期案件而言,2022财年至2025财年期间,在USCIS行政现场访查和定向现场访查中所访查的L-1A场所中,不合规和/或欺诈的总体综合比例为24.46%。相比之下,2018财年至2020财年期间访查的L-1A场所中,不合规和/或欺诈的总体综合比例为18.37%。[16]
Indeed, USCIS data provides some support for the concern that deference may undermine program integrity by reducing scrutiny in some cases and contributing to an environment in which misleading, non-compliant, or fraudulent extensions of nonimmigrant worker petitions are more likely to be approved. For example, the data demonstrate higher percentages of fraud and non-compliance identified in the ( printed page 65124) H-1B and L-1A programs since the time when USCIS reinstituted its deference policy and incorporated it into the USCIS Policy Manual.[14] Specifically, for H-1B extension cases from FY 2022 through FY 2025, the overall combined percentage of non-compliance and/or fraud among H-1B sites visited during USCIS administrative and targeted site visits was 22.39 percent. In comparison, when USCIS had a policy of no deference, the overall combined percentage of H-1B non-compliance and/or fraud among H-1B sites visited during FY 2018 through FY 2020 was 16.77 percent.[15] For L-1A extension cases, the overall combined percentage of non-compliance and/or fraud among L-1A sites visited during USCIS administrative and targeted site visits from FY 2022 through FY 2025 was 24.46 percent. In comparison, the overall combined percentage of L-1A non-compliance and/or fraud among L-1A sites visited from FY 2018 through FY 2020 was 18.37 percent.[16]
换言之,在USCIS实行遵从政策的年份,H-1B和L-1A项目中被访查场所的不合规和/或欺诈综合比例,高于USCIS未实行遵从政策的年份。这一在H-1B和L-1A延期申请子集中反映出的趋势,支持了这样一种担忧,即遵从原则可能限制USCIS逐案全面审查延期申请的能力,从而可能激励那些虚假声称不存在实质性变化的轻率或欺诈性申请。尽管国土安全部承认,除遵从原则之外或在其之外,可能还有其他因素导致了这一较高的欺诈或不合规发现比例,但可以合理地认为,遵从原则是促成因素之一。
In other words, during the years that USCIS had a policy of deference, the combined percentage of non-compliance and/or fraud among sites visited in the H-1B and L-1A programs was higher than in the years that USCIS did not have a policy of deference. This trend reflected in a subset of H-1B and L-1A extension filings supports the concern that deference undermines program integrity in potentially limiting USCIS' ability to thoroughly review an extension petition on a case-by-case basis, which in turn may incentivize frivolous or fraudulent filings that falsely assert no material change. While DHS acknowledges that other factors besides or in addition to deference may have led to this higher percentage of identifying fraud or non-compliance, it is reasonable to conclude that deference was one of the contributing factors.
取消遵从原则有可能遏制欺诈性申请,并有助于恢复合法移民体系的完整性。这反过来也将通过确保非移民工人申请仅在申请人基于每份申请所提交的证据证明其资格的情况下才获批准,从而更好地保护美国工人。
Removing deference would potentially disincentivize fraudulent filings and help restore the integrity of the lawful immigration system. This, in turn, would also better protect U.S. workers by ensuring that petitions for nonimmigrant workers are only approved if eligibility is established by the petitioner based on evidence submitted in support of each petition.
D. 对遵从政策的重新考虑
D. Reconsideration of the Deference Policy
国土安全部(DHS)承认遵从政策的历史沿革及其最近在《现代化最终规则》中于8 CFR 214.1(c)(5)条款中的法典化。国土安全部还承认,本拟议规则中的部分陈述与《现代化最终规则》中的陈述相比有所转变。在《现代化最终规则》中,一些评论者表示担忧,认为将遵从政策法典化会限制美国公民及移民服务局(USCIS)官员的事实认定权限。见89 FR 103093。评论者指出,USCIS官员在裁决过程中不应受到限制,无法要求提供补充证据。他们还指出,要求USCIS官员在批准福利申请前确认所有重大事实,将起到欺诈侦测机制和威慑作用。
DHS acknowledges the history of the deference policy and its recent codification at 8 CFR 214.1(c)(5) in the Modernization Final Rule. DHS also acknowledges that some of the statements in this proposed rule represent a shift from statements made in the Modernization Final Rule. In the Modernization Final Rule, some commenters voiced concern that codifying deference would constrain USCIS officers' fact-finding authority. See89 FR 103093. Commenters stated that USCIS officers should not be constrained in requesting additional evidence in the adjudication process. They also stated that requiring USCIS officers to confirm all material facts before granting a benefit request would serve as a fraud detection mechanism and deterrent.
当时,国土安全部不认同评论者的担忧。同上。然而,自《现代化最终规则》发布以来,国土安全部已对此问题进行了重新审视,目前认为,将遵从政策法典化可能产生了意想不到的后果,即看似限制了USCIS官员的事实认定权限,导致部分USCIS官员未能进行充分全面的审查,从而削弱了该机构侦测和遏制欺诈行为的努力。[17]
At the time, DHS disagreed with the commenters' concerns. Id. However, DHS has reconsidered the issue since publication of the Modernization Final Rule and now believes that codification of the deference policy may have had the unintended effect of appearing to constrain USCIS officers' fact-finding authority, leading some USCIS officers to conduct a less than fulsome review, and thus undermining the agency's efforts to detect and deter fraud.[17]
在提议将遵从政策法典化的《拟议规则制定通知》(NPRM)中,国土安全部指出,遵从政策的益处包括促进USCIS及其利益相关方之间的一致性和效率,并为申请人和受益人创造可预见性。国土安全部现在认为,这些益处被夸大了,且未能充分权衡遵从政策所带来的负面影响。目前尚不清楚遵从政策的法典化是否确实促进了裁决工作的一致性和效率,即便在某种程度上确实如此,这也是以牺牲项目完整性为代价实现的。正如本序言中所述,遵从政策可能会助长无实质理据的申请,给人以不当限制裁决官固有事实认定权限的印象,并增加先前错误批准继续作为批准非移民工人延期申请依据的风险。简而言之,遵从政策与本届政府致力于恢复合法移民体系完整性、通过确保只有符合资格标准并能证明其资格的申请人和受益人方可获得非移民工人福利,从而更好地保护美国工人的工作重心不相符。
In the NPRM proposing to codify deference, DHS stated that the benefits of deference included promoting consistency and efficiency for both USCIS and its stakeholders, and creating predictability for petitioners and beneficiaries. DHS now believes that these benefits were overstated and were not adequately weighed against the negative impacts of deference. It is not clear that the codification of deference actually promoted consistency and efficiency in adjudication, and to any extent that it did, it did so at the expense of program integrity. As discussed in this preamble, deference may incentivize non-meritorious filings, give the appearance of unduly limiting adjudicators' inherent fact-finding authority, and increase the risk that erroneous prior approvals continue to serve as the basis for granting extension petitions for nonimmigrant workers. Quite simply, the deference policy is inconsistent with this Administration's focus on restoring the integrity of the legal immigration system to better protect U.S. workers by ensuring that only petitioners and beneficiaries who meet eligibility criteria and demonstrate eligibility are granted nonimmigrant worker benefits.
E. 信赖利益及已考虑的替代方案
E. Reliance Interests and Alternatives Considered
国土安全部认识到,部分美国雇主和非移民工人可能会主张对遵从政策延续性的信赖利益。例如,预期其I-129表格申请将持续获批的美国雇主,可能已基于这些非移民工人将能够继续为其工作的假设做出了相应的商业安排。同样,非移民工人也可能基于其将能够继续在美国工作及合法居留的假设,制定了职业和/或个人规划。
DHS recognizes that some U.S. employers and nonimmigrant workers may assert reliance interests in the continuation of the deference policy. For example, U.S. employers that expect the continued approval of their Form I-129 petitions may have made business arrangements based on an assumption that these nonimmigrant workers would be able to continue working for them. Similarly, nonimmigrant workers may have made career and/or personal plans in the United States based on the assumption that they would be able to continue their employment and legal presence in the United States.
国土安全部已考虑上述信赖利益,但认为此类利益是有限的。遵从规定本身并不保证延期申请一定获批。反之,取消遵从政策也不会实质性改变所申请移民福利的资格条件。只要美国雇主和非移民工人能够证明持续符合资格要求并获得继续从事此类雇佣所需的必要批准,本拟议变更就不会剥夺美国雇主继续雇用非移民工人的能力,也不会剥夺非移民工人继续在美国工作和生活的能力。申请人和受益人并不具有合法期待,认为此前错误或缺乏依据支持的批准将会在未来继续导致获批。
DHS has considered these reliance interests but believes that any such interests are limited. The deference regulation does not itself guarantee approval of an extension. Conversely, removing deference does not substantively change eligibility for the requested immigration benefit. This proposed change would not deprive U.S. employers of their ability to continue employing nonimmigrant workers, nor would it deprive nonimmigrant workers of their ability to continue working and living in the United States, so long as they are able to establish continued eligibility and obtain necessary approvals to continue such employment. Petitioners and beneficiaries do not have a legitimate expectation that an erroneous or unsupported prior approval would continue to result in future approvals.
在延续遵从政策方面存在合法依赖利益的范围内,美国国土安全部(DHS)认为,正如本序言所讨论的,遵从政策的负面影响超过了可能寻求依赖8 CFR 214.1(c)(5)所规定的遵从政策的雇主和外国人所能获得的潜在利益。DHS认为,其在恢复移民体系完整性方面的利益,包括确保美国公民及移民服务局(USCIS)审查员在批准任何福利之前对所有福利申请进行全面审查,远远超过请愿人或受益人对持续获批可能抱有的任何期望利益。当遵从政策增加了USCIS未能识别原本就不符合批准资格的请愿人和受益人的风险时,这一点尤为重要。因此,DHS(印刷页65125)认为,删除8 CFR 214.1(c)(5)并终止遵从政策,对于确保合法移民体系的完整性是必要的,这反过来也能更好地保护美国工人。
To the extent there are legitimate reliance interests in the continuation of deference, DHS believes the negative impacts of the deference policy, as discussed in this preamble, outweigh the potential benefits to employers and aliens who may seek to rely on deference as codified at 8 CFR 214.1(c)(5). DHS believes that its interest in restoring integrity to the immigration system, including by ensuring that USCIS adjudicators conduct fulsome reviews of all benefits requests before granting a benefit, far outweighs any interest a petitioner or beneficiary may have in expecting continued approvals. This is especially true when deference increases the risk of USCIS failing to identify petitioners and beneficiaries who were not eligible for approval in the first place. DHS ( printed page 65125) therefore believes that removing 8 CFR 214.1(c)(5) and ending the deference policy is necessary to ensure the integrity of the legal immigration system, which in turn better protects U.S. workers.
DHS考虑了一种替代方案,即不删除遵从规定,而是修订该规定以更清楚地说明USCIS是否适用遵从政策具有自由裁量权。这可以通过将监管文本修订为USCIS“可自行决定给予遵从”,而不是目前8 CFR 214.1(c)(5)所述的“USCIS给予遵从”来实现。然而,DHS没有提议采用这一替代方案,因为这很可能在请愿人和USCIS官员之间就是否应适用遵从政策产生不必要的混淆和不确定性。此外,这一替代方案也无法充分解决本序言第III.A节至第III.C节上文所讨论的有关遵从政策的问题。总体而言,DHS认为,完全取消遵从政策是增强项目完整性的最实际的替代方案,这包括确保举证责任仍由请愿人承担,以证明其符合所申请移民福利的资格,并确保USCIS审查员在延长该福利之前,根据每份非移民工人延期申请自身的情况进行彻底审查。
DHS considered an alternative to removing the deference regulation whereby DHS would revise the regulation to more clearly state that USCIS has discretion whether to apply deference. This could be accomplished by revising the regulatory text to state that USCIS “may give deference in its discretion” instead of “USCIS gives deference” as currently stated at 8 CFR 214.1(c)(5). However, DHS is not proposing this alternative because it would likely create unnecessary confusion and uncertainty for both petitioners and USCIS officers as to whether deference should be applied. Further, this alternative would not adequately address the concerns with deference discussed above in Section III.A through III.C of this preamble. Overall, DHS believes that removing deference entirely is the most practical alternative to enhance program integrity, including by ensuring that the burden remains on the petitioner to establish eligibility for the requested immigration benefit, and that USCIS adjudicators thoroughly review each nonimmigrant worker extension request on its own merits before extending the benefit.
四、法定和监管要求
IV. Statutory and Regulatory Requirements
A. 第12866号行政命令(监管规划与审查)、第13563号行政命令(改进监管与监管审查)以及第14192号行政命令(通过放松监管释放繁荣)
A. Executive Orders 12866 (Regulatory Planning and Review), 13563 (Improving Regulation and Regulatory Review), and 14192 (Unleashing Prosperity Through Deregulation)
第12866号行政命令(监管规划与审查)和第13563号行政命令(改进监管与监管审查)指示各机构评估现有监管备选方案的成本和效益,并在确有必要进行监管的情况下,选择能使净效益最大化的监管方法。第13563号行政命令强调对成本和效益进行量化、降低成本、协调各项规定以及促进灵活性的重要性。第14192号行政命令(通过放松监管释放繁荣)指示各机构大幅减少遵守联邦法规所需的私人支出,并规定“在法律允许的范围内,与新规定相关的任何新增增量成本,应通过取消与至少10项现行规定相关的现有成本来抵消。”
Executive Orders 12866 (Regulatory Planning and Review) and 13563 (Improving Regulation and Regulatory Review) direct agencies to assess the costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits. Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. Executive Order 14192 (Unleashing Prosperity Through Deregulation) directs agencies to significantly reduce the private expenditures required to comply with Federal regulations and provides that “any new incremental costs associated with new regulations shall, to the extent permitted by law, be offset by the elimination of existing costs associated with at least 10 prior regulations.”
管理和预算办公室(OMB)尚未根据第12866号行政命令第3(f)节将本规则指定为“重大监管行动”。因此,OMB尚未对其进行审查。
The Office of Management and Budget (OMB) has not designated this rule as a “significant regulatory action,” under section 3(f) of Executive Order 12866. Accordingly, OMB has not reviewed it.
本拟议规则不属于第14192号行政命令所规定的监管行动,因为该规则是针对美国移民相关职能发布的。本拟议规则的主要直接目的是执行或解释美国移民法(如《移民与国籍法》第101(a)(17)节,8 U.S.C. 1101(a)(17)所述),或美国联邦政府就外国人履行的任何其他职能。参见OMB备忘录M-25-20,《关于实施题为“通过放松监管释放繁荣”的第14192号行政命令第3节的指南》(2025年3月26日)。
This proposed rule is not an Executive Order 14192 regulatory action because it is being issued with respect to an immigration-related function of the United States. The proposed rule's primary direct purpose is to implement or interpret the immigration laws of the United States (as described in INA sec. 101(a)(17), 8 U.S.C. 1101(a)(17)) or any other function performed by the U.S. Federal Government with respect to aliens. See OMB Memorandum M-25-20, “Guidance Implementing Section 3 of Executive Order 14192, titled `Unleashing Prosperity Through Deregulation' ” (Mar. 26, 2025).
修改摘要
Summary of Changes
该拟议规则将废除8 CFR 214.1(c)(5)条规定的遵从原则,该条款现行规定,在当事方和基本事实保持不变的情况下,美国公民及移民服务局(USCIS)官员应对Form I-129申请的既往裁定给予遵从,除非存在实质性错误、实质性变化,或对资格产生不利影响的新的实质性信息。由于对每份申请将进行更为全面的审查,预计证据请求(RFE)的数量将会增加,从而导致申请人在提交补充证明文件和证据方面承担额外的时间负担。该规则还将因延长裁决时间及增加持续雇佣方面的不确定性,而给申请人带来成本。国土安全部(DHS)估计,由于RFE数量的增加,该规则将使申请人每年新增约133,987美元的成本。此外,该规则还将通过增加裁决工作量和运营成本,给USCIS带来成本,因为官员将需要花费更多时间重新评估此前已审查过的资格问题,且可能发出更多的RFE,从而增加整体资源需求。
The proposed rule would remove the deference provision at 8 CFR 214.1(c)(5), which currently instructs USCIS officers to give deference to a prior determination for Form I-129 requests when the parties and underlying facts remain the same, unless there was a material error, a material change, or new material information that adversely impacts eligibility. As a result of a more thorough review of each petition, the number of requests for evidence (RFE) is expected to increase, resulting in additional time burden for petitioners to submit additional supporting documentation and evidence. The rule would also impose costs on petitioners by lengthening adjudication times and increasing uncertainty regarding continued employment. DHS estimates that the rule would produce new annual costs to petitioners of approximately $133,987 due to an increase in RFEs. In addition, the rule would impose costs on USCIS by increasing the adjudicative workload and operational costs, as officers would spend more time reassessing eligibility issues previously reviewed and may issue an increased number of RFEs, thereby increasing overall resource demands.
废除遵从政策具有若干主要益处。废除该政策将厘清并强化以下原则,即法定举证责任仍由申请人承担,而非由机构承担。废除该政策还将促使对每份申请及其证明证据进行更为全面的审查。实施更为全面的审查程序预计将提升发现既往错误、不一致之处或欺诈迹象的能力,并消除判断遵从原则是否适用的必要性。就更广泛的公众和移民体系而言,预计此项变更将增强公众对裁决程序完整性和可靠性的信心,并与机构在维护系统完整性及保护美国工人利益方面的优先事项保持一致。表1详细列明了该拟议规则可量化和不可量化影响的估计情况。(印刷页第65126页)
There are primary benefits associated with removing the deference policy. Removal would clarify and reinforce that the statutory burden of proof remains on the petitioner, not the agency. Removal would also encourage a more thorough review of each petition and its supporting evidence. Implementing a more thorough review process is expected to improve the ability to detect prior errors, inconsistencies, or indicators of fraud, and to eliminate the need to determine when deference applies. For the broader public and the immigration system, the change is expected to enhance confidence in the integrity and reliability of the adjudication process and align with agency priorities related to system integrity and protection of U.S. workers' interests. Table 1 provides a detailed summary of estimated quantifiable and unquantifiable impacts of the proposed rule. ( printed page 65126)
表1,拟议规则条款及影响概要
Table 1—Summary of Provisions and Impacts of the Proposed Rule
条款 | 条款变更说明 | 废除遵从原则的估计成本 | 废除遵从原则的估计收益
Provision | Description of the change to provisions | Estimated costs of removing deference | Estimated benefits of removing deference
8 CFR 214.1(c)(5)条。对USCIS既往资格裁定的遵从。 | 废除8 CFR 214.1(c)(5)条,该条款规定,在当事方和基本事实保持不变的情况下,USCIS官员应对Form I-129申请的既往裁定给予遵从,除非存在实质性错误、实质性变化,或对资格产生不利影响的新的实质性信息。 | 量化影响:申请人, ☐ 由于对申请进行更为全面的审查,RFE的数量及申请人相应的时间负担可能增加。DHS估计,由于RFE数量增加,申请人每年新增成本约为133,987美元。DHS/USCIS, ☐ 无。定性影响:申请人, ☐ 申请人在寻求延长停留期限及申请有效期时,可能面临更长的裁决时间以及对持续雇佣状态的更大不确定性。 | 量化影响:申请人, ☐ 无。DHS/USCIS, ☐ 无。定性影响:申请人, ☐ 无。DHS/USCIS, ☐ 废除遵从原则将厘清并强化以下原则,即法定举证责任仍由申请人而非机构承担,此与法律规定相一致。 ☐ 废除遵从原则将强化DHS对每份申请证据进行全面、及时审查的权力,从而提升识别不合资格情形或欺诈迹象的能力。
8 CFR 214.1(c)(5). Deference to a prior USCIS determination of eligibility. | Removing 8 CFR 214.1(c)(5), which instructs USCIS officers to give deference to a prior determination for Form I-129 requests when the parties and underlying facts remain the same, unless there was a material error, a material change, or new material information that adversely impacts eligibility. | Quantitative: Petitioners— ☐ As a result of a more thorough review of the petition, there may be an increase in the number of Requests for Evidence (RFE) and the associated time burden on petitioners. DHS estimates the annual increase in cost would be $133,987 to petitioners due to an increase in RFEs. DHS/USCIS— ☐ None. Qualitative: Petitioners— ☐ Petitioners may experience longer adjudication times and increased uncertainty regarding continued employment when seeking extensions of stay and petition validity. | Quantitative: Petitioners— ☐ None. DHS/USCIS— ☐ None. Qualitative: Petitioners— ☐ None. DHS/USCIS— ☐ Removing deference would clarify and reinforce that the statutory burden of proof remains on the petitioner rather than the agency, consistent with the statute. ☐ Removing deference would reinforce DHS' authority to conduct a full, current review of the evidence in each petition, improving the ability to identify ineligibility or indicators of fraud.
☐ 废除遵从原则可能促使申请人投入更多员工、律师或其他资源,以准备更加完整且条理清晰的延期申请,从而产生未经量化的准备成本。DHS/USCIS, ☐ 废除遵从原则可能增加USCIS的运营成本,因为官员将需要花费更多时间评估资格问题,从而增加整体裁决工作量和审查流程负担。 ☐ 该拟议规则可能增加与RFE等裁决行为相关的机构资源需求。 | 公众, ☐ 废除遵从原则将增强公众对裁决程序完整性的信心。 ☐ 废除遵从原则将确保仅有符合实质条件的非移民工人申请获得批准,从而提升移民体系的完整性,并推进保护美国工人利益的相关政策。
☐ Removing deference may lead petitioners to spend additional staff, attorneys, or other resources preparing more complete and well-organized extension petitions, resulting in unquantified preparation costs. DHS/USCIS— ☐ Removal of deference may increase operational costs to USCIS because officers would spend more time assessing eligibility issues, increasing the overall adjudicative workload and reviewing process. ☐ The proposed rule may increase agency resource demands associated with adjudicative actions such as RFEs. | Public— ☐ Removing deference would increase confidence in the integrity of the adjudication process. ☐ Removing deference would ensure that only meritorious filings for nonimmigrant workers are approved and as a result, improve the integrity of the immigration system and advance policies that protect the interests of U.S. workers.
背景与适用人群
Background and Population
本拟议规则的目的是删除8 CFR 214.1(c)(5),该条款指示美国公民及移民服务局(USCIS)官员在审理使用I-129表格(非移民工作者申请)提交的、涉及相同当事方和相同基础事实的请求时,应对申请人、请愿人或受益人资格的先前认定给予遵从,除非存在重大错误、重大变化或对资格产生不利影响的新的重大信息。
The purpose of this proposed rule is to remove 8 CFR 214.1(c)(5), which instructs USCIS officers to give deference to a prior determination of the petitioner's, applicant's, or beneficiary's eligibility when adjudicating a request filed using Form I-129, Petition for a Nonimmigrant Worker, involving the same parties and the same underlying facts, unless there was a material error, a material change, or new material information that adversely impacts eligibility.
USCIS的遵从政策最初于2004年4月实施,并一直适用至2017年10月。2004年4月,USCIS发布一份备忘录,指示官员在审理涉及相同请愿人、相同受益人和相同基础事实的延期申请时,一般应对先前的批准给予遵从。参见USCIS,《在随后确定申请延期资格有效性背景下先前移民局批准非移民申请的意义》,HQPRD 72/11.3号(2004年4月23日)。该政策在承认每个案件均须根据其自身案情裁决、且先前决定可被重新审视的同时,确立了官员应在不存在重大错误、实质性情况变化或新的重大信息的情况下,对该先前资格认定给予遵从的原则。同上。
The USCIS deference policy was first implemented and applied from April 2004 to October 2017. In April 2004, USCIS issued a memorandum directing officers to generally give deference to prior approvals when adjudicating petitions for extensions involving the same petitioner, the same beneficiary, and the same underlying facts. See USCIS, “The Significance of a Prior CIS Approval of a Nonimmigrant Petition in the Context of a Subsequent Determination Regarding Eligibility for Extension of Petition Validity,” HQPRD 72/11.3 (Apr. 23, 2004). While recognizing that each case must be decided on its own merits and that prior decisions could be revisited, the policy established that officers should defer to that prior determination of eligibility absent material error, substantial changed circumstances, or new material information. Id.
2017年10月,USCIS发布一份备忘录,撤销了2004年4月的指导意见。参见USCIS,《撤销关于在审理非移民身份延期申请时遵从先前资格认定的指导意见》,PM-602-0151号(2017年10月23日)。该机构表示担忧,认为该遵从政策不当地将举证责任从请愿人身上转移,并不当地限制了官员的事实调查权限。同上。从2017年10月至2021年4月,官员未被指示遵从先前的批准,而是被指示在不依赖先前决定的情况下作出新的资格认定。
In October 2017, USCIS issued a memorandum rescinding the April 2004 guidance. See USCIS, “Rescission of Guidance Regarding Deference to Prior Determinations of Eligibility in the Adjudication of Petitions for Extension of Nonimmigrant Status,” PM-602-0151 (Oct. 23, 2017). The agency expressed concern that the deference policy improperly shifted the burden of proof away from the petitioner and unduly restricted officers' fact-finding authority. Id. From October 2017 to April 2021, officers were not instructed to defer to prior approvals and instead were instructed to make new determinations of eligibility without relying on earlier decisions.
USCIS于2021年4月恢复了遵从政策,并将其纳入《USCIS政策手册》。参见《USCIS政策手册》第2卷A部分第4章《停留延期、身份变更及申请有效期延期》。该手册指示官员在涉及相同当事方和相同基础事实的情况下,一般应对先前的批准给予遵从,除非先前决定存在重大错误、情况发生重大变化,或出现对请愿人或受益人资格产生不利影响的新的重大信息。同上。随后,2024年12月,国土安全部(DHS)在H-1B现代化最终规则中将恢复后的政策编入8 CFR 214.1(c)(5),要求在此类案件中遵从先前的认定,除非符合其中一项例外情形。参见89 FR 103054(2024年12月18日)。
USCIS reinstated the deference policy in April 2021 and incorporated it into the USCIS Policy Manual. See USCIS Policy Manual, Volume 2, Part A, Chapter 4 “Extension of Stay, Change of Status, and Extension of Petition Validity.” The manual instructs officers to generally defer to prior approvals involving the same parties and the same underlying facts, unless there was a material error in the prior decision, a material change in circumstances, or new material information that adversely impacts the petitioner's or beneficiary's eligibility. Id. Then, in December 2024, DHS codified the reinstated policy at 8 CFR 214.1(c)(5) in the H-1B Modernization Final Rule, requiring deference to prior determinations in such cases unless one of the exceptions applies. See89 FR 103054 (Dec. 18, 2024).
表2列出了2014财年至2025财年(FY)各财年非移民工作者I-129表格申请的总数,以及其中潜在符合遵从资格条件的申请子集。百分比显示符合遵从资格的申请占I-129表格申请总数的比例。表中“遵从政策状态”一栏为拟议规则提供基准信息,并标明USCIS官员执行遵从政策的各财年。在2014财年至2025财年期间,I-129表格申请总数总体呈增长趋势,合计达7,206,852件。其中,2,168,394件申请(占30%)符合遵从资格。符合资格的比例年度间大致在25%至36%之间浮动,2020财年占比最高。在该政策最近一次生效的期间,即2022财年(印刷版第65127页)至2025财年,符合资格的申请数量从195,547件增至235,583件,而符合资格的比例保持在约27%至33%之间,平均约为30%。
Table 2 presents the total number of Form I-129 petitions for nonimmigrant workers and the subset of those petitions that are potentially eligible for deference for each fiscal year (FY) from FY 2014-FY 2025. Percentages show the petitions eligible for deference as a share of total Form I-129 petitions. In the table, “Deference Policy Status” informs the baseline for the proposed rule and indicates the fiscal years in which the deference policy was in effect for USCIS officers. Across FY2014 through FY2025, total Form I-129 petitions generally increased over time, reaching 7,206,852 overall. Of these, 2,168,394 petitions, or 30 percent, were eligible for deference. Eligibility generally ranged from 25 percent to 36 percent annually, with the highest share in FY2020. In the most recent period when the policy was in effect, FY2022 ( printed page 65127) through FY2025, eligible petitions increased from 195,547 to 235,583, while the eligible share remained around 27 percent to 33 percent, with an average of 30 percent.
为估算未来10年内将受本拟议规则影响的人群规模,我们采用最近四个财年(2022财年至2025财年)的历史平均值,因为该时期反映了遵从政策的持续一贯适用。由于本规则旨在取消遵从政策,基准人群应代表该政策完全生效的时期。因此,2021财年被排除在人群估算计算之外,因为遵从政策是在该财年中途(2021年4月)恢复实施的,在该财年中生效时间不足一半。
To estimate the population that would be subject to this proposed rule over the next 10 years, we use the historical average from the four most recent fiscal years, FY 2022-FY 2025, because this period reflects consistent application of the deference policy. Since this rule is intended to remove the deference policy, the baseline population should represent a period in which the policy was fully in effect. Therefore, FY 2021 is excluded from the population estimation calculation because the deference policy was reinstated partway through the year (in April 2021) and was not in effect for more than half of that fiscal year.
表2 , I-129表格非移民工作者申请及按财政年度划分的推定政策适用状态
Table 2—Form I-129 Nonimmigrant Worker Petitions and Deference Policy Status, by Fiscal Year
推定政策适用状态 | 财政年度 | I-129申请总数 | 符合推定适用条件的申请数 * | 符合推定适用条件的申请所占百分比 (%)
Deference policy status | Fiscal year | Total I-129 petitions | Petitions eligible for deference * | Percentage of petitions eligible for deference (%)
生效中 | 2014 | 453,649 | 139,028 | 31
In Effect | 2014 | 453,649 | 139,028 | 31
2015 | 508,706 | 144,836 | 28
2015 | 508,706 | 144,836 | 28
2016 | 564,134 | 142,548 | 25
2016 | 564,134 | 142,548 | 25
2017 | 561,593 | 158,902 | 28
2017 | 561,593 | 158,902 | 28
未生效 | 2018 | 583,469 | 163,884 | 28
Not In Effect | 2018 | 583,469 | 163,884 | 28
2019 | 619,139 | 185,700 | 30
2019 | 619,139 | 185,700 | 30
2020 | 590,357 | 209,705 | 36
2020 | 590,357 | 209,705 | 36
2021 | 570,486 | 190,076 | 33
2021 | 570,486 | 190,076 | 33
生效中 | 2022 | 713,773 | 195,547 | 27
In Effect | 2022 | 713,773 | 195,547 | 27
2023 | 643,214 | 194,314 | 30
2023 | 643,214 | 194,314 | 30
2024 | 683,522 | 208,271 | 30
2024 | 683,522 | 208,271 | 30
2025 | 714,810 | 235,583 | 33
2025 | 714,810 | 235,583 | 33
总计 | | 7,206,852 | 2,168,394 | 30
Total | | 7,206,852 | 2,168,394 | 30
四年平均值(2022财年至2025财年) | | 688,830 | 208,429 | 30
4-Year Average (from FY 2022-2025) | | 688,830 | 208,429 | 30
资料来源:美国公民及移民服务局(USCIS)首席数据与分析办公室(CDAO),CLAIMS3及ELIS系统,PAER编号#21508,查询日期为2026年5月。
Source: USCIS Chief Data and Analytics Office—(CDAO), CLAIMS3 & ELIS, PAER #21508, queried May 2026.
* 推定通常适用于申请延长停留期限的申请,此类申请可通过I-129表格第2部分第2题(“分类依据”)中勾选方框“b”或“c”的情形加以识别。USCIS还可能根据申请人所请求修改的内容以及该变更是否构成实质性重大变更,将推定政策适用于勾选方框“f”的申请。但是,由于“f”类申请无法被可靠地识别和区分,本分析未将其纳入统计范围。因此,符合推定适用条件的申请总数可能被略微低估。
* Deference is generally applied to petitions requesting an extension of stay, which can be identified using Part 2, Question 2 (`Basis for Classification') on Form I-129, specifically those where box `b' or `c' is checked. USCIS may also apply the deference policy to petitions with box `f' checked, depending on what amendment the petitioner is requesting and whether the change is materially substantive. However, category `f' is not included in this analysis because those cases cannot be reliably identified and separated. As a result, the population eligible for deference may be slightly undercounted.
美国公民及移民服务局(USCIS),《非移民工作者申请表(I-129表格)填表说明》。OMB编号1615-0009。有效期至2027年12月31日,可在以下网址查阅:https://www.uscis.gov/​sites/​default/​files/​document/​forms/​i-129instr.pdf。
USCIS, “Instructions for Petition for Nonimmigrant Worker (Form I-129).” OMB No. 1615-0009. Expires Dec. 31, 2027, available at: https://www.uscis.gov/​sites/​default/​files/​document/​forms/​i-129instr.pdf.
拟议规则的成本与收益
Costs and Benefits of the Proposed Rule
国土安全部(DHS)预计,相较于现行推定政策继续生效的基准情形,拟议规则将产生可量化及不可量化的成本与收益。
DHS expects that the proposed rule would generate both quantified and unquantified costs and benefits, assessed relative to a baseline in which the existing deference policy remains in effect.
可量化成本
Quantified Costs
可量化成本体现为因补充证据通知(RFE)发生频率增加而给申请人带来的额外时间负担。取消推定政策要求审案官员更为彻底地评估资格条件,这可能导致官员更频繁地要求提交补充材料,以独立核实每一份延期申请的资格。每一份RFE都会增加申请人的时间负担,申请人必须审阅通知内容、收集并整理文件,并准备和提交答复。为估算因取消推定政策而导致的RFE增加幅度,国土安全部使用了2013年10月1日至2021年4月27日期间的历史数据,该期间涵盖了推定政策生效期(2013年10月1日至2017年10月11日)和推定政策未生效期(2017年10月12日至2021年4月27日)。[18]
Quantified costs are captured as the additional time burden on petitioners resulting from more frequent RFEs. Removing the deference policy requires officers to more thoroughly assess eligibility, which may result in officers requesting additional documentation more often to independently verify eligibility for each extension request. Each RFE increases the time burden on petitioners, who must review the notice, collect and organize documents, and prepare and submit a response. To estimate the increase in RFEs attributable to removal of the deference policy, DHS uses historical data from October 1, 2013, to April 27, 2021, covering periods when the deference policy was in effect (October 1, 2013, to October 11, 2017) and when it was not in effect (October 12, 2017, to April 27, 2021).[18]
为了单独分离出取消推定政策对RFE数量的影响,国土安全部采用了简单的双重差分法(DID)。[19] 在本分析中,该DID方法比较了受影响群体(受推定政策影响的申请)在推定政策生效期与未生效期之间RFE比率的变化,并将其与同一时期内对照群体(不受推定政策影响的申请)RFE比率的变化进行比较。
In order to isolate the effect of removal of the deference policy on the number of RFEs, DHS uses a simple difference-in-difference (DID) approach.[19] For this analysis, the DID approach compares changes in the RFE rate for the affected group (petitions affected by deference policy) during the periods when deference policy was in effect and when it was not in effect with changes in the RFE rate for the comparison group (petitions not affected by deference policy) over the same periods.
表3比较了在推定政策生效期和未生效期提交的申请的RFE比率,并比较了受推定政策影响的申请(受影响群体)与不受推定政策影响的申请(对照群体)。该表显示,从推定政策生效期到未生效期,受影响群体的RFE比率上升了4.5%。然而,这一4.5%的增幅并未考虑同一时期内可能因与推定政策无关的原因而发生的RFE比率整体变化。DID方法利用对照群体来校正这些更广泛的变化趋势。由于对照群体在同一时期内的RFE比率上升了1.6%,受影响群体的相对增幅为(印刷页第65128页)2.9%。[20] 相较于仅使用受影响群体的变化数据,该方法能更准确地估计与该政策相关的变化。国土安全部对拒签率也采用了相同的DID方法,但未发现相应的变化。[21] 因此,本分析并未显示该政策对拒签率存在预期影响。
Table 3 compares RFE rates for petitions filed during periods when the deference policy was in effect and when it was not in effect, and it compares petitions affected by the deference policy (affected group) and petitions not affected by the deference policy (comparison group). The table shows that the RFE rate for the affected group increased by 4.5 percent from when the deference policy was in effect to when it was not in effect. However, this 4.5 percent increase does not account for broader changes in RFE rates that may have occurred over the same period for reasons unrelated to the deference policy. The DID approach uses the comparison group to account for those broader trends. Because the comparison group's RFE rate increased by 1.6 percent over the same period, the affected group's relative increase was ( printed page 65128) 2.9 percent.[20] This method provides a better estimate of the policy-associated change than just the affected group change alone. DHS applied the same DID approach to denial rates and found no corresponding change.[21] As a result, this analysis does not indicate an expected impact on denial rates.
表3 , 推定政策对RFE比率的影响:受影响群体与对照群体比较
Table 3—Impact of Deference Policy on RFE Rates: Affected Group vs Comparison Group
推定政策适用状态 | 期间 | 受影响群体 ** | 对照群体 ***
Deference policy status | Period | Affected Group ** | Comparison Group ***
全部 * | 补件通知 | 全部 * | 补件通知
All * | RFE | All * | RFE
受遵从既往认定政策影响的申请数量 | 受遵从既往认定政策影响的申请所收到的补件通知(RFE)数量 | 不受遵从既往认定政策影响的申请数量 | 不受遵从既往认定政策影响的申请所收到的补件通知(RFE)数量
Number of petitions affected by deference policy | Number of RFEs for petitions affected by deference policy | Number of petitions NOT affected by deference policy | Number of RFEs for petitions NOT affected by deference policy
生效期间 | 2013年10月1日至2017年10月11日 | 589,272 | 111,561 | 1,224,803 | 384,404
In Effect | 10/1/2013- 10/11/2017 | 589,272 | 111,561 | 1,224,803 | 384,404
(补件通知发生率) | | (18.9%) | (31.4%)
(RFE Rate) | | (18.9%) | (31.4%)
未生效期间 | 2017年10月12日至2021年4月27日 | 653,142 | 152,856 | 1,109,502 | 366,023
Not In Effect | 10/12/2017- 4/27/2021 | 653,142 | 152,856 | 1,109,502 | 366,023
(补件通知发生率) | | (23.4%) | (33.0%)
(RFE Rate) | | (23.4%) | (33.0%)
补件通知发生率差异(未生效遵从既往认定政策减去生效遵从既往认定政策) | | 4.5% | 1.6%
Difference in RFE Rate (Deference Not in Effect—In Effect) | | 4.5% | 1.6%
差中差(受影响组减去对照组) | | 2.9%
Difference in Difference (Affected-Comparison) | | 2.9%
数据来源:美国公民及移民服务局(USCIS)企业数据分析办公室(CDAO)、CLAIMS3与ELIS系统,PAER编号21508,查询日期为2026年5月。
Source: USCIS CDAO, CLAIMS3 & ELIS, PAER #21508, queried May 2026.
* 全部:每个期间内申请的总数量,包括收到补件通知(RFE)的申请和未收到补件通知的申请。申请的识别依据为I-129表格第二部分第2题(“分类依据”)中勾选了'a'、'b'、'c'、'd'或'e'选项的申请。'f'类别不纳入统计范围,因为在遵从既往认定政策未生效期间,该类别的补件通知发生率受到其他政策的影响。
* All: Total number of petitions in each period, including those that received RFEs and those that did not. Petitions are identified using Part 2, Question 2 (`Basis for Classification') on Form I-129, those where box `a', `b', `c', `d', or `e' is checked. Category `f 'is not included because other policies affected RFE rate for this category while deference policy was not in effect.
** 受影响组:申请的识别依据为I-129表格第二部分第2题(“分类依据”)中勾选了'b'或'c'选项的申请。
** Affected: Petitions are identified using Part 2, Question 2 (`Basis for Classification') on Form I-129, those where box 'b' or `c' is checked.
*** 对照组:申请的识别依据为I-129表格第二部分第2题(“分类依据”)中勾选了'a'、'd'或'e'选项的申请。
*** Comparison: Petitions are identified using Part 2, Question 2 (`Basis for Classification') on Form I-129, those where box `a', `d', or `e' is checked.
根据简单的差中差估算结果,废除8 CFR 214.1(c)(5)及遵从既往认定政策可能会使补件通知(RFE)发生率提高2.9个百分点。我们将此百分比应用于表2中估算的受影响人群(208,429),估计废除遵从既往认定政策后每年将新增约6,044份补件通知。[22]为估算准备补件通知答复所需时间的机会成本,国土安全部(DHS)假设潜在申请人将聘用人力资源专员、内部律师或外聘律师来准备补件通知答复。[23]国土安全部估计,平均而言,63%的补件通知所对应的申请同时提交了G-28表格,即《律师或获认可代表出庭通知书》。[24]表4列出了基于申请人为应对补件通知增加而花费的收集和提交证据的时间所估算的机会成本。时间机会成本的计算方法为:将估算的10分钟(0.167小时)时间负担[25]乘以申请人选择使用的不同准备方式所对应的报酬费率。国土安全部并不清楚将选择内部律师还是外聘律师的申请人的具体数量,但假设二者各占一半,因此采用两者的平均值来估算时间机会成本。国土安全部估计,由于预期补件通知数量增加,申请人每年将因此增加约133,987美元的成本。平均而言,每份额外补件通知的成本约为22.17美元。[26]
Based on the simple DID estimate, the removal of 8 CFR 214.1(c)(5) and the deference policy may increase the RFE rate by 2.9 percentage points. We apply this percentage to the estimated affected population from Table 2 (208,429) to estimate that there would be approximately 6,044 additional RFEs annually after removing the deference policy.[22] In order to estimate the opportunity cost of time for preparing an RFE response, DHS assumes that a prospective petitioner would use an HR specialist, an in-house attorney, or an outsourced attorney to prepare an RFE response.[23] DHS estimates that, on average, 63 percent of RFEs were issued for petitions concurrently filed with a Form G-28, Notice of Entry of Appearance as Attorney or Accredited Representative.[24] Table 4 presents the estimated opportunity costs of time based on the time petitioners would spend gathering and submitting evidence in response to an increase in RFEs. The opportunity cost of time is calculated by multiplying the estimated time burden of 10 minutes (0.167 hours) [25] by the compensation rate for the different methods of preparation that petitioners choose to use. DHS does not know the exact number of petitioners who would choose an in-house or an outsourced attorney but assumes it may be a 50/50 split and, therefore, provides an average of the two to estimate the opportunity cost of time. DHS estimates the annual increase in cost would be approximately $133,987 to petitioners due to the expected increase in RFEs. On average, the cost of an additional RFE would be $22.17.[26]
表4,废除遵从既往认定政策给I-129表格申请人带来的估算年度成本
Table 4—Estimated Annual Costs to Form I-129 Petitioners From Removing the Deference Policy
申请人 | 受影响人数 * | 时间负担 | 报酬费率 ** | 估算成本
Petitioner | Affected population * | Time burden | Compensation rate ** | Estimated cost
A | B | C | D = A × B × C
A | B | C | D = A × B × C
人力资源专员 | 2,236 | 0.167 | 57.55美元 | 21,494美元
HR specialist | 2,236 | 0.167 | $57.55 | $21,494
内部律师 | 1,904 | 0.167 | 130.45美元 | 41,474美元
In-house attorney | 1,904 | 0.167 | 130.45 | 41,474
外聘律师 | 1,904 | 0.167 | 223.38美元 | 71,019美元
Outsourced attorney | 1,904 | 0.167 | 223.38 | 71,019
总计 | 6,044 | | | 133,987美元
Total | 6,044 | | | 133,987
* 受影响人数:人力资源专员,2,236 = 6,044 × (100%−63%);律师,1,904 = 6,044 × 63% × 0.5。
* Affected Population: HR specialist, 2,236 = 6,044 × (100%−63%), Attorney 1,904 = 6044 × 63% × 0.5.
** 报酬费率:人力资源专员(39.42美元)、律师(89.35美元)。参见美国劳工统计局(BLS,隶属于美国劳工部DOL),《职业就业与工资统计,职业就业与工资,2025年5月》,职业代码13-1071人力资源专员、23-1011律师,https://www.bls.gov/​news.release/​archives/​ocwage_​05152026.htm(最后修改于2026年6月1日)。(第65129页)
** Compensation Rate: HR specialist ($39.42), Attorney ($89.35). See BLS, DOL, Occupational Employment and Wage Statistics, Occupational Employment and Wages, May 2025, 13-1071 Human Resources Specialists, 23-1011 Lawyers, https://www.bls.gov/​news.release/​archives/​ocwage_​05152026.htm (last modified June. 1, 2026). ( printed page 65129)
福利对工资倍数的计算方法如下:(每小时员工总薪酬)÷(每小时工资与薪金)=(每小时员工总薪酬48.78美元)÷(每小时工资与薪金33.45美元)=1.46(四舍五入)。参见美国劳工统计局(BLS,隶属于美国劳工部DOL),《经济新闻发布,雇主员工薪酬成本,2025年12月》,表1,按所有制类型划分的雇主员工薪酬成本[2025年12月](2026年3月20日发布),https://www.bls.gov/​news.release/​archives/​ecec_​03202026.pdf。
The benefits-to-wage multiplier is calculated as follows: (Total Employee Compensation per hour) ÷ (Wages and Salaries per hour) = ($48.78 Total Employee Compensation per hour) ÷ ($33.45 Wages and Salaries per hour) = 1.46 (rounded). See BLS, DOL, Economic News Release, Employer Costs for Employee Compensation—December 2025, Table 1. Employer Costs for Employee Compensation by ownership [Dec. 2025] (Mar. 20, 2026), https://www.bls.gov/​news.release/​archives/​ecec_​03202026.pdf.
雇主员工薪酬成本衡量的是雇主每员工工时所支付的工资、薪金及福利的平均成本。
The Employer Costs for Employee Compensation measures the average cost to employers for wages and salaries and benefits per employee hour worked.
计算过程:39.42美元 × 1.46 = 57.55美元,即人力资源专员的总工资费率。
Calculation: $39.42 × 1.46 = $57.55 total wage rate for HR specialists.
计算: 89.35美元 × 1.46 = 130.45美元,为内部律师的总工资费率。
Calculation: $89.35 × 1.46 = $130.45 total wage rate for In-house attorney.
计算: 89.35美元 × 2.5 = 223.38美元,为外包律师的总工资费率。
Calculation: $89.35 × 2.5 = $223.38 total wage rate for Outsourced attorney.
国土安全部(DHS)在《行使限时授权提高2018财年H-2B临时非农业工人项目数量限制》分析中,83 FR 24905(2018年5月31日),使用2.5的乘数将内部律师工资转换为外包律师工资成本。
The DHS analysis in Exercise of Time-Limited Authority to Increase the Fiscal Year 2018 Numerical Limitation for the H-2B Temporary Nonagricultural Worker Program,83 FR 24905 (May 31, 2018), used a multiplier of 2.5 to convert in-house attorney wages to the cost of outsourced attorney wages.
美国移民及海关执法局(ICE)的规则《关于收到姓名不符信函的雇主的安全港程序》最终小实体影响分析G-4(2008年8月25日)https://www.regulations.gov/​document/​ICEB-2006-0004-0922,也根据该规则公开评论中收到的信息,使用2.5的乘数将内部律师工资转换为外包律师成本。该分析所采用的方法对于本规则使用2.5作为外包劳动力工资的乘数而言仍然是合理的。
The U.S. Immigration and Customs Enforcement rule, Final Small Entity Impact Analysis: `Safe-Harbor Procedures for Employers Who Receive a No-Match Letter' at G-4 (Aug. 25, 2008), https://www.regulations.gov/​document/​ICEB-2006-0004-0922, also used a multiplier of 2.5 to convert in-house attorney wages to the cost of outsourced attorney based on information received in public comment to that rule. The methodology used in that analysis remains sound for using 2.5 as a multiplier for outsourced labor wages in this rule.
注: 由于四舍五入,总计数可能与各项之和不完全一致。计算均采用未经四舍五入的数值。
Note: Totals may not sum due to rounding. Calculations use unrounded values.
未量化的成本
Unquantified Costs
申请人在寻求延长停留期限和申请有效期时,可能会经历更长的审理时间,并对能否继续雇佣产生更大的不确定性。根据过去四个财年(2022财年至2025财年)的平均数据,有补充证据请求(RFE)的申请与无补充证据请求的申请之间的处理时间差异为64天。因此,我们采用与收到补充证据请求的申请相关的额外处理时间,即64个日历天。[27]这些较长的时间线可能延迟最终决定,使工人和雇主难以规划项目时间表、人员配置水平和工作安排。在此延长期间,申请人可能面临关于受益人长期雇佣授权和身份的额外不确定性,这可能给雇主带来运营方面的挑战,例如劳动力规划和项目安排,并增加工人的压力,因为他们可能需要等待更长时间才能明确是否能够在已获授权的期限之外继续工作。在已及时提交延长受益人停留期限的申请的情况下,如果该申请在受益人身份到期时仍处于待决状态,受益人可在等待就其提交的申请作出裁决期间,在获授权的停留期内继续留在美国,并可能有资格继续工作。参见,例如,8 CFR 274a.12(b)(20)。此时受益人所承担的成本将更多与其申请何时获得裁决的不可预测性有关。
Petitioners may experience longer adjudication times and increased uncertainty regarding continued employment when seeking extensions of stay and petition validity. Based on the average of the last four fiscal years (FY 2022-FY 2025), the difference in processing time between petitions with and without an RFE is 64 days; therefore, we use the additional processing time associated with petitions that receive an RFE, which is 64 calendar days.[27] These longer timelines can delay the final decision, making it difficult for workers and employers to plan project timelines, staffing levels, and work assignments. During this extended period, petitioners may face added uncertainty as to the beneficiary's longer-term employment authorization and status, which could create operational challenges for employers, such as workforce planning and project scheduling and increase stress for workers who may have to wait significantly longer for clarity on their ability to continue employment beyond that already authorized. In cases where a petition to extend the beneficiary's stay has been timely filed, if the petition remained pending when the beneficiary's status expired, the beneficiary may remain in the United States in an authorized period of stay while awaiting the adjudication of the petition filed on their behalf and may be eligible to continue to work. See, e.g.,8 CFR 274a.12(b)(20). The costs to beneficiaries then would be more related to unpredictability regarding when their petition is adjudicated.
国土安全部认识到,取消遵从可能导致申请人投入更多时间和资源来准备延期申请。美国公民及移民服务局(USCIS)未发现有证据表明,因取消遵从而导致G-28表格的提交率有所上升。[28]然而,申请人可能会采取额外措施,以确保从一开始提交的材料就完整且条理清晰,而不是仅仅依赖先前的批准。这些努力可能有助于申请人满足其举证责任,并可能降低出现缺陷的可能性,但也可能带来未量化的成本,表现为额外的员工时间、律师时间或其他准备成本。国土安全部无法根据现有数据对此成本进行量化。
DHS recognizes that removing deference may lead petitioners to devote additional time and resources to preparing extension petitions. USCIS did not find evidence that the Form G-28 filing rate increased as a result of removing deference.[28] However, petitioners may take additional steps to ensure that submissions are complete and well-organized at the outset, instead of merely relying on a prior approval. These efforts may help petitioners satisfy their burden of proof and may reduce the likelihood of deficiencies, but they may also impose unquantified costs in the form of additional staff time, attorney time, or other preparation costs. DHS is unable to quantify this cost with the available data.
未量化的收益
Unquantified Benefits
取消8 CFR 214.1(c)(5)及遵从政策将明确并强化这样一项原则,即法定举证责任仍由申请人承担,而非由机构承担,这与制定法相符。参见《移民与国籍法》(INA)第291条,8 U.S.C. 1361; Matter of Chawathe案,25 I. & N. Dec. 369, 375 n.7(美国公民及移民服务局行政上诉办公室,2010年)(“证明符合所寻求福利资格的举证责任完全由申请人承担”)。这对该机构是有益的,因为它强调了官员没有义务仅因先前的批准,就批准在尚未证明符合资格的情况下寻求移民福利的后续申请。取消遵从政策还将促使裁决官员不依赖不完整或过时的事实,从而支持作出更准确、以档案记录为基础的决定。明确举证责任的分配也可以促进提交材料更加完整、条理更清晰,并可能降低延期申请被错误批准的风险。
Removing 8 CFR 214.1(c)(5) and the deference policy would clarify and reinforce that the statutory burden of proof remains on the petitioner rather than on the agency, consistent with the statute. See INA sec. 291, 8 U.S.C. 1361; Matter of Chawathe, 25 I. & N. Dec. 369, 375 n.7 (USCIS AAO, 2010) (“The burden of proving eligibility for the benefit sought remains entirely with the applicant”). This benefits the agency by underscoring that officers are not obligated to approve subsequent petitions seeking immigration benefits where eligibility has not been demonstrated, merely because of prior approval. Removing the deference policy would also compel adjudication officers not to rely on incomplete or outdated facts, and supports more accurate, record-based decisions. Clear allocation of the burden of proof can also promote more complete, better-organized filings, and may reduce the risk of erroneous approvals of extension petitions.
此外,取消推定效力将强化国土安全部(DHS)全面、及时审查每份申请所附证据的权力,从而提高识别不符合资格情形或欺诈迹象的能力。当官员无需对先前的批准给予推定效力时,他们可以根据可能在此前决定作出时尚不明显的最新信息、政策或模式,更好地评估文件和资格标准。这种全面审查有助于揭示既往申请与当前申请之间的差异,凸显不断演变的风险指标,并识别先前决定中可能存在的错误。这种做法将通过帮助机构纠正错误、发现新出现的欺诈手法,以及根据对重复申请者持续审查中发现的问题来完善指导和培训,从而加强项目的完整性。
Moreover, removing deference would reinforce DHS's authority to conduct a full, current review of the evidence in each petition, improving the ability to identify ineligibility or indicators of fraud. When officers need not defer to prior approvals, they can better evaluate documentation and eligibility criteria based on updated information, policies, or patterns that may not have been apparent at the time of the earlier decision. This full-scope review could help reveal discrepancies between past and current filings, highlight evolving risk indicators, and identify potential mistakes in prior decisions. This approach would strengthen program integrity by helping the agency to correct mistakes, detect emerging fraud schemes, and refine guidance and training based on issues identified through ongoing examination of repeat filers.
取消推定效力还将通过强化每份申请均依据当前记录进行评估这一原则,使公众和更广泛的移民体系受益,这可能会增强公众对裁决完整性的信心。公众将更有把握地相信,获批并非仅仅沿袭先前决定,而是基于当前事实和适用标准作出的。同时,取消推定效力将维护移民体系的完整性,并推动更好地保护美国工人利益的政策,其方式是支持更准确、以证据为依据的决定,并降低过时或错误的既往批准继续作为授予移民福利依据的风险。(印刷页第65130页)
Removing deference would also benefit the public and the broader immigration system by reinforcing that each petition is evaluated on the current record, which could increase confidence in the integrity of adjudications. Members of the public would have more assurance that approvals are not simply carried forward from prior decisions but are based on current facts and applicable standards. At the same time, removing deference would maintain the integrity of the immigration system and advance policies that better protect the interests of U.S. workers by supporting more accurate, evidence-driven decisions and reducing the risk that outdated or erroneous prior approvals continue to serve as the basis for granting immigration benefits. ( printed page 65130)
已考虑的备选方案
Alternatives Considered
本拟议规则旨在明确并强化申请人承担法定举证责任这一原则,鼓励对每份申请及其所附证据进行更全面的审查,并更好地维护合法移民体系的完整性。国土安全部认为,取消推定效力将带来相对较小的额外合规成本,而由此产生的收益足以证明这些成本的合理性。因此,国土安全部认为,取消对延长居留申请的推定效力条款将是实现本次制定规则各项目标最有效的方式。
This proposed rule seeks to clarify and reinforce that the statutory burden of proof remains on the petitioner, encourage a more thorough review of each petition and its supporting evidence, and better protect the integrity of the legal immigration system. DHS believes that removing deference would impose relatively small additional compliance costs and that the resulting benefits it provides justify these costs. Therefore, DHS believes that removing the deference provision for extension of stay petitions would be the most effective way to achieve the goals of this rulemaking.
国土安全部考虑了一种备选方案,即修订推定效力法规,更明确地说明美国公民及移民服务局(USCIS)是否适用推定效力具有裁量权。国土安全部并未提议采用此备选方案,因为这可能会给申请人和美国公民及移民服务局带来不必要的困惑和不确定性。相反,国土安全部认为,完全取消推定效力是增强项目完整性的最切实可行的备选方案,包括确保举证责任仍由申请人承担,以证明非移民外国工人有资格在美国继续工作,并确保美国公民及移民服务局的裁决官员在授予该项福利之前,根据每份非移民工人延期申请自身的是非曲直进行全面审查。国土安全部未考虑其他备选方案。国土安全部欢迎公众就此问题提出意见。
DHS considered an alternative to revise the deference regulation to more clearly state that USCIS has discretion whether to apply deference. DHS is not proposing this alternative because it would likely create unnecessary confusion and uncertainty for both petitioners and USCIS. Instead, DHS believes that removing deference entirely is the most practical alternative to enhance program integrity, including by ensuring that the burden remains on the petitioner to establish the nonimmigrant alien worker's eligibility to continue working in the United States, and that USCIS adjudicators thoroughly review each nonimmigrant worker extension request on its own merits before granting the benefit. DHS did not consider other alternatives. DHS welcomes public comments on this issue.
拟议法规变更的总量化成本
Total Quantified Costs of the Proposed Regulatory Changes
在本节中,国土安全部列出了10年分析期内的总量化成本及相应的年化成本。国土安全部估计年度成本为133,987美元。如表5所示,10年期内未折现的总成本估计为1,339,870美元。我们估计,在10年期内,按3%的贴现率计算,总成本约为1,142,936美元;按7%的贴现率计算,总成本约为941,069美元。按3%和7%两种贴现率计算,年化成本均估计为133,987美元。
In this section, DHS presents the total quantified costs over 10-year analysis period and the corresponding annualized costs. DHS estimates the annual cost to be $133,987. As shown in Table 5, the total undiscounted cost is estimated to be $1,339,870 over the 10-year period. We estimate that, over the 10-year period and using a 3 percent discount rate, the total cost would be approximately $1,142,936, and using a 7 percent discount rate, the total cost would be about $941,069. The annualized cost is estimated to be $133,987 at both the 3 percent and 7 percent discount rates.
表5, , 10年分析期内的折现成本
Table 5—Discounted Costs Over a 10-Year Period of Analysis
10年未折现 | 估计总成本 1,339,870美元
10-Year undiscounted | Total estimated costs $1,339,870
年份 | 按3%贴现 | 按7%贴现
Year | Discounted at 3 percent | Discounted at 7 percent
1 | 130,084美元 | 125,221美元
1 | $130,084 | $125,221
2 | 126,296 | 117,029
2 | 126,296 | 117,029
3 | 122,617 | 109,373
3 | 122,617 | 109,373
4 | 119,046 | 102,218
4 | 119,046 | 102,218
5 | 115,578 | 95,531
5 | 115,578 | 95,531
6 | 112,212 | 89,281
6 | 112,212 | 89,281
7 | 108,944 | 83,440
7 | 108,944 | 83,440
8 | 105,771 | 77,982
8 | 105,771 | 77,982
9 | 102,690 | 72,880
9 | 102,690 | 72,880
10 | 99,699 | 68,112
10 | 99,699 | 68,112
10年总计 | 1,142,936 | 941,069
10-year Total | 1,142,936 | 941,069
年化 | 133,987 | 133,987
Annualized | 133,987 | 133,987
资料来源:美国公民及移民服务局分析。
Source: USCIS Analysis.
联邦政府承担的成本
Costs to the Federal Government
国土安全部(DHS)拟废除8 CFR 214.1(c)(5)条及遵从政策,该政策要求移民局(USCIS)官员在裁决申请时,对此前已获得批准的决定给予遵从,即使这可能会因要求官员对此前本可受益于遵从政策的申请重新评估其资格而增加移民局的运营成本,即便相关基本事实和情况并未发生变化。这一额外工作将导致更多地采用裁决行动,尤其是以补充证据请求(RFE)的形式,这将进一步增加机构的资源需求并加剧积压。准备和签发补充证据请求,以及审查对补充证据请求的答复,均需要官员投入额外时间、主管审核和行政支持,这些因素共同提高了整体处理成本和处理时间。
DHS is proposing to remove 8 CFR 214.1(c)(5) and the deference policy which may increase USCIS operational costs by requiring officers to assess eligibility for petitions that previously would have benefitted from deference, even when the underlying facts and circumstances remain unchanged. This additional effort would lead to greater use of adjudicative actions, particularly in the form of RFEs, which further increase agency resource demands and contribute to backlogs. Preparing and issuing RFEs, and reviewing responses to RFEs, require additional officer time, supervisory review, and administrative support, collectively raising the overall cost and time of processing.
《移民与国籍法》(INA)规定,应按足以确保全额收回提供裁决和入籍服务成本的水平收取费用,这些成本包括行政成本以及向某些申请人和请愿人免费提供的服务。[29] 费用的设定金额应能够收回这些分摊成本,例如文员、官员和管理人员的薪金及福利,并另加一笔金额以收回未分摊的管理费用(例如设施租金、信息技术设备和系统)以及无需收费提供的移民福利。这些成本将通过向申请人收取的福利申请费用予以涵盖。国土安全部在其2024财年费用规则中基于实证成本估算确定了现行费用。国土安全部指出,如果本规则按拟议内容最终定稿,从而提高移民局的成本,则费用表的调整将在移民局下一次全面的双年度费用审查中确定。
The INA provides for the collection of fees at a level that will ensure recovery of the full costs of providing adjudication and naturalization services, including administrative costs and services provided without charge to certain applicants and petitioners.[29] Fees are established at an amount that is necessary to recover these assigned costs, such as clerical, officer, and managerial salaries and benefits, plus an amount to recover unassigned overhead ( e.g., facility rent, IT equipment and systems) and immigration benefits provided without a fee charge. These costs would be captured in the fees collected for the benefit request from petitioners. DHS established the current fees in its FY 2024 fee rule based on empirical cost estimates. DHS notes that if this rule, if finalized as proposed, would increase USCIS' costs, then the fee schedule adjustment would be determined at USCIS' next comprehensive biennial fee review.
B. 1980年《管制灵活性法案》
B. Regulatory Flexibility Act of 1980
初步管制灵活性分析
Initial Regulatory Flexibility Analysis
《管制灵活性法案》(RFA),公法96-354号,经1996年《小企业管制执行公平法案》(公法104-121号)修订,载于《美国法典》第5编第601条至第612条,要求联邦机构在制定规则的过程中考虑法规对小企业、小型政府辖区和小型组织可能产生的影响。“小实体”一词包括小企业、独立拥有和经营且在其所属领域不占主导地位的非营利组织,以及人口少于50,000人的政府辖区。[30] “个人”不被视为小实体,对个人造成的成本在《管制灵活性法案》的意义上不被视为对小实体的影响。此外,法院已裁定,《管制灵活性法案》仅要求机构在规则直接(第65131页)规制小实体时,才需对小实体影响进行管制灵活性分析。[31] 因此,就《管制灵活性法案》而言,规则对小实体产生的间接影响不被视为成本。本拟议规则将影响提交I-129表格(非移民工人申请表)的小实体。因此,国土安全部已在下文编写初步管制灵活性分析,供公众评议。
The RFA, Public Law 96-354, as amended by the Small Business Regulatory Enforcement Fairness Act of 1996, Public Law 104-121, 5 U.S.C. 601 through 612, requires Federal agencies to consider the potential impact of regulations on small businesses, small governmental jurisdictions, and small organizations during the development of their rules. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000.[30] An “individual” is not considered a small entity and costs to an individual are not considered a small entity impact for RFA purposes. In addition, the courts have held that the RFA requires an agency to perform a regulatory flexibility analysis of small entity impacts only when a rule directly ( printed page 65131) regulates small entities.[31] Consequently, indirect impacts from a rule on a small entity are not considered as costs for RFA purposes. This proposed rule would affect small entities that submit Form I-129, Petition for a Nonimmigrant Worker. Consequently, DHS has prepared an initial regulatory flexibility analysis below for public comment.
1. 机构考虑采取此项行动的原因说明
1. A Description of the Reason Why the Action by the Agency Is Being Considered
本拟议规则的目的是废除8 CFR 214.1(c)(5)条及遵从政策。该政策指示移民局官员在裁决涉及相同当事人和相同基本事实的I-129表格(非移民工人申请表)申请时,对申请人、请愿人或受益人资格此前的认定给予遵从,除非存在重大错误、重大变化,或存在对资格产生不利影响的新的重大信息。这项拟议变更将使该法规更好地与制定法保持一致,后者将证明资格的举证责任置于请愿人身上。
The purpose of this proposed rule is to remove 8 CFR 214.1(c)(5) and the deference policy which instructs USCIS officers to give deference to a prior determination of the petitioner's, applicant's or beneficiary's eligibility when adjudicating a request filed on Form I-129, Petition for a Nonimmigrant Worker, involving the same parties and the same underlying facts, unless there was a material error, a material change, or new material information that adversely impacts eligibility. This proposed change would better align the regulation with the statute, which places the burden of proof in establishing eligibility on the petitioner.
2. 关于拟议规则目标及法律依据的说明
2. A Statement of the Objectives of, and Legal Basis for, the Proposed Rule
国土安全部针对本拟议规则的目标和法律授权已在前言中予以讨论。
DHS's objectives and legal authority for this proposed rule are discussed earlier in the preamble.
3. 适用本拟议变更的小实体数量说明及(在可行的情况下)估算
3. A Description and, Where Feasible, an Estimate of the Number of Small Entities to Which the Proposed Changes Would Apply
在本分析中,美国国土安全部(DHS)使用了2025财年雇主提交H-1B延期申请的内部数据。[32] 拟议规则将影响在Form I-129表格上为多个非移民类别提交的延期申请。为本分析之目的,DHS依赖H-1B申请人数据作为雇主层面信息的最佳可用来源。Form I-129表格用于多个非移民工作者类别,然而,DHS并未掌握针对所有非H-1B类别均足够可靠的雇主层面数据,以便对所有Form I-129申请人开展类似的小实体分析。H-1B申请占所有Form I-129表格提交总数的75%以上,并包含雇主层面数据,使DHS能够评估申请人规模。由于H-1B申请占Form I-129申请的大多数,并提供了评估小实体影响时最可靠的可用数据,DHS将H-1B申请人数据作为更广泛的Form I-129申请人群体的合理替代指标。DHS将内部雇主数据与美国小企业管理局(SBA)规模标准表[33]进行了合并,以识别小实体。
For this analysis, DHS used internal data for employers filing H-1B extension petitions for FY 2025.[32] The proposed rule would affect extension petitions filed on Form I-129 for multiple nonimmigrant classifications. For purposes of this analysis, DHS relied on H-1B petitioner data as the best available source of employer-level information. Form I-129 is used for several nonimmigrant worker classifications; however, DHS does not have sufficiently reliable employer-level data for all non-H-1B classifications to conduct a comparable small entity analysis across all Form I-129 petitioners. H-1B petitions account for more than 75 percent of all Form I-129 filings and include employer-level data that allow DHS to evaluate petitioner size. Because H-1B filings constitute the majority of Form I-129 petitions and provide the most reliable available data for assessing small entity impacts, DHS used H-1B petitioner data as a reasonable proxy for the broader Form I-129 petitioner population. DHS merged the internal employer data with the Small Business Administration (SBA) table of size standards [33] to identify small entities.
为确定某实体就《监管灵活性法案》(RFA)而言是否为小实体,DHS首先确定该实体的北美行业分类系统(NAICS)代码,然后使用SBA指南对每个实体的收入或雇员人数门槛进行分类。部分实体依据其年收入被归类为小实体,部分依据其雇员人数被归类为小实体。然而,由于美国公民及移民服务局(USCIS)内部数据未包含必要信息,DHS无法将约36%的申请与SBA规模标准表进行匹配。
To determine whether an entity is small for purposes of the RFA, DHS first identified the entity's North American Industry Classification System (NAICS) code and then used SBA guidelines to classify the revenue or employee count threshold for each entity. Some entities were classified as small based on their annual revenue, and some by their number of employees. However, DHS was unable to match approximately 36 percent of petitions to the SBA table of size standards because internal USCIS data did not contain the necessary information.
根据2025财年关于H-1B延期申请实际提交情况的内部数据,共提交了165,347份申请。DHS识别出25,621个独立实体,并能够将其中16,447个分类为小实体或非小实体。DHS确定,在以H-1B类别提交Form I-129延期申请的16,447个已分类独立实体总数中,有57%为小实体。参见表6。
Using FY 2025 internal data on actual filings of H-1B extensions petitions, there were 165,347 petitions filed. DHS recognized 25,621 unique entities and was able to classify 16,447 as either small entities or not small entities. DHS determined that 57 percent of the total 16,447 classified unique entities that filed Form I-129 extensions under the H-1B classification were small entities. See Table 6.
表6:提交H-1B限额内申请的小实体数量,2025财年
Table 6—Number of Small Entities Filing H-1B Cap-Subject Petitions, FY 2025
已分类独立实体数量 | 小实体数量 | 占总体比例(%)
Unique entities classified | Number of small entities | Proportion of population (%)
16,447 | 9,453 | 57
16,447 | 9,453 | 57
来源:USCIS客户数据分析办公室(CDAO),CLAIMS3及ELIS系统,查询时间2026年4月,追踪编号21030。
Source: USCIS CDAO, CLAIMS3 and ELIS, queried 4/2026, TRK #21030.
表7列出了按2025财年小实体提交H-1B延期申请数量排名的前10个NAICS代码。该表以百万美元或雇员人数列示了每个NAICS代码对应的规模标准。小实体的前10个类别包括:专业、科学和技术服务业(54)、制造业(33)、教育服务业(61)以及药品制剂制造业(32)。
Table 7 presents the top 10 NAICS codes, ranked by the number of H-1B extension petitions filed by small entities for FY2025. The table shows the size standards for each NAICS code in millions of dollars or by number of employees. Top 10 categories for small entities include: Professional, scientific, and technical services (54), Manufacturing (33), Educational services (61), and Pharmaceutical preparation manufacturing (32).
表7:2025财年提交H-1B延期申请的小实体前10个NAICS代码
Table 7—Top 10 NAICS Code for Small Entities Filing H-1B Extensions Petitions, FY2025
NAICS代码 | NAICS代码说明 | 规模标准(百万美元) | 规模标准(雇员人数)
NAICS code | NAICS code description | Size standards in millions of dollars | Size standards in number of employees
541511 | 定制计算机编程服务 | 34
541511 | Custom Computer Programming Services | 34
541512 | 计算机系统设计服务 | 34
541512 | Computer Systems Design Services | 34
541330 | 工程服务 | 25.5
541330 | Engineering Services | 25.5
541519 | 其他计算机相关服务 | 34
541519 | Other Computer Related Services | 34
334413 | 半导体及相关器件制造 | | 1,250
334413 | Semiconductor and Related Device Manufacturing | | 1,250
541714 | 生物技术研究与开发(纳米生物技术除外) | | 1,000
541714 | Research and Development in Biotechnology (except Nanobiotechnology) | | 1,000
611110 | 小学和中学 | 20
611110 | Elementary and Secondary Schools | 20
325412 | 药品制剂制造 | | 1,300
325412 | Pharmaceutical Preparation Manufacturing | | 1,300
(印刷页第65132页)
( printed page 65132)
541715 | 物理、工程和生命科学研究与开发(纳米技术和生物技术除外) | | 1,000
541715 | Research and Development in Physical, Engineering, and Life Sciences (except Nanotechnology and Biotechnology) | | 1,000
541211 | 注册会计师事务所 | 26.5
541211 | Offices of Certified Public Accountants | 26.5
本规则无法量化的成本在于,针对收到补充证据请求(RFE)的延期申请,其较长的审理时间所带来的不确定性增加及潜在运营中断。根据2022财年至2025财年的数据,收到RFE的申请平均需要额外64个日历日进行处理,这可能影响雇主在人员配备、项目进度和工作安排方面的规划,同时也会增加劳工对其长期工作授权及身份的不确定性。
The unquantifiable cost of this rule is the increased uncertainty and potential operational disruption associated with longer adjudication times for extension petitions that receive an RFE. Based on FY 2022 through FY 2025 data, petitions with an RFE took an average of 64 additional calendar days to process, which may affect employer planning for staffing, project timelines, and work assignments, as well as workers' uncertainty regarding their longer-term employment authorization and status.
可量化的成本是雇主花费时间准备和提交额外补充证据请求(RFE)所产生的时间机会成本,这是由于预期RFE数量增加所致。正如《监管影响分析》(RIA)中“量化成本”部分所述,美国国土安全部(DHS)估计,为重新确立资格而准备额外证明文件和证据所需的额外成本,将导致所有受影响雇主的年度总成本增加133,987美元,对应约6,044份额外的RFE。DHS确定共有22,748家独立雇主受本规则影响。DHS通过将估计的年度总成本133,987美元除以归因于本规则的RFE增加数量6,044,计算出每份RFE的成本,得出每份RFE的估计成本约为22美元。由于小实体提交申请的件数中位数为一件,[34]因受取消推定政策而收到RFE的小实体需要花费时间提交额外的证明文件和证据,估计将产生约22美元的成本。如表3所示,在推定政策未生效期间,RFE发生率为23.4%。因此,DHS估计,在可能受本规则影响的小实体中,约23.4%,即3,637家,将因本规则而产生成本。每个受影响小实体的估计成本约为22美元。因此,尽管本规则可能影响相当数量的小实体,但DHS预计对受影响小实体的经济影响不会是显著的。DHS欢迎公众就此分析提出意见,尤其欢迎能够进一步揭示本拟议规则量化成本的意见。
The quantifiable cost is the opportunity cost of employer time spent preparing and submitting additional RFEs resulting from the expected increase in RFEs. As discussed in the “Quantified Costs” section of the RIA, DHS estimates that the annual increase in costs to petitioners would be $133,987 across all affected employers for preparing additional supporting documentation and evidence to re-establish eligibility for an estimated 6,044 additional RFEs. DHS identified 22,748 unique employers affected by this rule. DHS estimates the cost per RFE by dividing the total estimated annual cost of $133,987 by the estimated increase in RFEs attributable to this rule, 6044, resulting in an estimated cost of approximately $22 per RFE. Because the median number of petitions filed by small entities is one,[34] a small entity that receives an RFE due to the removal of deference would need to spend time submitting additional supporting documentation and evidence and would incur an estimated cost of approximately $22. As shown in Table 3, the RFE rate during the period when the deference policy was not in effect was 23.4 percent. DHS therefore estimates that approximately 23.4 percent, or 3,637, of the small entities potentially affected by the rule would incur costs as a result of this rule. The estimated cost would be approximately $22 per affected small entity. Therefore, although the rule may affect a substantial number of small entities, DHS does not expect the economic impact on affected small entities to be significant. DHS welcomes public comments on this analysis, particularly those comments that would provide further insight into the quantified costs of this proposed rule.
4. 关于拟议规则预计产生的报告、记录保存及其他合规要求的说明,包括对将受该要求约束的小实体类别的估计,以及编制报告或记录所需专业技能类型的说明
4. A Description of the Projected Reporting, Recordkeeping, and Other Compliance Requirements of the Proposed Rule, Including an Estimate of the Classes of Small Entities That Will Be Subject to the Requirement and the Types of Professional Skills Necessary for Preparation of the Report or Record
拟议规则将主要通过增加与延长停留期限申请相关的RFE数量来提高合规要求,这是因为官员将不再对先前批准给予推定,而是会对每份申请的资格条件进行更全面的审查。因此,某些申请人将需要更频繁地审阅RFE通知,收集并整理额外的证明文件,并对先前的批准及持续资格情况保留更完善的记录。DHS预计,这些工作通常将由人力资源专员、内部律师或外聘律师负责执行,由其负责分析RFE内容、整理所需文件,并代表申请人及时准备完整的答复。
The proposed rule would increase compliance requirements primarily by increasing the number of RFEs associated with extension of stay petitions, because officers would no longer apply deference to prior approvals and would instead more thoroughly examine eligibility for each request. As a result, certain petitioners would need to review RFE notices more frequently, collect and organize additional supporting documentation, and maintain more robust records of prior approvals and ongoing eligibility. DHS anticipates that these activities would generally be carried out by an HR specialist, an in-house attorney, or an outsourced attorney, who would be responsible for analyzing the RFEs, assembling the required documentation, and preparing timely, complete responses on behalf of the petitioner.
5. 在可行范围内,识别所有可能与拟议规则重复、重叠或冲突的相关联邦规则
5. An Identification of All Relevant Federal Rules, to the Extent Practical, That May Duplicate, Overlap, or Conflict With the Proposed Rule
DHS尚未发现存在任何与本规则重复、重叠或冲突的联邦规则,但欢迎公众就此类规则提供意见和信息。
DHS is unaware of any duplicative, overlapping, or conflicting Federal rules, but invites the public to provide comments and information regarding any such rules.
6. 关于能够实现适用法规既定目标并能最大限度降低拟议规则对小实体造成重大经济影响的任何重大替代方案的说明
6. A Description of Any Significant Alternatives to the Proposed Rule That Accomplish the Stated Objectives of Applicable Statutes and That Minimize Any Significant Economic Impact of the Proposed Rule on Small Entities
除修改监管文本以更清楚地说明美国公民及移民服务局(USCIS)在是否适用推定方面拥有自由裁量权外,DHS未考虑拟议规则的其他替代方案。然而,该替代方案无法实现本拟议规则的既定目标。DHS认为,取消推定政策所带来的额外合规成本相对较小,其所产生的效益足以证明这些成本的合理性。
DHS did not consider any alternatives to the proposed rule other than revising the regulatory text to more clearly state that USCIS has discretion whether to apply deference. However, this alternative would not accomplish the stated objectives of this proposed rule. DHS believes that removing deference would impose relatively small additional compliance costs and that the resulting benefits justify these costs.
C. 1995年《无资金授权改革法》
C. Unfunded Mandates Reform Act of 1995
1995年《无资金授权改革法》(UMRA)的目的之一,是遏制在没有联邦资金支持的情况下向州、地方及部落政府施加联邦强制要求的做法。UMRA第二章要求各联邦机构就拟议规则,或已就其发布过拟议规则的最终规则中所含的任何联邦强制要求的影响,编制书面说明,该等强制要求可能导致州、地方及部落政府整体,或私营部门,在任何一年内产生1亿美元或以上的支出(每年根据通货膨胀进行调整)。[35]
The Unfunded Mandates Reform Act of 1995 (UMRA) is intended, among other things, to curb the practice of imposing unfunded Federal mandates on State, local, and Tribal governments. Title II of UMRA requires each Federal agency to prepare a written statement assessing the effects of any Federal mandate in a proposed rule, or final rule for which the agency published a proposed rule, that includes any Federal mandate that may result in a $100 million or more expenditure (adjusted annually for inflation) in any one year by State, local, and tribal governments, in the aggregate, or by the private sector.[35]
根据城市消费者消费价格指数(CPI-U),1995年1亿美元的通货膨胀调整值在2025年约为2.11亿美元。[36] 本拟议规则不包含《无资金授权改革法》(UMRA)所定义的联邦强制令。[37] 因此,UMRA第二章的要求不适用,国土安全部(DHS)尚未依据UMRA编制相关声明。
The inflation adjusted value of $100 million in 1995 is approximately $211 million in 2025 based on the Consumer Price Index for All Urban Consumers (CPI-U).[36] This proposed rule does not contain a Federal mandate as the term is defined under UMRA.[37] The requirements of title II of UMRA, therefore, do not apply, and DHS has not prepared a statement under UMRA.
D. 第13132号行政命令(联邦制)
D. Executive Order 13132 (Federalism)
本拟议规则不会对各州,(印刷页65133)对国家政府与各州之间的关系,或对各级政府之间权力与责任的分配产生实质性直接影响。因此,根据第13132号行政命令《联邦制》第6条,现确定本拟议规则不具有足以要求编制联邦制影响摘要声明的联邦制含义。
This proposed rule would not have substantial direct effects on the States, ( printed page 65133) on the relationship between the National Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, in accordance with section 6 of Executive Order 13132, Federalism, it is determined that this proposed rule does not have sufficient federalism implications to warrant the preparation of a federalism summary impact statement.
E. 第12988号行政命令(民事司法改革)
E. Executive Order 12988 (Civil Justice Reform)
本拟议规则系依据第12988号行政命令《民事司法改革》起草和审查。本拟议规则旨在为受影响行为提供明确的法律标准,并经过仔细审查以消除起草错误和歧义,从而最大限度地减少诉讼及对联邦法院系统造成的不当负担。国土安全部已确定本拟议规则符合第12988号行政命令第3条规定的适用标准。
This proposed rule was drafted and reviewed in accordance with E.O. 12988, Civil Justice Reform. This proposed rule was written to provide a clear legal standard for affected conduct and was carefully reviewed to eliminate drafting errors and ambiguities, so as to minimize litigation and undue burden on the Federal court system. DHS has determined that this proposed rule meets the applicable standards provided in section 3 of E.O. 12988.
F. 第13175号行政命令(与印第安部落政府的协商与协调)
F. Executive Order 13175 (Consultation and Coordination With Indian Tribal Government)
本拟议规则不具有“部落含义”,因为其不会对一个或多个印第安部落,对联邦政府与印第安部落之间的关系,或对联邦政府与印第安部落之间权力与责任的分配产生实质性直接影响。因此,第13175号行政命令《与印第安部落政府的协商与协调》不要求机构采取进一步行动或分析。
This proposed rule does not have “tribal implications” because it will not have substantial direct effects on one or more Indian Tribes, on the relationship between the Federal Government and Indian Tribes, or on the distribution of power and responsibilities between the Federal Government and Indian Tribes. Accordingly, E.O. 13175, Consultation and Coordination with Indian Tribal Governments, requires no further agency action or analysis.
G. 《国家环境政策法》
G. National Environmental Policy Act
国土安全部及其所属部门对拟议监管行动进行分析,以确定《国家环境政策法》(NEPA,《美国法典》第42编第4321条及后续条款)是否适用于这些行动,若适用,则需确定所要求的分析程度。国土安全部第023-01号指令(经第01次修订)《实施国家环境政策法》(第023-01号指令,经第01次修订)及第023-01-001-01号指令手册(经第01次修订)(《指令手册》)[38] 确立了国土安全部及其所属部门用于遵守NEPA的政策和程序。
DHS and its components analyze proposed regulatory actions to determine whether the National Environmental Policy Act (NEPA), 42 U.S.C. 4321 et seq., applies to them and, if so, what degree of analysis is required. DHS Directive 023-01 Rev. 01 “Implementing the National Environmental Policy Act” (Dir. 023-01 Rev. 01) and Instruction Manual 023-01-001-01 Rev. 01 (Instruction Manual) [38] establish the policies and procedures that DHS and its components use to comply with NEPA.
NEPA允许联邦机构在其NEPA实施程序中确立若干行动类别(“分类排除”),根据经验,这些类别单独或累积均不会对人类环境产生重大影响,因此不需要进行环境评估或环境影响报告。参见《美国法典》第42编第4336(a)(2)条、第4336e(1)条。《指令手册》附录A列出了国土安全部的分类排除事项。[39]
NEPA allows Federal agencies to establish, in their NEPA implementing procedures, categories of actions (“categorical exclusions”) that experience has shown do not, individually or cumulatively, have a significant effect on the human environment and, therefore, do not require an environmental assessment or environmental impact statement. See42 U.S.C. 4336(a)(2), 4336e(1). The Instruction Manual, Appendix A lists the DHS Categorical Exclusions.[39]
根据国土安全部NEPA实施程序,一项行动若要被归入分类排除,必须满足以下三项条件:(1)整个行动明显符合一项或多项分类排除;(2)该行动不是更大行动的一部分;以及(3)不存在可能产生重大环境影响的特殊情况。[40] 国土安全部拟删除第8 CFR 214.1(c)(5)条中关于对某些资格认定给予遵从的监管条款,以使该法规更好地与制定法保持一致,并更好地确保移民体系的完整性,包括美国工人的利益。对国土安全部现行法规的这一拟议修改纯属行政性质,该规则明显符合分类排除A3(a)。
Under DHS NEPA implementing procedures, for an action to be categorically excluded, it must satisfy each of the following three conditions: (1) the entire action clearly fits within one or more of the categorical exclusions; (2) the action is not a piece of a larger action; and (3) no extraordinary circumstances exist that create the potential for a significant environmental effect.[40] DHS is proposing to remove a regulatory provision at 8 CFR 214.1(c)(5) codifying deference to certain eligibility determinations to better align the regulation with the statute and better ensure the integrity of the immigration system, including the interests of U.S. workers. This proposed change to existing DHS regulations is strictly administrative in nature and the rule clearly fits within categorical exclusion A3(a).
因此,国土安全部认定,对现行法规的拟议修订明显符合国土安全部NEPA实施程序中确立的分类排除A3,属于不改变环境影响的行政性变更,不属于更大联邦行动的一部分,且不存在可能产生重大环境影响的特殊情况。参见《指令手册》023-01第V.B(2)(a)至(c)条。
Accordingly, DHS finds that the proposed amendments to current regulations clearly fits within categorical exclusion A3 established in DHS's NEPA implementing procedures as an administrative change with no change in environmental effect, is not part of a larger Federal action, and does not present extraordinary circumstances that create the potential for a significant environmental effect. See Instruction Manual 023-01 at V.B(2)(a)-(c).
H. 《文书削减法》
H. Paperwork Reduction Act
根据1995年《文书削减法》(PRA), 44 U.S.C. 3501-3512, 国土安全部(DHS)必须将规则中固有的任何报告要求提交给行政管理和预算局(OMB)进行审查和批准,除非这些要求被豁免。本拟议规则制定通知未根据《文书削减法》规定任何新的报告或记录保存要求。
Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501-3512, DHS must submit to the Office of Management and Budget (OMB) for review and approval, any reporting requirements inherent in a rule, unless they are exempt. This notice of proposed rulemaking does not impose any new reporting or recordkeeping requirements under the Paperwork Reduction Act.
但是,本拟议规则制定通知要求使用美国公民及移民服务局(USCIS)表格I-129,《非移民工人申请书》。该表格此前已根据《文书削减法》获得OMB批准。该信息收集的OMB控制号为1615-0009。
However, this notice of proposed rulemaking requires the use of USCIS Form I-129, Petition for a Nonimmigrant Worker. This form has previously been approved by OMB under the Paperwork Reduction Act. The OMB control number for this information collection is 1615-0009.
8 CFR第214部分主题列表
List of Subjects in 8 CFR Part 214
行政实践和程序
Administrative practice and procedure
外国人
Aliens
文化交流项目
Cultural exchange program
就业
Employment
外国官员
Foreign officials
卫生专业
Health professions
报告和记录保存要求
Reporting and recordkeeping requirements
学生
Students
因此,国土安全部提议对《联邦法规汇编》第8编第I章作如下修订:
Accordingly, DHS proposes to amend chapter I of title 8 of the Code of Federal Regulations as follows:
第214部分,非移民类别
PART 214—NONIMMIGRANT CLASSES
1. 第214部分的授权引用继续规定如下:
1. The authority citation for part 214 continues to read as follows:
授权依据: 6 U.S.C. 202, 236; 8 U.S.C. 1101, 1102, 1103, 1182, 1184, 1186a, 1187, 1188, 1221, 1281, 1282, 1301-1305, 1357和1372; 公法104-208第643条, 110 Stat. 3009-708; 公法106-386, 114 Stat. 1477-1480; 与密克罗尼西亚联邦和马绍尔群岛共和国以及与帕劳政府签订的《自由联合协定》第141条, 分别见48 U.S.C. 1901 note和1931 note; 48 U.S.C. 1806; 8 CFR第2部分; 公法115-218, 132 Stat. 1547 (48 U.S.C. 1806)。
Authority: 6 U.S.C. 202, 236; 8 U.S.C. 1101, 1102, 1103, 1182, 1184, 1186a, 1187, 1188, 1221, 1281, 1282, 1301-1305, 1357, and 1372; sec. 643, Pub. L. 104-208, 110 Stat. 3009-708; Pub. L. 106-386, 114 Stat. 1477-1480; section 141 of the Compacts of Free Association with the Federated States of Micronesia and the Republic of the Marshall Islands, and with the Government of Palau, 48 U.S.C. 1901 note and 1931 note, respectively; 48 U.S.C. 1806; 8 CFR part 2; Pub. L. 115-218, 132 Stat. 1547 (48 U.S.C. 1806).
2. 修订§214.1条, 具体如下:
2. Amend § 214.1 by:
a. 删除并保留第(c)(5)段。
a. Removing and reserving paragraph (c)(5).
修订内容如下:
The revision reads as follows:
§214.1条
§ 214.1
入境、延期及维持身份的要求。
Requirements for admission, extension, and maintenance of status.
* * * * *
* * * * *
(c) * * *
(c) * * *
(5) [保留]
(5) [Reserved]
* * * * *
* * * * *
马克韦恩·马林(Markwayne Mullin),
Markwayne Mullin,
美国国土安全部部长。
Secretary, U.S. Department of Homeland Security.
脚注
Footnotes
1. 对于大多数使用I-129表格的非移民类别, 提交人被称为“申请人(petitioner)”。但是, 对于某些类别(例如E类和TN类), 提交人被称为“申请者(applicant)”。为简化起见, 本序言中提及的“petitioner”也包括“applicant”, 提及的“petition”也包括“application”。
1. For most nonimmigrant classifications that use Form I-129, the filer is referred to as the “petitioner.” However, for some classifications (for example, the E and TN classifications), the filer is referred to as the “applicant.” For simplicity, references in this preamble to a “petitioner” also include an “applicant,” and references to a “petition” also include an “application.”
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2. 参见, 例如, 白宫, “特朗普总统正在为美国工人谋福祉”(2025年9月1日), https://www.whitehouse.gov/​articles/​2025/​09/​president-trump-is-delivering-for-american-workers/​; 白宫, “特朗普效应: 美国工人薪资更高”(2025年6月6日), https://www.whitehouse.gov/​articles/​2025/​06/​trump-effect-higher-pay-for-american-workers/​; 白宫, “特朗普政府庆祝美国工人取得的成就”(2025年8月26日), https://www.whitehouse.gov/​articles/​2025/​08/​trump-administration-celebrates-successes-for-americas-workers/​; 白宫, “美国优先贸易政策”(2025年1月20日), https://www.whitehouse.gov/​presidential-actions/​2025/​01/​america-first-trade-policy; 白宫, “关于美国优先贸易政策的总统报告: 执行摘要”(2025年4月3日), https://www.whitehouse.gov/​fact-sheets/​2025/​04/​report-to-the-president-on-the-america-first-trade-policy-executive-summary。
2. See, e.g., The White House, “President Trump Is Delivering for American Workers” (Sept. 1, 2025), https://www.whitehouse.gov/​articles/​2025/​09/​president-trump-is-delivering-for-american-workers/​; The White House, “The Trump Effect: Higher Pay for American Workers” (June 6, 2025), https://www.whitehouse.gov/​articles/​2025/​06/​trump-effect-higher-pay-for-american-workers/​; The White House, “Trump Administration Celebrates Successes for America's Workers” (Aug. 26, 2025), https://www.whitehouse.gov/​articles/​2025/​08/​trump-administration-celebrates-successes-for-americas-workers/​; The White House, “America First Trade Policy” (Jan. 20, 2025), https://www.whitehouse.gov/​presidential-actions/​2025/​01/​america-first-trade-policy; The White House, “Report to the President on the America First Trade Policy: Executive Summary” (Apr. 3, 2025), https://www.whitehouse.gov/​fact-sheets/​2025/​04/​report-to-the-president-on-the-america-first-trade-policy-executive-summary.
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3. 尽管本拟议规则制定通知(NPRM)中讨论的《移民与国籍法》(INA)若干条款仅提及“司法部长(Attorney General)”, 但根据《国土安全法》(HSA)的规定, 此类条款现应理解为指国土安全部部长。参见6 U.S.C. 202(3), 251, 271(b), 542 note, 557; 8 U.S.C. 1103(a)(1), (g), 1551 note; Nielsen诉Preap案, 586 U.S. 392, 397 n.2 (2019)。
3. Although several provisions of the INA discussed in this NPRM refer exclusively to the “Attorney General,” such provisions are now to be read as referring to the Secretary of Homeland Security by operation of the HSA. See 6 U.S.C. 202(3), 251, 271(b), 542 note, 557; 8 U.S.C. 1103(a)(1), (g), 1551 note; Nielsen v. Preap, 586 U.S. 392, 397 n.2 (2019).
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4. 《国土安全法》第102(e)条, 6 U.S.C. 112(e)规定: “部长颁布法规应受第5编第5章规定管辖, 本章另有具体规定、本章转移的授予监管权力的法律中另有规定, 以及2002年11月25日后颁布的法律中另有规定的除外。”
4. Section 102(e) of the HSA, 6 U.S.C. 112(e), provides that “the issuance of regulations by the Secretary shall be governed by the provisions of chapter 5 of title 5, except as specifically provided in this chapter, in laws granting regulatory authorities that are transferred by this chapter, and in laws enacted after November 25, 2002.”
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5. 提交人必须提交I-129表格, 为E-1、E-2、E-3、H-1B、H-1B1、H-2A、H-2B、H-3、L-1、O-1、O-2、P-1、P-2、P-3、P-1S、P-2S、P-3S、Q-1、R-1或TN类非移民工人申请延长停留期限。对于此类工人的受抚养人, 延长停留期限的申请可以通过I-539表格《非移民身份延期/变更申请书》提交。
5. The petitioner must file Form I-129 to request an extension of stay for E-1, E-2, E-3, H-1B, H-1B1, H-2A, H-2B, H-3, L-1, O-1, O-2, P-1, P-2, P-3, P-1S, P-2S, P-3S, Q-1, R-1, or TN nonimmigrant workers. For dependents of such workers, extension of stay requests may be filed on Form I-539, Application to Extend/Change Nonimmigrant Status.
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6. 美国公民及移民服务局(USCIS)《政策手册》第2卷A部分第4章“延长停留期限、变更身份及延长申请有效期”,https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4(最后访问日期:2026年7月13日)(“证明符合移民福利资格的举证责任始终完全由福利申请人承担。该举证责任绝不会转移给USCIS。”)。
6. USCIS Policy Manual, Volume 2, Part A, Chapter 4 “Extension of Stay, Change of Status, and Extension of Petition Validity, https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4 (last visited July 13, 2026) (“The burden of proof to establish eligibility for an immigration benefit always falls solely on the benefit requestor. The burden of proof never shifts to USCIS.”).
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7. 通常情况下,关于延长申请有效期的决定由USCIS在审理I-129表格时作出;但是,在某些情形下,美国海关及边境保护局(CBP)和美国国务院也可以就延长申请有效期的资格作出决定。
7. Typically, determinations on extensions of petition validity are made by USCIS when adjudicating the Form I-129; however, in certain circumstances, U.S. Customs and Border Protection and U.S. Department of State may also make a determination on eligibility for an extension of petition validity.
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8. 另见Matter of Chawathe, 25 I&N Dec. 369 (AAO 2010);Matter of Skirball Cultural Center, 25 I&N Dec. 799 (AAO 2012);Matter of Simieo Solutions, LLC, 26 I. & N. Dec. 542 (AAO 2015);Love Korean Church v. Chertoff, 549 F.3d 749 (9th Cir. 2008);Shanti, Inc. v. Reno, 36 F.Supp.2d 1151 (D. Minn. 1999);Mo v. USCIS, 719 F.Supp.3d 21 (D.D.C. 2024);Borushevskyi v. USCIS, 664 F.Supp.3d 117 (D.D.C. 2023);Web Saigon US LLC v. USCIS, 541 F.Supp.3d 1160 (D. Ore. 2021);Battineni v. Mayorkas, 752 F.Supp.3d 195 (D.D.C. 2024);Krasniqi v. Dibbins, 558 F.Supp.3d 168 (D. N.J. 2021);8 CFR 103.2(b)(1)(“申请人或请愿人必须证明其在提交福利申请时符合所申请福利的资格,并且在审理过程中必须持续符合该资格。”)。
8. See also Matter of Chawathe, 25 I&N Dec. 369 (AAO 2010); Matter of Skirball Cultural Center, 25 I&N Dec. 799 (AAO 2012); Matter of Simieo Solutions, LLC, 26 I. & N. Dec. 542 (AAO 2015); Love Korean Church v. Chertoff, 549 F.3d 749 (9th Cir. 2008); Shanti, Inc. v. Reno, 36 F.Supp.2d 1151 (D. Minn. 1999); Mo v. USCIS, 719 F.Supp.3d 21 (D.D.C. 2024); Borushevskyi v. USCIS, 664 F.Supp.3d 117 (D.D.C. 2023); Web Saigon US LLC v. USCIS, 541 F.Supp.3d 1160 (D. Ore. 2021); Battineni v. Mayorkas, 752 F.Supp.3d 195 (D.D.C. 2024); Krasniqi v. Dibbins, 558 F.Supp.3d 168 (D. N.J. 2021); 8 CFR 103.2(b)(1) (“An applicant or petitioner must establish that he or she is eligible for the requested benefit at the time of filing the benefit request and must continue to be eligible through adjudication.”).
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9. 美国公民及移民服务局(USCIS)《政策手册》第2卷A部分第4章“延长停留期限、变更身份及延长申请有效期”,https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4(最后访问日期:2026年7月13日);Matter of Church Scientology Intl, 19 I&N Dec. 593, 597 (Commissioner 1988)。
9. USCIS Policy Manual, Volume 2, Part A, Chapter 4 “Extension of Stay, Change of Status, and Extension of Petition Validity, https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4 (last visited July 13, 2026); Matter of Church Scientology Intl, 19 I&N Dec. 593, 597 (Commissioner 1988).
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10. 8 CFR 103.2(b)(1)(“申请人或请愿人必须证明其在提交福利申请时符合所申请福利的资格,并且在审理过程中必须持续符合该资格。”);美国公民及移民服务局(USCIS)《政策手册》第2卷A部分第4章“延长停留期限、变更身份及延长申请有效期”,https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4(最后访问日期:2026年7月13日)。
10. 8 CFR 103.2(b)(1) (“An applicant or petitioner must establish that he or she is eligible for the requested benefit at the time of filing the benefit request and must continue to be eligible through adjudication.”); USCIS Policy Manual, Volume 2, Part A, Chapter 4, “Extension of Stay, Change of Status, and Extension of Petition Validity,” https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4 (last visited July 13, 2026).
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11. 如果本拟议规则成为最终规则,USCIS将对现行的服从性(deference)政策指引作出相应修改。见美国公民及移民服务局(USCIS)《政策手册》第2卷A部分第4章“延长停留期限、变更身份及延长申请有效期”,https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4(最后访问日期:2026年7月13日)。
11. If this proposed rule becomes final, USCIS would make corresponding changes to the current policy guidance on deference. See USCIS Policy Manual, Volume 2, Part A, Chapter 4 “Extension of Stay, Change of Status, and Extension of Petition Validity,” https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4 (last visited July 13, 2026).
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12. 事实上,美国国土安全部(DHS)在《现代化最终规则》的序言中也曾说明,根据服从性法规,USCIS官员在偏离涉及相同当事方及相同基础事实的先前批准决定之前,必须“进行严格审查”。89 FR 103094。USCIS的实施指引还对认定不适宜服从先前决定的审理官员施加了若干要求,包括确认先前的批准、阐明不服从该先前决定的理由、在偏离先前批准之前获得主管的批准,以及给予请愿人回应的机会。见美国公民及移民服务局(USCIS)《政策手册》第2卷A部分第4章“延长停留期限、变更身份及延长申请有效期”,https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4(最后访问日期:2026年7月13日)。这进一步表明,该服从性政策在实际效果上(即便并非本意)通过将举证责任转移给审理官员以证明偏离先前批准的合理性,从而减轻了请愿人的举证责任。这也向官员传达了一种信号,即在审理先前已获批准的延期申请时,不够全面的审查是可以接受的。
12. Indeed, DHS also explained in the preamble of the Modernization Final Rule that under the deference regulation, USCIS officers must give “close scrutiny before deviating from a prior approval involving the same parties and same underlying facts.” 89 FR 103094. USCIS implementing guidance also imposes several requirements on adjudicating officers who determine that deference is not appropriate, including acknowledging the previous approval, articulating the reasons for not deferring to that prior determination, obtaining supervisory approval before deviating from the prior approval, and giving the petitioner an opportunity to respond. See USCIS Policy Manual, Volume 2, Part A, Chapter 4, “Extension of Stay, Change of Status, and Extension of Petition Validity,” https://www.uscis.gov/​policy-manual/​volume-2-part-a-chapter-4 (last visited July 13, 2026). This further illustrates that the deference policy has the practical effect (if not the intent) of relaxing the petitioner's burden of proof by shifting the burden to the adjudicating officer to justify deviating from a prior approval. It also signals to officers that a less than thorough review is appropriate when adjudicating extension requests following a prior approval.
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13. 美国国土安全部(DHS)的数据还显示,在遵从政策生效期间与未生效期间,历史拒绝率之间并无统计学意义上的差异。造成这一现象的一个可能原因是,即使在遵从政策不适用的情况下,申请人仍可能通过提交补充证据或信息来克服补充证据请求(RFE)或意图拒绝通知(NOID)中提出的问题。然而,美国国土安全部认为,遵从政策对审案官员事实认定权限的影响,最能体现于补充证据请求(RFE)的发出比例,而非批准率或拒绝率。审案官员最终作出的裁决结果并不能反映其在审查过程中事实认定权限受限的程度。相反,遵从政策适用期间与不适用期间补充证据请求(RFE)发出比例的变化,有力地表明遵从政策确实产生了抑制部分官员提出补充证据请求的效果。即便审案官员认定申请人尚未证明其资格,若相关政策抑制官员发出补充证据请求,此类政策便会损害合法移民体系的完整性,并且无论最终裁决结果如何,均与增强官员事实认定权限的目标相悖。
13. DHS data also show that historical denial rates did not statistically differ during periods when the deference policy was in effect compared to when it was not in effect. One possible reason for this is that even when deference did not apply, petitioners may have been able to overcome issues raised in an RFE or NOID by submitting additional evidence or information. DHS believes, however, that the impact of the deference policy on officers' fact-finding authority is best reflected in RFE rates rather than approval or denial rates. The ultimate adjudicative decision reached by the officer is not reflective of the extent to which an officer's fact-finding authority may have been restricted during the adjudicative review process. Rather, the variations in RFE rates during periods when deference applied versus the RFE rate when deference did not apply strongly suggests that deference has had the effect of discouraging some officers from requesting additional evidence. Policies that discourage officers from issuing RFEs, even when the officer determines that the petitioner has not yet established eligibility, undermine the integrity of the lawful immigration system and are inconsistent with enhancing an officer's fact-finding authority, regardless of the ultimate adjudicative decision.
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14. 美国公民及移民服务局(USCIS),《关于H-1B和L-1A项目中欺诈与不合规情况的可公开数据》(2026年6月6日)。该数据仅代表针对H-1B和L-1A延期申请所进行的行政性及定向实地访查。
14. USCIS, Releasable Data Regarding Fraud and Noncompliance in the H-1B and L-1A Programs (Jun. 6, 2026). This data represents administrative and targeted site visits conducted exclusively on H-1B and L-1A extension petitions.
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15. 美国公民及移民服务局将2021财年数据排除在该子集之外,原因是遵从政策于2021财年中途(即2021年4月)恢复实施,在该财年中生效时间不足半年。
15. USCIS excluded FY 2021 data from this subset because the deference policy was reinstated partway through FY 2021 (in April 2021) and was not in effect for more than half of that fiscal year.
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16. 美国公民及移民服务局将2021财年数据排除在该子集之外,原因是遵从政策于2021财年中途(即2021年4月)恢复实施,在该财年中生效时间不足半年。
16. USCIS excluded FY 2021 data from this subset because the deference policy was reinstated partway through FY 2021 (in April 2021) and was not in effect for more than half of that fiscal year.
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17. 参见联邦通信委员会诉福克斯电视台案(FCC v. Fox Television Stations, Inc.),556 U.S. 502, 515 (2009)(“只要新政策在制定法下是允许的,有充分的理由支持该政策,且机构确信其更为优越(这种明确的方向转变已充分表明这一点),即为已足。”)。
17. See FCC v. Fox Television Stations, Inc., 556 U.S. 502, 515 (2009) (“[I]t suffices that the new policy is permissible under the statute, that there are good reasons for it, and that the agency believes it to be better, which the conscious change of course adequately indicates.”).
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18. 尽管2013年10月1日至2017年10月11日这一期间与2021年4月28日至今这一期间均实行遵从政策,但本分析未纳入2021年4月28日至今这一期间,原因在于本分析的目的是评估2017年取消遵从政策的影响,而非其后恢复遵从政策的政策所产生的影响。
18. Although both periods (October 1, 2013 to October 11, 2017) and (April 28, 2021 to the present) operated under a deference policy, this analysis did not include period, April 28, 2021 to the present, because the objective is to estimate the impact of the 2017 policy that removed deference, not the impact of the subsequent policy that reinstated deference.
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19. 参见哥伦比亚大学梅尔曼公共卫生学院(Columbia University, Mailman School of Public Health),《双重差分估计法》(Difference-in-Difference Estimation),https://www.publichealth.columbia.edu/​research/​population-health-methods/​difference-difference-estimation。双重差分法(DID)是一种准实验研究设计,利用处理组和对照组的纵向数据来获得适当的反事实情形,以估计因果效应。DID通常用于通过比较参与某项目的群体(处理组)与未参与该项目的群体(对照组)在一段时间内结果变化的差异,来估计某项具体干预或处理措施(如法律的通过、政策的颁布或大规模项目的实施)所产生的效果。
19. See Columbia University, Mailman School of Public Health, Difference-in-Difference Estimation, https://www.publichealth.columbia.edu/​research/​population-health-methods/​difference-difference-estimation. Difference-in-difference (DID) is a quasi-experimental research design that makes use of longitudinal data from treatment and control groups to obtain an appropriate counterfactual to estimate a causal effect. DID is typically used to estimate the effect of a specific intervention or treatment (such as a passage of law, enactment of policy, or large-scale program implementation) by comparing the changes in outcomes over time between a population that is enrolled in a program (the intervention group) and a population that is not (the control group).
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20. 计算方式:4.5%−1.6%=2.9%。
20. Calculation: 4.5 percent−1.6 percent = 2.9 percent.
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21. 美国公民及移民服务局数据分析办公室(USCIS CDAO),CLAIMS3及ELIS系统,PAER编号#21508,查询时间为2026年5月,美国公民及移民服务局分析。
21. USCIS CDAO, CLAIMS3 & ELIS, PAER #21508, queried May 2026, USCIS Analysis.
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22. 计算方式:6,044 = 208,429 × 2.9%。
22. Calculation: 6,044 = 208,429 × 2.9 percent.
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23. 美国国土安全部将其分析限定于人力资源专员、企业内部律师及外聘律师,以此估算相关成本。但美国国土安全部理解并非所有实体均雇用担任上述职位的人员,因此认可可能由具有同等职能的人员负责编制和提交此类登记。
23. DHS limited its analysis to HR specialists, in-house attorneys, and outsourced attorneys to present estimated costs. However, DHS understands that not all entities employ individuals with these occupations and, therefore, recognizes equivalent occupations may also prepare and submit these registrations.
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24. 资料来源:美国公民及移民服务局数据分析办公室(USCIS CDAO),CLAIMS3及ELIS系统,PAER编号#21508,查询时间为2026年5月。
24. Source: USCIS CDAO, CLAIMS3 & ELIS, PAER #21508, queried May 2026.
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25. 《H-1B要求现代化、为F-1项目提供灵活性及影响其他非移民工作者的项目改进》(Modernizing H-1B Requirements, Providing Flexibility in the F-1 Program, and Program Improvements Affecting Other Nonimmigrant Workers),89 FR 103054, 103177(2024年12月18日)(最终规则)。
25. Modernizing H-1B Requirements, Providing Flexibility in the F-1 Program, and Program Improvements Affecting Other Nonimmigrant Workers,89 FR 103054, 103177 (Dec. 18, 2024) (final rule).
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26. 计算方式:133,987美元(答复补充证据请求的预估年度成本)÷6,044(补充证据请求预估增加数量)=22.17美元(每份补充证据请求的平均成本)。
26. Calculation: $133,987 estimated annual cost to respond to RFEs/6,044 estimated increase in RFEs = $22.17 average cost per RFE.
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27. 来源:美国公民及移民服务局(USCIS)首席数据官办公室(CDAO)、CLAIMS3与ELIS系统,绩效分析电子报告(PAER)第21508号,查询时间为2026年5月。处理时间以申请接收日期与初步决定作出日期之间的天数来衡量。从2022财年至2025财年,中位处理时间的平均值为:有补充证据请求(RFE)的申请为76天,无补充证据请求的申请为12天,相差64天。
27. Source: USCIS CDAO, CLAIMS3 & ELIS, PAER #21508, queried May 2026. Processing time is measured as the number of days between the petition receipt date and the date the initial decision is made. From FY 2022 to FY 2025, the average of the median processing times was 76 days for petitions with an RFE and 12 days for petitions without an RFE, a difference of 64 days.
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28. 为评估这一潜在影响,国土安全部(DHS)审查了以G-28表格提交的申请所占比例,该表格表明有律师或经认可代表参与。无论是符合既往认定延续资格的申请(处理组)还是不符合该资格的申请(对照组),G-28使用比例在从既往认定延续政策仍然有效的政策实施前期间过渡到该政策不再有效的政策实施期间时均有所上升。然而,处理组申请的上升幅度小于对照组申请,由此得出的双重差分估计值接近零个百分点。这表明,尽管申请中G-28的总体使用率有所上升,但受取消既往认定延续政策影响的群体其上升幅度并未更大。因此,国土安全部没有证据表明取消既往认定延续会导致申请人对律师的依赖出现有意义的增加,超出本分析中已考虑的成本。
28. To assess this potential impact, DHS examined the share of petitions that were filed with a Form G-28, which indicates attorney or accredited representative involvement. The share increased for both deference-eligible petitions, the treated group, and deference non-eligible petitions, the control group, from the pre-policy period, when deference was in effect, to the policy period, when deference was not in effect. However, the increase was smaller for treated petitions than for control petitions, resulting in a difference-in-differences estimate of close to zero percentage points. This suggests that, although G-28 usage among petitions increased overall, the increase was not greater for the group affected by the no-deference policy. Therefore, DHS does not have evidence that removing deference would cause a meaningful increase in petitioners' reliance on attorneys beyond the costs already considered in the analysis.
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29. 见《移民与国籍法》(INA)第286(m)条,8 U.S.C. 1356(m)。
29. See INA sec. 286(m), 8 U.S.C. 1356(m).
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30. 小型企业是指任何独立拥有和经营、在其所属领域不占主导地位,并符合《小企业法》(15 U.S.C. 632)规定的小型企业标准的企业。
30. A small business is defined as any independently owned and operated business not dominant in its field that qualifies as a small business per the Small Business Act, 15 U.S.C. 632.
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31. 见美国小企业管理局(SBA),《政府机构指南:如何遵守〈监管灵活性法〉》,第22页(2017年8月),https://advocacy.sba.gov/​wp-content/​uploads/​2019/​06/​How-to-Comply-with-the-RFA.pdf。在Aeronautical Repair Station Association, Inc. 诉 FAA一案中,哥伦比亚特区巡回上诉法院明确指出,除非某项法规'直接对'某实体'施加责任',否则该实体不属于'受该法规约束'。494 F.3d 161, 177 (D.C. Cir. 2007);另见Mid-Tex Elec. Coop., Inc. 诉 FERC, 773 F.2d 327, 342 (D.C. Cir. 1985)(认定《监管灵活性法》的要求仅适用于受被诉规则'直接监管的小型实体')。
31. See U.S. Small Business Administration (SBA), “A Guide for Government Agencies: How to Comply with the Regulatory Flexibility Act.” at 22 (Aug. 2017), https://advocacy.sba.gov/​wp-content/​uploads/​2019/​06/​How-to-Comply-with-the-RFA.pdf. In Aeronautical Repair Station Association, Inc. v. FAA, the D.C. Circuit made clear that an entity is not “subject to” a regulation unless the regulation “imposes responsibilities directly on” the entity. 494 F.3d 161, 177 (D.C. Cir. 2007); see also Mid-Tex Elec. Coop., Inc. v. FERC, 773 F.2d 327, 342 (D.C. Cir. 1985) (holding that the RFA's requirements apply only to “small entities that would be directly regulated” by a challenged rule).
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32. 美国公民及移民服务局首席数据官办公室,CLAIMS3与ELIS系统,查询时间为2026年4月,追踪编号#21030。
32. USCIS CDAO, CLAIMS3 and ELIS, queried 4/2026, TRK #21030.
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33. 美国小企业管理局,《规模标准表》(2023年3月17日),https://www.sba.gov/​document/​support-table-size-standards。
33. SBA, “Table of Size Standards” (Mar. 17, 2023), https://www.sba.gov/​document/​support-table-size-standards.
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34. 美国公民及移民服务局首席数据官办公室,CLAIMS3与ELIS系统,查询时间为2026年4月,追踪编号#21030。
34. USCIS CDAO, CLAIMS3 and ELIS, queried 4/2026, TRK #21030.
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35. 见2 U.S.C. 1532(a)。
35. See 2 U.S.C. 1532(a).
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36. 见美国劳工部(DOL)劳工统计局(BLS),《城市工薪与文职人员消费者价格指数(CPI-U)历史数据:美国全市平均,所有项目,按月》(最后访问日期为2026年7月29日)。通货膨胀计算方法:(1)计算基准年(1995年)和当前年(2025年)的月平均CPI-U;(2)用当前年CPI-U减去基准年CPI-U;(3)将基准年CPI-U与当前年CPI-U之差除以基准年CPI-U;(4)乘以100 = [(2025年月平均CPI-U减去1995年月平均CPI-U)除以1995年月平均CPI-U] × 100 = [(321.943 − 152.383) ÷ 152.383] = (169.560 ÷ 152.383) = 1.113 × 100 = 111.3% = 111%(四舍五入)。通货膨胀调整后数值计算:1995年美元计1亿美元 × 2.11 = 2025年美元计2.11亿美元。
36. See DOL, BLS, “Historical Consumer Price Index for All Urban Consumers (CPI-U): U.S. city average, all items, by month,” (last visited July 29, 2026). Calculation of inflation: (1) Calculate the average monthly CPI-U for the reference year (1995) and the current year (2025); (2) Subtract reference year CPI-U from current year CPI-U; (3) Divide the difference of the reference year CPI-U and current year CPI-U by the reference year CPI-U; (4) Multiply by 100 = [(Average monthly CPI-U for 2025 − Average monthly CPI-U for 1995) ÷ (Average monthly CPI-U for 1995)] × 100 = [(321.943 − 152.383) ÷ 152.383] = (169.560 ÷ 152.383) = 1.113 × 100 = 111.3 percent = 111 percent (rounded). Calculation of inflation-adjusted value: $100 million in 1995 dollars × 2.11= $211 million in 2025 dollars.
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37. '联邦强制令'一词是指联邦政府间强制令或联邦私营部门强制令。见2 U.S.C. 1502(1)、658(6)。
37. The term “Federal mandate” means a Federal intergovernmental mandate or a Federal private sector mandate. See 2 U.S.C. 1502(1), 658(6).
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38. 《操作手册》载有国土安全部实施《国家环境政策法》(NEPA)的程序,发布于2014年11月6日,可在以下网址查阅:https://www.dhs.gov/​ocrso/​eed/​epb/​nepa(最后更新日期为2025年4月14日)。
38. The Instruction Manual, which contains DHS's procedures for implementing NEPA, was issued on November 6, 2014, and is available at https://www.dhs.gov/​ocrso/​eed/​epb/​nepa (last updated Apr. 14, 2025).
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39. 见附录A,表1。
39. See Appendix A, Table 1.
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40. 《操作手册》023-01号,第V.B(2)(a)-(c)节。
40. Instruction Manual 023-01 at V.B(2)(a)-(c).
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[联邦公报文件编号2026-20941,存档日期:26年10月13日;存档时间:上午8时45分]
[FR Doc. 2026-20941 Filed 10-13-26; 8:45 am]
账单代码 9111-97-P
BILLING CODE 9111-97-P
原文标题: Removing Deference to Prior USCIS Determinations of Eligibility
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