USCIS临时最终规则允许强制要求电子申请(e-Filing)
发布日期 2026年8月11日生效日期 2026年8月11日
美国国土安全部(DHS)发布了一项自2026年8月11日起生效的临时最终规则,允许USCIS对已可电子申请满180天的特定移民福利申请表格强制要求电子提交。该规则还为无法电子申请者设立了豁免程序,并收取新的豁免申请费。公众可在2026年10月13日前提交意见。
要点
- 该规则已于2026年8月11日立即生效,但DHS仍接受公众意见至2026年10月13日。
- USCIS可对任何已提供电子申请功能满180天的表格,要求必须电子提交。
- 当USCIS决定对某表格强制实行电子申请时,将在其网站上发布通知,并给予60天的宽限期。
- 电子申请是指通过USCIS在线账户提交表格,可直接在线填写,也可上传已填写表格的PDF文件。
- 对于电子申请会造成重大困难的申请人,可通过新表格申请豁免,该申请需缴纳新费用,但在特定情况下可申请费用豁免。
- 该规则也是落实总统行政命令、推动联邦付款流程电子化的具体措施之一。
影响对象
影响所有向USCIS提交申请的人员,包括申请人、申请受益人、雇主及经认证的代理人。
建议行动
申请人应关注USCIS网站公告,了解哪些表格被纳入强制电子申请范围,如有需要应提前准备缴费豁免申请。
全文翻译
官方原文全文已于 2026-10-12 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/机构内部案卷编号
the agency docket number / agency internal file number
用于识别《联邦监管与放松监管行动统一议程》中所列每项监管行动的RIN编号
the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions
详情请参阅《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1、103和106部分
8 CFR Parts 1, 103, and 106
[CIS编号2853-26;DHS案卷编号USCIS-2026-0232]
[CIS No. 2853-26; DHS Docket No. USCIS-2026-0232]
RIN 1615-AD19
RIN 1615-AD19
(印刷页第51924页)
( printed page 51924)
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:
附征求意见请求的临时最终规则(IFR)。
Interim final rule (IFR) with request for comments.
摘要:
SUMMARY:
本临时最终规则(IFR)对美国国土安全部(DHS)的相关法规进行修订,规定如下内容:美国公民及移民服务局(USCIS)可要求对某些福利申请实行强制电子提交(电子申报);USCIS在要求以电子方式提交福利申请时将遵循的程序;以及对于无法进行电子提交的个人,如何申请豁免电子申报要求。本规则旨在加强数字化受理与处理能力,推动USCIS及申请人从以纸质为主的流程转向电子化流程,并进一步增强移民体系的完整性及美国的安全性。
This interim final rule (IFR) amends U.S. Department of Homeland Security (DHS) regulations to provide: USCIS may require mandatory electronic filing (e-filing) of certain benefit requests; the process USCIS will follow to require a benefit request to be e-filed; and how a waiver of the e-filing requirement for those individuals unable to file electronically may be requested. This rule is intended to increase digital intake and processing to move USCIS and requestors from a mostly paper process to an electronic process and further enhance the integrity of the immigration system and the security of the United States.
日期:
DATES:
本临时最终规则自2026年8月11日起生效。
This IFR is effective August 11, 2026.
意见须于2026年10月13日前收到。联邦电子档案管理系统将在当日东部时间午夜前接受意见。
Comments must be received on or before October 13, 2026. The electronic Federal Docket Management System will accept comments prior to midnight eastern time at the end of that day.
针对本临时最终规则中有关《文书工作削减法》部分的意见,须于2026年10月13日前提交。
Comments on the Paperwork Reduction Act section of this interim final rule must be submitted by October 13, 2026.
地址:
ADDRESSES:
您可通过联邦电子立法门户网站http://www.regulations.gov就本临时最终规则整体内容提交意见,相关文件以DHS案卷编号USCIS-2026-0232标识。上文所述本规则摘要亦可在https://www.regulations.gov 查阅。请按照网站说明提交意见。USCIS不接受以任何形式的数字媒体存储设备(如CD/DVD及USB驱动器)提交的意见。USCIS目前也不接受邮寄方式提交的意见。如您无法通过http://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司,以获取备用提交方式说明。
You may submit comments on the entirety of this interim final rule package, identified by DHS Docket No. USCIS-2026-0232, through the Federal eRulemaking Portal: http://www.regulations.gov. A summary of this rule found above may also be found at https://www.regulations.gov. Follow the website instructions for submitting comments. USCIS cannot accept comments contained on any form of digital media storage devices, such as CDs/DVDs and USB drives. USCIS also is not accepting mailed comments at this time. If you cannot submit your comment by using http://www.regulations.gov, please contact the Regulatory Coordination Division, Office of Policy and Strategy, U.S. Citizenship and Immigration Services, Department of Homeland Security, by telephone at (240) 721-3000 for alternate instructions.
详情联系人:
FOR FURTHER INFORMATION CONTACT:
美国国土安全部(DHS)美国公民及移民服务局(USCIS)管理理事会,地址:5900 Capital Gateway Drive, Camp Springs, MD 20746;电话(240) 721-3000(非免费电话)。听力或语言障碍人士可通过拨打联邦信息中继服务免费电话711,经由TTY接入上述电话号码。
Management Directorate, U.S. Citizenship and Immigration Services (USCIS), DHS, 5900 Capital Gateway Drive, Camp Springs, MD 20746; telephone (240) 721-3000 (this is not a toll-free number). Individuals with hearing or speech impairments may access the telephone number above via TTY by calling the toll-free Federal Information Relay Service at 711.
补充信息:
SUPPLEMENTARY INFORMATION:
目录
Table of Contents
一、公众参与
I. Public Participation
二、执行摘要
II. Executive Summary
A. 本监管行动的目的
A. Purpose of the Regulatory Action
B. 法律授权依据
B. Legal Authority
C. 本监管行动概述
C. Summary of the Regulatory Action
D. 成本与效益概述
D. Summary of Costs and Benefits
三、背景与目的
III. Background and Purpose
A. 改革的授权依据
A. Mandate for Reform
B. USCIS现行流程
B. Current USCIS Processes
C. 政府电子申报要求
C. Governmental Electronic Filing Requirements
D. 电子申报的益处
D. Benefits of e-Filing
四、本规则所作变更的讨论
IV. Discussion of Changes Made in This Rule
A. 电子申报的定义
A. Definition of e-File
B. 强制电子申报要求
B. Mandatory e-Filing Requirement
C. 电子申报要求的豁免
C. Waiver of e-Filing Requirement
D. 相关规则制定
D. Related Rulemaking
五、法定与监管要求
V. Statutory and Regulatory Requirements
A. 《行政程序法》(APA)
A. Administrative Procedure Act (APA)
B. 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)
B. Executive Order 12866 (Regulatory Planning and Review), Executive Order 13563 (Improving Regulation and Regulatory Review), and Executive Order 14192 (Unleashing Prosperity Through Deregulation)
C. 《监管灵活性法》(认定声明)
C. Regulatory Flexibility Act (Certification)
D. 1995年《无资金授权改革法》
D. Unfunded Mandates Reform Act of 1995
E. 1996年《小型企业监管执行公平法》(《国会审查法》)
E. Small Business Regulatory Enforcement Fairness Act of 1996 (Congressional Review Act)
F. 第13132号行政命令(联邦制)
F. Executive Order 13132 (Federalism)
G. 第12988号行政命令(民事司法改革)
G. Executive Order 12988 (Civil Justice Reform)
H. 家庭评估
H. Family Assessment
I. 第13175号行政命令(与印第安部落政府的协商与协调)
I. Executive Order 13175 (Consultation and Coordination With Indian Tribal Governments)
J. 《国家环境政策法》(NEPA)
J. National Environmental Policy Act (NEPA)
K. 《文书工作削减法》(PRA)
K. Paperwork Reduction Act (PRA)
缩略语表
Table of Abbreviations
ACH,自动清算所
ACH—Automated Clearing House
APA,行政程序法
APA—Administrative Procedure Act
BIA,移民上诉委员会
BIA—Board of Immigration Appeals
CBP, 美国海关与边境保护局
CBP—U.S. Customs and Border Protection
CFR, 联邦法规汇编
CFR—Code of Federal Regulations
DHS, 国土安全部
DHS—Department of Homeland Security
DOJ, 美国司法部
DOJ—Department of Justice
DOL, 美国劳工部
DOL—Department of Labor
DOS, 美国国务院
DOS—Department of State
ECAS, EOIR法院与上诉系统
ECAS—EOIR Courts and Appeals System
ELIS, 电子移民系统
ELIS—Electronic Immigration System
EOIR, 行政复议办公室
EOIR—Executive Office of Immigration Review
E.O., 行政命令
E.O.—Executive Order
FCC, 联邦通信委员会
FCC—Federal Communications Commission
FDNS, 欺诈侦测与国家安全局
FDNS—Fraud Detection and National Security Directorate
FERC, 联邦能源管理委员会
FERC—Federal Energy Regulatory Commission
FY, 财政年度
FY—Fiscal Year
GPEA, 政府文书消除法
GPEA—Government Paperwork Elimination Act
FOIA, 信息自由法
FOIA—Freedom of Information Act
ICE, 移民与海关执法局
ICE—Immigration and Customs Enforcement
IFR, 临时最终规则
IFR—Interim Final Rule
INA, 移民与国籍法
INA—Immigration and Nationality Act
INS, 移民归化局
INS—Immigration and Naturalization Service
LCA, 劳工状况申请书
LCA—Labor Condition Application
NEPA, 国家环境政策法
NEPA—National Environmental Policy Act
NFTS, 国家档案追踪系统
NFTS—National File Tracking System
NOID, 拟拒绝通知
NOID—Notice of Intent to Deny
OCR, 光学字符识别
OCR—Optical Character Recognition
OMB, 管理和预算办公室
OMB—Office of Management and Budget
PDF, 便携式文档格式
PDF—Portable Document Format
PDFi, 便携式文档格式接收系统
PDFi—Portable Document Format Intake
PRA, 文书削减法
PRA—Paperwork Reduction Act
RFE, 补充证据请求
RFE—Request for Evidence
SBREFA, 1996年小企业监管执行公平法
SBREFA—Small Business Regulatory Enforcement Fairness Act of 1996
部长, 国土安全部部长
Secretary—Secretary of Homeland Security
TPS, 临时保护身份
TPS—Temporary Protected Status
UMRA, 1995年无资金授权改革法
UMRA—Unfunded Mandates Reform Act of 1995
USAC, 普遍服务管理公司
USAC—Universal Service Administrative Company
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
VAWA, 《反对妇女暴力法》
VAWA—Violence Against Women Act
一、公众参与
I. Public Participation
美国国土安全部(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,就本临时最终规则的各个方面参与本次规则制定。国土安全部还欢迎就本临时最终规则可能产生的经济、环境或联邦制影响发表评论。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,应引用本临时最终规则的具体部分,说明建议修改的理由,并附上支持该建议修改的数据、信息或权威依据。以上述方式之外的方式提交的评论,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,将不被视为对本临时最终规则的评论,国土安全部可能不会予以回复。
The U.S. Department of Homeland Security (DHS) invites all interested parties to participate in this rulemaking by submitting written data, views, comments, and arguments on all aspects of this interim final rule. DHS also invites comments relating to the economic, environmental, or federalism effects possibly resulting from this interim final rule. Comments must be submitted in English, or an English translation must be provided. Comments providing the most assistance to U.S. Citizenship and Immigration Services (USCIS) in implementing these changes will reference a specific portion of the interim final 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 the one listed above, including emails or letters sent to DHS or USCIS officials, will not be considered comments on the interim final 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)以及本临时最终规则的国土安全部案卷编号USCIS-2026-0232。无论使用何种方式提交评论或材料,所有提交内容都将原样发布在联邦电子规则制定门户网站http://www.regulations.gov上,并将包括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。您可能需要考虑(印刷页51925)在向国土安全部提交的任何自愿公开评论中限制您所提供个人信息的数量。国土安全部可能会隐去其认定可能影响个人隐私或具有冒犯性的评论内容,使其不对公众公开。欲了解更多信息,请阅读http://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-2026-0232 for this interim final rule. Regardless of the method used for submitting comments or material, all submissions will be posted, without change, to the Federal eRulemaking Portal at http://www.regulations.gov, and will include any personal information you provide. Therefore, submitting this information makes it public. You may wish to consider ( printed page 51925) limiting the amount of personal information you provide in any voluntary public comment submission you make to DHS. DHS may withhold information provided in comments from public viewing it determines may impact the privacy of an individual or is offensive. For additional information, please read the Privacy and Security Notice available at http://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http://www.regulations.gov,并引用国土安全部案卷编号USCIS-2026-0232。您还可以在在线案卷中注册电子邮件提醒,以便在评论发布或发布其他规则制定文件时获得通知。
Docket: For access to the docket and to read background documents or comments received, go to http://www.regulations.gov, referencing DHS Docket No. USCIS-2026-0232. You may also sign up for email alerts on the online docket to be notified when comments are posted or additional rulemaking is published.
二、执行摘要
II. Executive Summary
A. 监管行动的目的
A. Purpose of the Regulatory Action
国土安全部(DHS)发布本规则,以实施第14247号行政命令《美利坚合众国银行账户收付款项现代化》(Modernizing Payments To and From America's Bank Account),该命令指示国土安全部部长采取适当行动,消除对美国财政部实体锁箱服务的需求,并加快要求通过电子方式接收包括规费在内的联邦收入的付款。90 FR 14001(2025年3月28日公布)。只要美国公民及移民服务局(USCIS)继续受理纸质申请,USCIS就必须依赖其目前从财政部获得的实体锁箱服务来受理和处理这些申请。本规则修订相关法规,规定USCIS在何种情况下可酌情要求以电子方式(电子申请)提交福利申请。此项变更将提高效率,促进移民制度的完整性,并减少因提交和保存纸质福利申请而造成的运营浪费。[1] 本规则还将加快USCIS向完全电子申请流程转型的进程,实现成本节约,并改善USCIS数据在高级分析方面的可用性,以减少欺诈、加强国家安全并维护合法移民制度的完整性,从而支持第14161号行政命令《保护美国免受外国恐怖分子及其他国家安全和公共安全威胁》的实施。90 FR 8451(2025年1月30日)。
DHS issues this rule to implement Executive Order (E.O.) 14247, Modernizing Payments To and From America's Bank Account, which directs the Secretary of Homeland Security to take appropriate action to eliminate the need for the U.S. Department of the Treasury's physical lockbox services and expedite requirements to receive the payment of Federal receipts, including fees, through electronic means. 90 FR 14001 (published Mar. 28, 2025). As long as USCIS intakes paper-based filings, USCIS must rely on physical lockbox services, which USCIS currently receives from Treasury, to intake and process these filings. This rule amends the regulations to provide when USCIS may use its discretion to require the use of electronic filing (e-filing) to submit a benefit request. This change will increase efficiency, promote the integrity of the immigration system, and reduce operational waste attributable to the submission and maintenance of paper benefit requests.[1] This rule will also speed up USCIS' transition to a fully electronic filing process, realize cost savings, and improve the availability of USCIS data for advanced analytics to reduce fraud, enhance national security, and protect the integrity of the lawful immigration system in support of E.O. 14161, Protecting the United States From Foreign Terrorists and Other National Security and Public Safety Threats. 90 FR 8451 (Jan. 30, 2025).
B. 法律授权
B. Legal Authority
国土安全部部长(部长)发布本临时最终规则(IFR)的授权依据为《移民与国籍法》(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,并制定部长认为执行该项授权所必需的法规;以及《国土安全法》(HSA)第101(b)(1)(F)条,6 U.S.C. 111(b)(1)(F),该条将下列职责确立为国土安全部的首要使命之一:“确保美国的整体经济安全不因旨在保障国土安全的各项努力、活动和计划而受到削弱。”就8 CFR 106.2中为申请豁免电子申请要求而设立的规费而言,INA第286(m)条,8 U.S.C. 1356(m)授权国土安全部收取裁决和入籍服务费用,以“确保收回提供所有此类服务的全部成本,包括向庇护申请人或其他移民免费提供类似服务的成本”。
The authority for the Secretary of Homeland Security (Secretary) to issue this IFR is found in section 103(a) of the Immigration and Nationality Act (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, and section 101(b)(1)(F) of the Homeland Security Act (HSA), 6 U.S.C. 111(b)(1)(F), which establishes as a primary mission of DHS the duty to “ensure that the overall economic security of the United States is not diminished by efforts, activities, and programs aimed at securing the homeland.” As related to the fee established in 8 CFR 106.2 for requests to waive the e-filing requirement, INA section 286(m), 8 U.S.C. 1356(m) authorizes DHS to charge fees for adjudication and naturalization services at a level to “ensure recovery of the full costs of providing all such services, including the costs of similar services provided without charge to asylum applicants or other immigrants.”
C. 监管行动摘要
C. Summary of the Regulatory Action
本规则修订国土安全部的法规,允许USCIS对任何已开放电子申请至少180天的福利申请要求以电子方式提交。[2] 当USCIS决定强制要求以电子方式提交某项符合条件的福利申请时,USCIS将在其网站上发布电子申请要求的通知,并额外提供60天的宽限期,供个人遵守该电子申请要求。电子申请要求一经强制实施,将要求个人使用网上账户向USCIS提交福利申请,方式为在线完整填写表格,或通过其网上账户上传已填写完成的表格的可移植文档格式(PDF)文件。本规则还为因电子申请而遭受过度困难的特定个人建立了寻求豁免电子申请要求的程序。
This rule amends DHS regulations to permit USCIS to require e-filing for any benefit request USCIS has made available for e-filing for at least 180 days.[2] When USCIS decides to mandate e-filing of an eligible benefit request, USCIS will publish notification of the e-filing requirement on its website and provide an additional 60-day grace period for individuals to comply with the e-filing requirement. The e-filing requirement, when mandated, will require individuals to use an online account to submit benefit requests to USCIS, either by completing the form entirely online or uploading a Portable Document Format (PDF) of the completed form through their online account. This rule also establishes a process for certain individuals for whom e-filing creates an undue hardship to seek a waiver of the e-filing requirement.
就本规则而言,国土安全部使用“申请人”一词指代因任何目的向USCIS提交任何福利申请的任何人。律师和经认可的代表均包含在“申请人”一词之内。
For purposes of this rule, DHS uses the term “requestor” to refer to anyone submitting any benefit request to USCIS for any purpose. Attorneys and accredited representatives are included in the term “requestor.”
在本规则中,国土安全部对以下条款进行修订:
In this rule, DHS is amending:
修订8 CFR 1.2,将“电子申请”的定义扩展为:以USCIS提供并批准的任何方式,以电子方式提交福利申请、佐证材料、文件、通知及通信,包括在线填写表格、通过网络门户或电子界面提交,或通过经批准的网上账户上传已填写完成的表格的PDF文件。
8 CFR 1.2 to define e-file to include submitting a benefit request, supporting evidence, documents, notices, and communication electronically in any manner made available and approved by USCIS, including by completing the form online, in a web portal, electronic interface, or by uploading a PDF of the completed form through an approved online account.
修订8 CFR 103.2(a)(1),新增(a)(1)(i)款,明确表格说明的效力。
8 CFR 103.2(a)(1) by adding a new paragraph (a)(1)(i) that clarifies the weight of form instructions.
修订8 CFR 103.2(a)(1),新增(ii)款,允许USCIS在某表格已开放电子申请至少180天后的任何时间要求以电子方式提交,并规定USCIS将在其网站上告知公众强制电子申请的要求。
8 CFR 103.2(a)(1) by adding subparagraph (ii) to permit USCIS to require e-filing any time after a form has been available for e-filing for at least 180 days and to specify USCIS will inform the public of mandatory e-filing requirements on its website.
修订8 CFR 103.2(a)(1),新增(iii)款,规定个人申请豁免电子申请要求时须遵循的程序。
8 CFR 103.2(a)(1) by adding subparagraph (iii) to establish the process an individual must use to seek a waiver of the e-filing requirement.
8 CFR 106.2,通过增加新的一款,为个人申请豁免电子申报要求设立新表格和新费用。
8 CFR 106.2 by adding a new paragraph to establish a new form and fee for an individual to apply for a waiver of the e-filing requirement.
8 CFR 106.3,通过增加新的一款,明确何种情形下申请豁免电子申报要求的申请人可获得费用豁免。
8 CFR 106.3 by adding a new paragraph to specify when a fee waiver may be available to a requestor applying for a waiver of the e-filing requirement.
D. 成本与效益概述
D. Summary of Costs and Benefits
在本规则为期十年的实施期间(2027财年至2036财年),美国国土安全部(DHS)估计申请人每年可节省成本约5.33亿美元。这些节省源于申请人不再提交纸质福利申请、无需重新提交被拒收的纸质表格,以及因纸质申请而产生的时间负担的减少。美国国土安全部还估计,申请人每年将因电子申报豁免表格而产生约1500万美元的新成本,包括完成该表格所需时间的机会成本、电子申报豁免表格费用以及邮寄费用。总体而言,预计本规则每年将为申请人带来约5.18亿美元的净成本节省。
For the 10-year implementation period of the rule (fiscal years (FYs) 2027 through 2036), DHS estimates annual cost savings to requestors will be about $533 million. These savings result from requestors no longer filing paper-based benefit requests, avoiding the need to re-file rejected paper forms, and reducing the time burden associated with paper filing. DHS also estimates requestors will incur about $15 million annually in new costs related to the e-filing waiver form, including the opportunity cost of the time needed to complete the form, e-filing waiver form fee, and mailing expenses. On net, the rule is expected to generate approximately $518 million in annual cost savings to requestors.
除上述成本影响外,本规则还将在政府与申请人之间产生年度转移支付。美国国土安全部估计,电子申报费用折扣每年将使政府向申请人转移约1.4亿美元。
In addition to these cost impacts, the rule generates annual transfers between the government and requestors. On an annual basis, DHS estimates an e-filing fee discount will transfer about $140 million from the government to requestors.
在2027财年至2036财年的实施期间内,美国国土安全部估计未贴现的净成本节省总额约为51.81亿美元,未贴现的转移支付总额约为14亿美元(由政府向申请人转移)。按3%的贴现率计算,十年期净成本节省约为44.2亿美元,净转移支付约为11.94亿美元。按7%的贴现率计算,十年期净成本节省约为36.39亿美元,净转移支付约为9.83亿美元。(第51926页)这些总额相当于在3%和7%两种贴现率下,年化净成本节省约为5.18亿美元,年化转移支付约为1.4亿美元。
Over the FY 2027-2036 implementation period, DHS estimates total undiscounted net cost savings of about $5,181 million and undiscounted transfers of about $1,400 million (from the government to requestors). When discounted at 3 percent, the 10-year net cost savings are approximately $4,420 million and net transfers are approximately $1,194 million. When discounted at 7 percent, the 10-year net cost savings are approximately $3,639 million and net transfers are approximately $983 million. These ( printed page 51926) totals are equivalent to annualized net cost savings of about $518 million and annualized transfers of about $140 million at both the 3-percent and 7 percent discount rates.
美国国土安全部预计,部分申请人在转向电子申报时可能会产生未量化的成本,这些成本未能完全体现在量化估算中。尽管电子申报预计平均而言会减少申报时间和其他负担,但个体结果将因申请人的具体情况、以往对纸质流程的投入以及对在线系统的熟悉程度而异。已建立纸质软件和工作流程的机构可能获得较小的时间节省,并需承担一次性转型成本,以学习新流程、更新程序、培训员工并修改工具。这些负担可能包括搜索和评估成本、转换成本和学习成本,其大小因申请人而异。此外,当前电子申报的限制以及对纸质材料包的偏好,尤其是在复杂案件中,可能增加申请人对风险的感知,并需要额外努力以建立对在线提交的信心。由于这些成本具有异质性且难以衡量,美国国土安全部未对其进行量化。
DHS anticipates that some filers may experience unquantifiable costs to switch to electronic filing that are not fully captured in the quantified estimates. Although e-filing is expected to reduce filing time and other burdens on average, individual outcomes will vary based on the filer's circumstances, prior investments in paper-based processes, and familiarity with online systems. Organizations with established paper-based software and workflows may see smaller time savings and incur one-time transition costs to learn the new process, update procedures, train staff, and modify tools. These burdens can include search and evaluation costs, transfer costs, and learning costs; their magnitude will differ across filers. In addition, current e-filing constraints and preferences for paper packages, particularly in complex cases, may increase perceived risk and require extra effort to build confidence in online submissions. Because these costs are heterogeneous and difficult to measure, DHS has not quantified them.
美国国土安全部预计,强制电子申报将为申请人和联邦政府带来可观的定性成本节省和运营效益。对申请人而言,电子申报可减少可预防的错误和裁决延误,从而降低因等待工作、旅行或变更身份而产生的时间和间接成本,并降低因纸质申请被拒收或不完整而丧失资格的风险。美国国土安全部认为,电子申报将通过使流程更快捷、更易用、更安全、更透明,从而带来非货币性收益。对美国公民及移民服务局(USCIS)而言,预计电子申报将显著简化运营流程,降低纸质处理的持续成本和风险,并提升整个移民体系的数据质量、协调性和安全性。尽管美国国土安全部将为维护这些系统并支持用户而产生一定的信息技术和运营费用,但相对于由此获得的长期效率和效益而言,这些成本是相对有限的。
DHS expects mandatory e-filing to generate substantial qualitative cost savings and operational benefits for both requestors and the Federal Government. For requestors, e-filing reduces preventable errors and adjudication delays, lowering the time and indirect costs of waiting to work, travel, or change status and reducing the risk of losing eligibility due to rejected or incomplete paper submissions. DHS believes e-filing will deliver non-monetary benefits by making the process faster, easier to use, more secure, and more transparent. For USCIS, e-filing is expected to significantly streamline operations, reduce the ongoing costs and risks of paper-based processing, and improve data quality, coordination, and security across the immigration system. While DHS will incur some information technology and operational expenses to maintain these systems and support users, these costs are modest relative to the long-term efficiencies and benefits gained.
III. 背景与目的
III. Background and Purpose
A. 改革的授权依据
A. Mandate for Reform
历史上,美国公民及移民服务局(USCIS)及其前身移民归化局(INS)所处理的福利申请完全依赖纸质方式进行。申请人通过邮寄或亲自递交纸质表格,并以邮寄或当面提交的方式提供佐证材料。美国公民及移民服务局将申请材料存放于一个实体档案中,称为外国人档案或A档案。[3]美国公民及移民服务局以纸质方式审查并裁决福利申请,并以实物方式邮寄、登记收讫并保存申请材料、证据、通知及其他文件。
Historically, benefit requests handled by USCIS and the former Immigration and Naturalization Service (INS) existed in a purely paper world. Requestors mailed or hand-delivered paper forms and submitted supporting evidence by mail or in person. USCIS stored requests in a physical file, known as an Alien File or A-File.[3] USCIS reviewed and adjudicated benefit requests on paper and physically mailed, receipted, and stored requests, evidence, notices, and other materials.
近年来,国会和行政部门都加大了在政府管理和服务提供中使用互联网和技术的力度。1998年,国会通过了《政府文书消除法》(GPEA),认识到技术和互联网在改善政府服务、提高效率方面的潜力,并鼓励利用技术实现这些效率。《美国公法》第105-277号,第十七章(1998年10月21日)。1999年12月17日的总统备忘录《电子政府》规定,到2003年10月,与联邦政府的交易应可在线提供以供在线办理服务。[4] 其他指导意见要求各机构在可行的情况下以电子方式维护、提交或披露信息,以取代纸质方式。[5] 《2002年国土安全法》第461条[6]要求国土安全部(DHS)研究在线申请,并建立一个系统供申请人在线跟踪其申请。[7] 此外,《2002年电子政府法》促进政府机构使用互联网和新兴技术。《美国公法》第107-347号,116 Stat. 2899(2002年12月17日)。[8]
More recently, both Congress and the Executive Branch have increased the use of internet and technology in government administration and delivery. In 1998, Congress passed the Government Paperwork Elimination Act (GPEA) recognizing the potential of technology and the internet to improve government services, increase efficiency, and encourage the use of technology to achieve these efficiencies. Public Law 105-277, title XVII (Oct. 21, 1998). The December 17, 1999, Presidential memorandum, “Electronic Government,” provides that, by October 2003, transactions with the Federal Government should be available online for online processing of services.[4] Other guidance called on agencies to provide electronic maintenance, submission, or disclosure of information when practicable as a substitute for paper.[5] Section 461 of the Homeland Security Act of 2002 [6] requires DHS to study online filing and establish a system for applicants to track their applications online.[7] In addition, the E-Government Act of 2002 promotes use of the internet and emerging technologies by government agencies. Public Law 107-347, 116 Stat. 2899 (Dec. 17, 2002).[8]
国土安全部已通过法规修订促成了部分电子化处理。参见联邦公报第68卷第23010页(2003年4月29日)(2003年规则);联邦公报第76卷第53764页(2011年8月29日)(“移民福利业务转型,第一阶段”,或称2011年规则)。2003年规则允许电子申请和电子签名,作为实施《政府文书消除法》的第一步。[9] 联邦公报第68卷第23010页(2003年4月29日)。[10] 2011年规则在若干法规中增加了关于电子流程的引用,以促进向电子环境的过渡。联邦公报第76卷第53764页,第53766页(2011年8月29日)。然而,迄今为止,国土安全部尚未发布专门针对全面转向电子申请流程的规则。[11]
DHS has facilitated some electronic processing through regulatory change. See68 FR 23010 (Apr. 29, 2003) (2003 rule); 76 FR 53764 (Aug. 29, 2011) (“Immigration Benefits Business Transformation, Increment I,” or 2011 rule). The 2003 rule permitted e-filing and electronic signatures as a first step toward implementing GPEA.[9] 68 FR 23010 (Apr. 29, 2003).[10] The 2011 rule added references to electronic processes in several regulations to facilitate the transition to an electronic environment. 76 FR 53764, 53766 (Aug. 29, 2011). However, to date, DHS has not published a rule focused on shifting to a fully e-filed process.[11]
为与《政府文书消除法》和《电子政府法》保持一致,第13781号行政命令《全面重组行政部门计划》指示管理与预算办公室(OMB)主任提出一项计划,以提高行政部门的效率、效能和问责制。联邦公报第82卷第13959页(2017年3月16日)。随后,OMB报告《在21世纪提供政府解决方案》指出了对纸质化流程的过时依赖,并将联邦机构业务流程向电子环境转型列为优先事项。[12] 该报告指出,联邦机构每年在纸质处理和纸质记录上花费数十亿美元,并强调了数据、问责制和透明度的重要性。[13] 报告将美国公民及移民服务局(USCIS)列为已在电子记录管理方面迈出关键步伐的机构之一。[14]
Consistent with GPEA and the E-Government Act, E.O. 13781, Comprehensive Plan for Reorganizing the Executive Branch, instructed the Director of the Office of Management and Budget (OMB) to propose a plan to improve the efficiency, effectiveness, and accountability of the Executive Branch. 82 FR 13959 (Mar. 16, 2017). The OMB Report, “Delivering Government Solutions in the 21st Century,” then recognized the outdated reliance on paper-based processes and prioritized the transition of Federal agencies' business processes to an electronic environment.[12] The report noted that Federal agencies spend billions of dollars on paper processing, and paper records and highlighted data, accountability, and transparency.[13] The report cites USCIS as an agency that has already taken critical steps toward electronic records management.[14]
此外,第14247号行政命令《美国银行账户收付款现代化》要求取消财政部的实体信箱服务,这一目标将通过强制电子申请得到推进。联邦公报第90卷第14001页(2025年3月28日)。同样,公民及移民服务局(CIS)监察员《2025年国会年度报告》(第51927页)也建议国土安全部发布要求电子申请的法规。[15]
In addition, E.O. 14247, Modernizing Payments To and From America's Bank Account, requires elimination of the Department of the Treasury's physical lockbox services, a goal that will be forwarded by mandatory e-filing. 90 FR 14001 (Mar. 28, 2025). Similarly, the Citizenship and Immigration Services (CIS) Ombudsman's 2025 Annual ( printed page 51927) Report to Congress recommended DHS issue a regulation requiring e-filing.[15]
因此,为推动《政府文书消除法》、《电子政府法》、第13781号行政命令和第14247号行政命令的目标,并减少申请人和国土安全部的成本和负担,国土安全部正在修订其法规,以赋予美国公民及移民服务局(USCIS)自由裁量权,在某一表格可供电子申请使用至少180天后,强制要求电子申请。
Therefore, to promote the objectives of GPEA, the E-Government Act, E.O. 13781, E.O. 14247, and reduce costs and burden on requestors and DHS, DHS is amending its regulations to provide USCIS discretion to mandate e-filing after a form has been available for e-filing at least 180 days.
B. 美国公民及移民服务局(USCIS)目前的流程
B. Current USCIS Processes
美国公民及移民服务局(USCIS)计划最终以电子方式接收和裁决所有移民福利申请。
USCIS plans to eventually receive and adjudicate all immigration benefit requests electronically.
电子化环境带来诸多优势:
The electronic environment brings many advantages:
电子数据使员工更容易快速获取信息,例如在审查案件和司法裁决时。
Electronic data is easier for employees to access quickly, such as when reviewing cases and judicial decisions.
美国公民及移民服务局(USCIS)能够更好地分配工作,并根据经验、技能和资质分派案件。
USCIS can better distribute work, and assign cases based on experience, skills, and qualifications.
决策能力得到增强,例如系统性地标记可能不符合资格的申请。
Decision-making is enhanced, such as systematically flagging potentially ineligible requests.
可获得更好的风险和欺诈数据分析,以支持评估和决策。
Better risk and fraud data analysis is available to inform assessments and decisions.
便于在面谈和决定之前进行持续审查[16]和更新的背景调查。
Facilitation of continuous vetting [16] and updated background checks are conducted prior to interviews and decisions.
减少人工操作,将重点放在富有成效的工作上。
Manual activity is reduced and focus is placed on productive activity.
电子福利案件管理系统使美国公民及移民服务局(USCIS)能够在一个集中系统中处理申请人信息,从而使其能够正确安排工作优先级,并在政府各部门之间共享信息,保持信息的一致性和准确性,以确保美国的国家安全。
An electronic benefits case management system allows USCIS to process applicant information in a centralized system that allows USCIS to properly prioritize work and share information across the Government, and maintain consistent and accurate information to ensure the national security of the United States.
1. 2019财年至2025财年电子申请成果
1. E-Filing Results FY2019-FY2025
2025财年,美国公民及移民服务局(USCIS)收到的申请中约有44%是通过电子申请方式提交的。表1和图1显示了各类表格电子申请使用率普遍呈上升趋势的情况。
In FY 2025, USCIS received approximately 44 percent of applications through an e-filing method. Table 1 and Figure 1 show a general trend of increasing adoption of e-filing across various forms.
(印刷版第51928页)
( printed page 51928)
表2显示了2025财年通过电子方式提交的申请数量。
Table 2 shows the volume of filings submitted electronically in FY 2025.
(印刷版第51929页)
( printed page 51929)
2. 锁箱(Lockbox)的使用
2. Use of Lockbox
美国公民及移民服务局(USCIS)于2001年首次开始使用锁箱设施,以加快收据的收集和存入。USCIS锁箱负责接收、拆封和分拣邮件,将福利申请按正确顺序排列,扫描文件,并收集申请数据。[17]锁箱对申请和费用交易的完整性和准确性进行核验,将款项存入美国财政部,发送收据通知,退回被拒收的申请,并将申请和付款数据传输给美国财政部和USCIS。[18]2007年,USCIS开始将所有福利申请转入锁箱环境处理,到2011年2月,85%的全部申请均通过锁箱提交。
USCIS first began to use a Lockbox facility in 2001 to accelerate the collection and deposit of receipts. USCIS Lockboxes receive, open, and sort mail, place the benefit requests into correct order, scan documents, and collect application data.[17] The Lockbox verifies application and fee transactions for completeness and accuracy; deposits payments to the U.S. Treasury; sends receipt notices, returns rejected applications; and transmits application and payment data to the U.S. Department of the Treasury and USCIS.[18] In 2007, USCIS began moving all benefit requests to a Lockbox environment and by February 2011, 85 percent of all applications came through the Lockbox.
当锁箱收到福利申请时,工作人员会拆封包裹,审核表格是否符合受理标准,存入款项,并将纸质档案转送至适当地点。锁箱负责判定每份福利申请是否符合受理要求,但不作出裁决性决定。如果某福利申请被拒收,锁箱会将整个申请包连同说明拒收原因的通知一并退回申请人。[19]在申请被拆封、整理并扫描,且相关信息已通过电子方式传输至相关案件管理系统后,锁箱可在USCIS确定已遵守美国国家档案与记录管理局规定并纳入USCIS记录政策手册的必要处置时间表及任何保留要求后,销毁原始申请及佐证材料。参见36 CFR 1236,D分部和E分部。电子记录存储于经批准的数字存储库中。如因遵守法院命令或诉讼保留要求等原因需要保留纸质申请,锁箱会将纸质档案运送至适当的办公室或存储设施。[20]对于诸如护照和外国政府签发的文件等“难以替换”的原件,USCIS也会将其退还申请人,或在需要时将实物文件转交裁决办公室。对于某些表格,USCIS以纸质形式将申请存放于实体档案中。大多数裁决工作是通过使用扫描文件的电子版本以及实体档案中所含的纸质文件以电子方式进行的。
When the Lockbox receives a benefit request, the package is opened, the form is reviewed for acceptance criteria, the payment is deposited, and the paper file is forwarded to the proper location. The Lockbox determines whether each benefit request meets the requirements to be accepted but it does not make adjudicative decisions. If a benefit request is rejected, the Lockbox returns the entire package to the requestor with a notice explaining the reasons for rejection.[19] After the application is opened, arranged, and scanned, and the information is transmitted electronically to relevant case management systems, the Lockbox may destroy the original application and supporting evidence after USCIS determines it has complied with the required disposition schedule and any retention requirements outlined by the National Archives and Records Administration, and incorporated into the USCIS Records Policy Manual. See36 CFR 1236, Subparts D and E. Electronic records are stored in an approved digital repository. If retention of the paper filing is necessary, for instance, to comply with a court order or litigation hold, the Lockbox ships the paper file to the appropriate office or storage facility.[20] USCIS also returns “hard to replace” originals, such as passports and documents issued by a foreign government, to the requestor or transmits the physical documents to the adjudicating office, when required. For certain forms, USCIS maintains the filing in paper form in a physical file. Most adjudication occurs electronically using electronic versions of scanned documents, as well as paper documents contained in physical files.
3. 纸质处理的负担
3. The Burden of Paper
近年来,纸质处理的负担有所增加,而USCIS对纸质流程的依赖降低了其应对新收集需求和支持性文件需求的能力,这不利于加强审查并确保官员掌握完整记录以判定申请人是否符合所寻求福利的资格(印刷版第51930页)。例如,USCIS必须修改其信息收集方式,以收集足够的数据来落实第14161号行政命令《保护美国免受外国恐怖分子及其他国家安全和公共安全威胁》。参见例如90 FR 11324(2025年3月5日)和90 FR 22750(2025年5月29日)。表3显示了USCIS锁箱在过去7个财年中处理页数的增长情况。
The burden of paper-based processing has increased in recent years, and USCIS' reliance on paper-based processes reduces its ability to adapt to new collections and supporting documentation to address the need for enhanced vetting and ensuring officers have a complete record to determine a requestor's eligibility for the benefit ( printed page 51930) sought. For example, USCIS must modify its information collections to collect sufficient data to implement E.O. 14161, Protecting the United States from Foreign Terrorists and Other National Security and Public Safety Threats. See, e.g.,90 FR 11324 (Mar. 5, 2025) and 90 FR 22750 (May 29, 2025). Table 3 shows the increased volume of pages processed by the USCIS Lockboxes in the last 7 fiscal years.
处理量的增加提高了处理这些申请所需的人力,也增加了USCIS接收纸质申请的成本。例如,在2025财年,USCIS为支持纸质流程支付了10,864,781美元的邮资费用。
The increased volume increases the labor required to process these filings and the costs to USCIS to receive paper-based filings. For instance, in FY 2025, USCIS spent $10,864,781 on postage costs to support the paper-based process.
此外,表4说明了USCIS管理和推进纸质申请流程所产生的人力成本。
In addition, Table 4 illustrates the labor costs USCIS incurs to manage and facilitate a paper-based filing process.
(印刷版第51931页)
( printed page 51931)
电子申请通过消除对纸质申请进行提取、分拣、扫描、数据录入和运送的需要,减少了纸质申请处理中劳动强度最大、成本最高的工作量和处理要求。随着USCIS依照本规则推行强制电子申请,人力成本节约将很快显现,且国土安全部(DHS)预计本规则将在长期内大幅降低成本。表5列出了过去5个财年锁箱运营的总体成本,其中包括设施维护和技术开发费用。随着USCIS减少纸质申请,其物理场所占用也将相应减少,从而进一步实现第14247号行政命令的目标。
E-filing reduces the most labor-intensive and highest cost workload and processing requirements of paper-based filing by eliminating the need to extract, sort, scan, data enter, and ship paper-based filings. The labor cost savings will occur quickly as USCIS rolls out mandatory e-filing consistent with this rule and DHS expects this rule to substantially decrease costs over time. Table 5 provides the overall costs to operate lockboxes for the last 5 fiscal years, which includes facilities maintenance and technology development. As USCIS reduces paper filing, it will likewise decrease its physical footprint and further the objectives of E.O. 14247.
4. 电子申请的可用性
4. Availability of e-Filing
美国公民及移民服务局(USCIS)自2000年代初以来一直提供电子备案选项。这些选项随着时间的推移而有所变化,最初要求USCIS将电子提交的福利申请打印出来,并以纸质形式进行裁决。USCIS开发了USCIS电子移民系统(ELIS),以改变USCIS利用基于账户的电子备案和电子处理方式与公众互动的方式。
USCIS has provided e-filing options since the early 2000s. These options have varied over time and initially required USCIS to print out electronically submitted benefit requests and adjudicate them on paper. USCIS developed the USCIS Electronic Immigration System (ELIS) to change the way USCIS interacts with the public using account-based e-filing and electronic processing.
伴随着ELIS的开发,美国国土安全部(DHS)修改了USCIS的法规,以便在该机构向电子化(原文第51932页)环境转型的过程中提供更大的灵活性。76 FR 53764。2011年规则编纂了“福利申请”和“表格”的新定义,以承认电子替代方式的存在。8 CFR 1.2。DHS表示,其设想向完全电子化环境过渡,随着USCIS增加对移民福利申请的电子处理,未来几年将需要进行更多的法规修改。76 FR 53764(2011年8月29日)。
Accompanying the development of ELIS, DHS changed USCIS regulations to provide more flexibility as the agency moved toward an electronic ( printed page 51932) environment. 76 FR 53764. The 2011 Rule codified new definitions of “benefit request” and “form” to acknowledge electronic alternatives. 8 CFR 1.2. DHS stated that it envisioned transitioning to a fully electronic environment and additional regulatory changes would be required over the next several years as USCIS increases the electronic handling of immigrant benefit requests. 76 FR 53764 (Aug. 29, 2011).
USCIS鼓励申请人在有电子备案选项可用时尽量使用电子备案,并通过将其网站的设计重点从纸质转向电子备案,扩大了电子服务实施的选择范围。尽管技术进步使USCIS能够开发出可供使用的数字化替代方案来处理福利申请,取代传统的纸质方式,但USCIS仍然承受着纸质提交带来的负担。随着电子备案功能的开发,USCIS将其提供给公众使用,为公众提供电子备案或纸质流程的选择。截至2025年12月16日,USCIS通过引导式在线备案或PDF接收(PDFi)方式受理以下表格:
USCIS encourages requestors to e-file benefit requests whenever available and has expanded options for the implementation of electronic services by designing its website to focus on e-filing instead of paper. While technological advances have allowed USCIS to develop accessible, digital alternatives to traditional paper methods for handling benefit requests, USCIS remains bound to the burden of paper submissions. As e-filing functions are developed, USCIS makes them available to the public, providing the option of using either e-filing or paper processes. As of December 16, 2025, USCIS accepts the following forms through guided online filing or PDF Intake (PDFi):
(原文第51933页)
( printed page 51933)
(原文第51934页)
( printed page 51934)
USCIS还支持某些辅助性申请的在线提交,例如:雇佣资格验证(E-Verify);[25] G-845表,核实请求(SAVE系统);[26] G-1041表,家谱索引检索请求;G-1041A表,家谱记录请求;[27] 以及H-1B登记。[28]
USCIS also supports online submission for certain ancillary requests, such as: Employment Eligibility Verification (E-Verify); [25] G-845, Verification Request (SAVE); [26] G-1041, Genealogy Index Search Request; G-1041A, Genealogy Records Request; [27] and H-1B Registration.[28]
尽管USCIS允许以电子方式提交这些表格,但USCIS并未强制要求这样做。[29] 在2025财年,约有43%的个人USCIS申请人在有电子备案选项可用时自愿选择在线提交,而类似选择在线提交的律师和经认可代表的比例则不足6%。[30]
Though USCIS permits e-filing these forms, USCIS has not required it.[29] In FY 2025, about 43 percent of individual USCIS requestors voluntarily filed online when it was available, while less than six percent of attorneys and accredited representatives have similarly chosen to file online.[30]
DHS认识到人们采用新做法的速度各不相同。[31] DHS认为,移民福利申请系统的复杂性加剧了维持现状的倾向。[32] 那些熟悉纸质流程的人认为没有理由改变目前对他们而言行之有效的方法。DHS认为,如果电子备案完全作为可选项,从纸质备案向电子备案的转型将停滞不前。[33] 随着数字化解决方案的广度和质量不断提高,继续保留纸质系统的低效率和行政负担变得越来越站不住脚。
DHS recognizes people adopt new practices at varying rates.[31] DHS believes that the complexity of the immigration benefit request system exacerbates the tendency toward the status quo.[32] Those familiar with paper-based processes see no reason to change a method currently working for them. DHS believes the transition from paper to e-filing will languish if it remains entirely optional.[33] As the breadth and quality of digital solutions increase, preserving the inefficiencies and administrative burdens of a paper system becomes increasingly unjustifiable.
a. 引导式在线备案
a. Guided Online Filing
USCIS向在https://my.uscis.gov 创建USCIS在线账户的申请人提供引导式在线备案服务。[34] 申请人可以在其在线账户内完成可供引导式在线备案使用的表格、缴纳所需费用,并提交表格。[35] 当福利申请通过引导式在线备案方式提交时,该申请将直接导入USCIS的电子数据库。引导式在线备案流程可以在申请不符合受理要求时提醒申请人,并阻止申请人提交USCIS将予以拒收的申请。[36] 一旦USCIS通过引导式在线备案流程受理某项申请,电子收据通知将发送至申请人的USCIS在线账户。[37]
USCIS offers guided online filing to requestors who create a USCIS online account at https://my.uscis.gov .[34] Requestors can complete the form(s) available for guided online filing, pay the required fee(s), and submit the form(s) all within their online account.[35] When a benefit request is filed via guided online filing, the request is ingested directly into USCIS electronic databases. The guided online filing process can alert a requestor when a filing does not meet requirements for acceptance and prevent the requestor from submitting a filing USCIS would reject.[36] Once USCIS accepts a filing via the guided online filing process, an electronic receipt notice is provided in the requestor's USCIS online account.[37]
b. PDF接收(PDFi)
b. PDF Intake (PDFi)
除提供引导式在线备案外,USCIS还开发了PDF接收(PDFi)这一创新性电子流程,使申请人能够在USCIS在线账户中上传已填写完成的表格PDF文件,包括上传任何辅助文件并进行电子费用支付,上传的PDF文件将通过锁箱(Lockbox)系统进行导入处理。[38]
In addition to offering guided online filing, USCIS has developed PDF intake (PDFi) as an innovative electronic process that enables upload of a completed PDF of the form in a USCIS online account, including upload of any supporting documents and electronic fee payment, with ingestion of the uploaded PDF occurring through the Lockbox.[38]
PDFi提交的申请在锁箱系统中按照适用于纸质申请的相同规则进行验证。锁箱系统将决定是受理该申请并存入费用,还是拒收该申请。[39] 这一备案流程消除了锁箱系统对纸质提交表格所必需的实物拆封、整理、扫描和数据录入等工作需求。PDFi备案方式目前适用于九种USCIS表格(原文第51935页),并计划增加更多表格。[40]
PDFi filings are validated at the Lockbox using the same rules applied to paper filings. The Lockbox determines whether to accept the filing and deposit the fee or reject the filing.[39] This filing process eliminates the need for the Lockbox to physically open, prepare, scan, and enter data, as is necessary for paper-filed forms. PDFi filing is currently available for nine USCIS forms ( printed page 51935) with plans for additional forms to be added.[40]
截至2025年12月11日,仅有1%的申请人使用PDFi方式提交福利申请。
As of December 11, 2025, only 1 percent of requestors are utilizing PDFi to submit a benefit request.
C. 政府电子申请要求
C. Governmental Electronic Filing Requirements
正如下文示例更为详尽的阐释,在整个联邦政府范围内,许多部门、机构和办公室已经或正在取消纸质表格,转而实行电子申请。根据《电子政务法》的规定,各机构正在加大互联网的使用力度,许多机构要求必须进行电子申请。[41] 为了对本规则所作修改作出决定,国土安全部(DHS)研究了联邦机构如何成功推行电子申请、这些制度实施的时间长短、受影响的人群,以及申请要求的复杂程度。总体而言,这些示例表明政府机构正在转向线上办理,而且这些机构及其公共和私营利益相关方都认为电子申请环境带来了诸多益处。
As explained more fully in the examples that follow, across the Federal Government many departments, agencies, and offices have or are currently eliminating paper forms and transitioning to e-filing. Consistent with the E-Government Act, agencies are increasing use of the internet and many require e-filing.[41] To inform its decision in making the changes in this rule, DHS examined how Federal agencies have successfully instituted e-filing, how long they have been in effect, the affected populations, and the complexity of the filing requirement. Cumulatively, the examples demonstrate government agencies are moving online, and they and their private and public stakeholders appreciate the benefits an e-filing environment provides.
1. 美国公民及移民服务局(USCIS)对代表受配额限制外国人申请H-1B申请的申请人规定的注册要求
1. USCIS Registration Requirement for Petitioners Seeking To File H-1B Petitions on Behalf of Cap-Subject Aliens
H-1B申请抽签选择是一个在线流程。参见《联邦公报》第84卷第888页(2019年1月31日)。拟就受常规配额限制的H-1B申请提出申请的申请人,包括符合高等学位豁免资格的申请人,必须先在指定的注册期间通过电子方式向美国公民及移民服务局(USCIS)进行注册。注册被选中者,有资格在相关申请期间为所注册的受益人提交受配额限制的H-1B申请。美国公民及移民服务局于2020年3月1日启用了该电子注册系统。参见《联邦公报》第85卷第1176页(2020年1月9日)。任何为受常规配额限制或符合高等学位豁免资格的H-1B雇员提交I-129表格(非移民工作者申请书)的申请人,必须事先完成电子注册。因此,自2020年起(针对2021财年工作者),H-1B申请人每年均成功通过电子方式向美国公民及移民服务局进行注册。
The H-1B petition selection lottery is an online process. See84 FR 888 (Jan. 31, 2019). Petitioners seeking to file H-1B petitions subject to the regular cap, including those eligible for the advanced degree exemption, must first electronically register with USCIS during a designated registration period. Those whose registrations are selected are eligible to file an H-1B cap-subject petition for the registered beneficiary during the associated filing period. USCIS introduced this electronic registration system on March 1, 2020. 85 FR 1176 (Jan. 9, 2020). Any petitioner filing Form I-129, Petition for Nonimmigrant Worker, for an H-1B employee subject to the regular cap or advanced degree exemption must have first electronically registered. Therefore, since 2020 (for FY 2021 workers), H-1B petitioners have successfully electronically registered with USCIS each year since then.
2. 美国国务院
2. Department of State
自2006年以来,美国国务院(DOS)已要求以在线方式提交签证申请,但存在少数例外情形。[42] 申请人通过国务院的在线系统“领事电子申请中心”提交电子表格。
The U.S. Department of State (DOS) has required the online filing of visa applications since 2006, with few exceptions.[42] Applicants submit electronic forms to DOS through its online system, Consular Electronic Application Center.
获得美国公民及移民服务局批准的移民福利、且打算从另一国家入境美国的人员,通常必须向国务院申请签证。[43] 每年获准进入美国的合法永久居民中,有超过半数是从另一国家前来的,因此必须向国务院申请并获得移民签证。[44] 已获得美国公民及移民服务局批准移民申请的人员须提交国务院DS-260表格,即《移民签证及外国人登记电子申请表》。[45] 除要求在线提交申请外,在某些情况下,申请人还必须通过“领事电子申请中心”或电子邮件提交佐证文件,并附上PDF格式的佐证文件。[46]
Recipients of approved USCIS immigration benefits who intend to enter the United States from another country must generally apply for a visa from DOS.[43] Over half of the lawful permanent residents admitted to the United States each year travel from another country and must, therefore, apply for and obtain an immigrant visa from DOS.[44] Those with a USCIS-approved immigrant petition file DOS form DS-260, Electronic Application for Immigrant Visa and Alien Registration.[45] In addition to requiring online filing, applicants in some cases must submit supporting documents in the Consular Electronic Application Center or via email, and include a PDF attachment with supporting documentation.[46]
已获得美国公民及移民服务局批准非移民签证申请书或申请的外国人,必须在线提交DS-160表格,即《非移民签证在线申请表》。参见《联邦法规汇编》第22卷第41.103(a)(1)节。该表格存在纸质版本,即DS-156表格《非移民签证申请表》。但是,个人仅可在有限情形下、按照领事官员的指示提交DS-156表格。[47]
Aliens with a USCIS-approved nonimmigrant visa petition or application must file the DS-160, Online Nonimmigrant Visa Application, online. 22 CFR 41.103(a)(1). A paper version of this form exists as Form DS-156, Nonimmigrant Visa Application. However, individuals may file Form DS-156 only in limited circumstances, as directed by a consular officer.[47]
3. 美国劳工部
3. Department of Labor
雇主在向美国公民及移民服务局提交H-1B[48]申请之前,必须先向美国劳工部(DOL)就业和培训管理局(ETA)提交ETA-9035表格,即《非移民工作者劳动条件申请书》(LCA)。参见《联邦法规汇编》第8卷第214.2(h)(1)(ii)(B)节。自2002年1月14日起,劳工部已允许雇主在H-1B项目下在线提交劳动条件申请书。参见《联邦公报》第66卷第63298页(2001年12月5日);《联邦法规汇编》第20卷第655部分。自2006年起,劳工部要求雇主以电子方式提交劳动条件申请书,但存在极少数例外情形。参见《联邦公报》第70卷第72556页(2005年12月5日);《联邦法规汇编》第20卷第655.705(c)(1)节及第655.720(b)节。身体有残疾或无法上网的雇主,可在有限情形下以邮寄方式提交劳动条件申请书。参见《联邦法规汇编》第20卷第655.720(c)节。由于向劳工部提交劳动条件申请书是向美国公民及移民服务局为H-1B外国工作者提交申请的前提条件,H-1B申请人必须使用在线申请流程。
Before an employer can file an H-1B [48] petition with USCIS, it must first file Form ETA-9035, Labor Condition Application for Nonimmigrant Workers (LCA), with the Employment and Training Administration (ETA) of the U.S. Department of Labor (DOL). 8 CFR 214.2(h)(1)(ii)(B). Since January 14, 2002, DOL has allowed employers to submit LCAs online under the H-1B program. 66 FR 63298 (Dec. 5, 2001); 20 CFR 655. Starting in 2006, DOL has required employers, with very few exceptions, to file LCAs electronically. 70 FR 72556 (Dec. 5, 2005); 20 CFR 655.705(c)(1) and 20 CFR 655.720(b). Employers with physical disabilities or lacking internet access may file LCAs by mail under limited circumstances. 20 CFR 655.720(c). Because LCAs are filed with DOL as a prerequisite for filing a petition for an H-1B foreign worker with USCIS, H-1B filers must use the online filing process.
此外,USCIS受益人申请人必须提交的其他若干DOL表格也可进行电子申请。雇主在向USCIS提交H-2A[49]非移民申请之前,必须首先向劳工部(DOL)电子提交ETA-9142A表,即《临时就业证明H-2A申请表》。20 CFR(印刷页51936)655.130(c)(1)。在大多数情况下,雇主在向USCIS提交H-2B[50]非移民申请之前,必须向DOL提交ETA-9142B表,即《临时就业证明H-2B申请表》。20 CFR 655.15(c)。最后,雇主在向USCIS申请雇用外国工人在美国从事需要DOL劳工证明的类别永久性工作之前,[51]必须向DOL提交ETA-9089表,即《永久就业证明申请表》。20 CFR 656.17(a)。这些表格自2005年起即可在线提交。69 FR 77325(2004年12月27日)。在正常年份中,DOL几乎未收到任何要求豁免其外国劳工申请门户系统强制电子提交规定的请求。
In addition, e-filing is available for several other DOL forms USCIS benefit requestors must file. Before an employer can file an H-2A [49] nonimmigrant petition with USCIS, the employer must first e-file Form ETA-9142A, H-2A Application for Temporary Employment Certification, with DOL. 20 CFR ( printed page 51936) 655.130(c)(1). In most cases, before an employer can file an H-2B [50] nonimmigrant petition with USCIS, the employer must file Form ETA-9142B, H-2B Application for Temporary Employment Certification, with DOL. 20 CFR 655.15(c). Lastly, before an employer can petition USCIS to hire a foreign worker to work permanently in the United States in a category requiring DOL labor certification,[51] the employer must file Form ETA-9089, Application for Permanent Employment Certification, with DOL. 20 CFR 656.17(a). These forms have been available for online filing since 2005. 69 FR 77325 (Dec. 27, 2004). DOL receives hardly any requests for exemption from mandatory electronic submissions in its Foreign Labor Application Gateway system in a typical year.
在这些申请人向USCIS提交申请之前,他们已被要求就其移民福利申请以电子方式提交相关表格[52],并已形成熟练使用该方式的习惯,这一点从豁免申请数量之少可以得到印证。
Before these petitioners file with USCIS, they are already required to e-file forms related to their immigration benefit requests [52] and have established comfort doing so as evidenced by the lack of requests for exemption.
4. 司法部
4. Department of Justice
司法部(DOJ)的移民上诉事务执行办公室(EOIR)已成功在移民法院和上诉委员会实施了EOIR法院与上诉系统(“ECAS”),该系统要求律师、获认可代表及国土安全部(DHS)以电子方式提交文件。[53]
The Department of Justice's (DOJ's) Executive Office for Immigration Review (EOIR) successfully implemented EOIR Courts & Appeals System (“ECAS”) before the Immigration Courts and the Board, which requires electronic filing for attorneys, accredited representatives, and DHS.[53]
司法部最近还发布了一项临时最终规则(IFR),以在首席行政听证官办公室(“OCAHO”)审理的所有案件中实施电子文件提交和记录申请。[54] 此外,EOIR于2025年9月23日宣布扩大EOIR付款门户的功能,以便为向EOIR提出的上诉、动议和申请提供相关费用的电子支付方式。[55]
DOJ also recently issued an IFR to implement electronic filing and records applications for all cases before the Office of the Chief Administrative Hearing Officer (“OCAHO”).[54] Furthermore, on September 23, 2025, EOIR announced expanded capabilities of the EOIR Payment Portal to enable electronic payment of relevant fees for appeals, motions, and applications to EOIR.[55]
5. 国税局
5. Internal Revenue Service
国税局(IRS)的经验表明公众广泛接受电子申报方式。IRS自1986年起开始提供(仅限退税)电子报税服务。[56] 2025年,IRS收到的申报表中有94%是以电子方式提交的,[57] 高于2010年约69%的比例。[58] 自2012年起,凡编制超过10份报税表的报税人均被要求以电子方式提交报税表。26 U.S.C. 6011(e)(3);76 FR 17521(2011年3月30日)。IRS设有困难豁免条款,但表示仅在极少数情况下才予以批准。[59] 企业若每年提交至少10份报税表,则须以电子方式提交。26 CFR 301.6011-5。
The experience of the Internal Revenue Service (IRS) indicates broad acceptance of e-filing by the public. The IRS began offering tax return e-filing (refund-only) in 1986.[56] In 2025, the IRS received 94 percent of returns electronically,[57] up from approximately 69 percent in 2010.[58] Since 2012, income tax preparers who prepare more than 10 tax returns have been required to submit returns electronically. 26 U.S.C. 6011(e)(3); 76 FR 17521 (Mar. 30, 2011). The IRS provides for a hardship waiver but indicates it grants this waiver only in rare cases.[59] Corporations are required to file tax returns electronically if they file at least 10 returns a year. 26 CFR 301.6011-5.
D. 电子申请的益处
D. Benefits of e-Filing
1. 资源的有效利用
1. Effective Use of Resources
a. 收件
a. Intake
2025财年,USCIS共收到逾一千三百万份福利申请。[60] 如前所述,8 CFR 103.2(a)(7)(ii)规定,若福利申请未经正确签署、未完成(依8 CFR 1.2定义为“完成”)、未按照适用法规要求提交,或未缴纳正确的费用,USCIS将不予受理。USCIS在收件阶段即进行此项审核。若福利申请获受理,申请中的信息将被录入USCIS系统。收件完成后,福利申请将交由审理人员处理。对于在线提交的表格,收件过程是自动化的:表格的完整性和申请费的缴纳情况在提交之前或提交时即被核实,表格数据被录入USCIS系统,福利申请随后被分配至相应的审理队列。在福利申请及相关证据完成数字化处理后,纸质文件或被销毁,或被运送至USCIS设施进行长期存档。36 CFR 1236.56(f)。[61]
USCIS received more than thirteen million benefit requests in FY 2025.[60] As outlined previously, 8 CFR 103.2(a)(7)(ii) provides that USCIS will not accept a benefit request if it is not properly signed, executed (defined by 8 CFR 1.2 as completed), filed in compliance with the regulations governing the request, and the correct fee. USCIS undertakes this review process at intake. If a benefit request is accepted, information from the request is collected in USCIS systems. After intake, the benefit request is provided to adjudicators to process. For forms filed online, intake is automated: form completeness and filing fee payment are verified before or at the time of submission, form data are entered into USCIS systems, and benefit requests are routed to the appropriate queue for adjudication. After the benefit request and evidence have been digitized, the paper is either destroyed or shipped for long-term storage at a USCIS facility. 36 CFR 1236.56(f).[61]
相比之下,纸质福利申请的收件流程为人工操作。USCIS须确认申请材料齐全并附有正确的申请费。申请一经受理,纸质文件即被扫描,部分表格信息,尤其是重要的身份信息,将被录入电子系统,以便于审理流程的进行。数据通过光学字符识别(OCR)技术上传,并在人工检查无误后传输至USCIS。随后,纸质文件将被运送至审理人员处,由其在纸质文件上进行审理。
In contrast, the paper benefit request intake process is manual. USCIS ensures requests are complete and are accompanied by the correct filing fee. Once accepted, the paper is scanned and some form information, particularly significant identity information, is ingested into electronic systems to facilitate the adjudication process. Data is uploaded using optical character recognition (OCR) and transmitted to USCIS after manual inspection for errors. The paper file is then shipped to adjudicators who adjudicate the request on paper.
b. 运输
b. Shipping
为处理每年数百万份申请,美国公民及移民服务局(USCIS)在美国境内及全球各地设有多个办公室。为配合纸质裁决流程,USCIS需持续在这些机构之间运送表格和档案。受理后,纸质福利申请必须转送至正确的办公室进行裁决。在2025财政年度,USCIS为将收到的福利申请运送至适当地点以及将被拒收的福利申请退还申请人,共支出邮资10,864,781美元。[62]除福利申请本身外,USCIS还必须将相关的外国人档案(A-File,其中包含先前提交的申请、佐证材料和文件)运送至裁决办公室,而这些档案通常存放在另一个存储地点。裁决完成后,这些文件和实物档案随即被运送至长期存储和保存地点。在2025财政年度,USCIS共进行了870万次档案调拨,平均每30天调拨718,331次。[63]除了USCIS每年为调拨数量如此庞大的档案所产生的运输成本外,潜在丢失外国人移民记录、以及妨碍国土安全部(DHS)调阅外国人记录以降低任何潜在威胁风险所带来的更高成本,远超过这些调拨所产生的financial成本。
To process millions of requests each year, USCIS maintains offices throughout the United States and the world. To accommodate the paper adjudication process, USCIS continually ships forms and files between these facilities. After intake, paper benefit requests must be forwarded to the correct office for adjudication. In FY 2025, USCIS spent $10,864,781 on postage costs to ship received benefit requests to the appropriate location and return rejected benefit requests to the requestor.[62] In addition to the benefit request itself, USCIS must also ship any related A-Files (with previously filed requests, supporting evidence, and documents) to the adjudicating office, often from another storage location. Once adjudication is complete, these documents and physical files are then shipped for long-term storage and retention. In FY 2025, USCIS transferred files 8.7 million times, averaging 718,331 transfers per 30 days.[63] In addition to the shipping costs USCIS incurs to move this many files annually, the higher cost of potentially losing an alien's immigration record and preventing DHS from accessing an alien's record to minimize risks from any potential threats surpasses the financial cost of these transfers.
除档案调拨外,USCIS在处理过程中还需在办公室内部移动纸质档案,例如某办公室在收发室收到外国人档案(A-File)后,将该档案与福利申请进行比对、匹配,将档案送交处理队列,并在裁决完成后将档案移出以供存储或下次使用。(印刷页51937)
In addition to file transfers, USCIS moves paper files within an office during processing, such as when an office receives an A-File in themail room, matches the A-File with the benefit request, delivers the file to the processing queue, and out-processes the file for storage or next use following adjudication. ( printed page 51937)
c. 存储
c. Storage
此外,USCIS必须长期存储纸质档案。USCIS业务的核心是正在142个不同机构中接受审查、修改和存储的5,860万份现行档案。[64]其中部分机构专门用于存储。许多地点主要承担裁决或其他职能,但也因其工作性质而必须存储档案。当某项福利申请在纸质外国人档案(A-File)中接受审查和裁决时,该外国人档案会保存在负责裁决的办公室。当档案未处于积极使用状态时,USCIS会将其保存在专门的存储机构中。USCIS必须将外国人档案保存至该外国人出生年份后满100年,届时该档案将被永久移交至美国国家档案与记录管理局(NARA)保管以供保存。[65]然而,USCIS没有足够的空间继续将所有记录存储至外国人出生年份后满100年。
Additionally, USCIS must store paper files long-term. At the heart of USCIS operations are 58.6 million active files being reviewed, amended, and stored at 142 different facilities.[64] A few of these facilities are dedicated to storage. Many locations primarily serve adjudicative or other functions but must also store the files because of their work. When a benefit request is reviewed and adjudicated in a paper A-File, the A-File is kept at the office responsible for the adjudication. When files are not being actively used, USCIS keeps them at a storage-specific facility. USCIS must maintain A-Files until 100 years after the alien's year of birth, at which time they are permanently transferred to the custody of the U.S. National Archives and Records Administration (NARA) for preservation.[65] However, USCIS does not have sufficient space to continue storing all records until 100 years after an alien's year of birth.
截至2022年12月31日,NARA仅接受电子格式的记录,这要求USCIS必须在纸质记录达到其100年强制保存期限后,将尚未电子化的纸质记录进行数字化处理。[66]尽管NARA已就移民记录向USCIS授予豁免,USCIS仍在按照NARA的要求推进记录数字化工作,此举可使包括USCIS、美国移民及海关执法局(ICE)和美国海关及边境保护局(CBP)在内的国土安全部(DHS)用户更快速地访问数字化记录,并允许多名用户同时查阅同一份记录。
As of December 31, 2022, NARA only accepts records in electronic format, which requires USCIS to digitize paper records not already in an electronic format once they reach the end of their 100-year mandatory retention period.[66] While NARA has granted USCIS a waiver for immigration records, USCIS is working to digitize its records in accordance with NARA requirements, which provides DHS users, including USCIS, ICE, and CBP with accelerated access to digitized records and permits multiple users to review the same record simultaneously.
为维持运营空间,USCIS将已入籍移民的外国人档案以及闲置约7年的外国人档案送往NARA进行存储。这些档案被称为封存外国人档案(retired A-Files),尚未达到可永久移交NARA保管的年限,USCIS平均须将封存外国人档案在NARA保存50年。尽管封存档案之所以被如此归类,是因为其被调取的可能性较低,但在2025财政年度,从5,800万份封存档案中仍发生了817,723次档案调取。[67]
To maintain operating space, USCIS sends A-Files belonging to immigrants who have naturalized and A-Files inactive for approximately 7 years to NARA for storage. These files, referred to as retired A-Files, are not old enough to permanently transfer custody to NARA, and, on average, USCIS must keep retired A-Files with NARA for 50 years. Although retired files are so designated because they are less likely to be requested, there were 817,723 file retrievals in FY 2025 from the 58 million retired files.[67]
2. 效率提升
2. Efficiency Gains
电子申请(e-filing)的诸多益处在于它为福利申请流程带来的效率提升。例如,电子申请可将福利申请被拒收的风险降至最低。当福利申请以纸质方式邮寄至USCIS时,申请须经过初步评估,以确定申请表格是否按照相关法规正确填写,从而能够被纳入USCIS系统。导致拒收的缺陷包括费用金额不正确、缺少有效签名,或表格未填写完整(信息缺失)。参见8 CFR 103.2(a)(7)(ii)。在2025财政年度,USCIS拒收了超过100万份纸质福利申请。[68]
The many benefits of e-filing lie in the increased efficiency it brings to the benefit request process. For example, e-filing minimizes the risk a benefit request will be rejected. When benefit requests are physically mailed to USCIS, they undergo initial evaluation to determine if the request form is properly executed in accordance with the regulations to be accepted into the USCIS system. Deficiencies resulting in rejection include incorrect fee amount, lack of valid signature, or forms not executed or fully completed (missing information). 8 CFR 103.2(a)(7)(ii). In FY 2025, USCIS rejected over 1 million paper benefit requests.[68]
对于通过在线引导式提交方式申请的福利请求,可能导致驳回的申请缺陷将被标记出来。用户在未先更正某些被标记的缺陷之前,无法通过在线引导式提交方式提交福利请求(例如,用户在未签字的情况下无法提交表格)。[69] 这种实时标记和更正错误的能力意味着,美国公民及移民服务局(USCIS)和申请人都可以节省因处理申请被驳回、随后更正缺陷并重新提交福利请求而耗费的资源。此外,对于受提交截止日期约束的申请,一旦被驳回,可能会对移民福利资格产生负面影响,由于错过提交截止日期,往往会给个人申请人带来严重后果。对申请缺陷的即时通知以及实时处理和更正这些缺陷的能力,可以使某些错误不再对申请人产生同样潜在的负面后果。例如,如果外国人未在有条件永久居民身份到期前紧邻的90天期限内提交I-751表格,USCIS将自动终止该外国人的有条件永久居民身份,使该外国人面临被驱逐出境的风险。《移民与国籍法》(INA)第216(c)(2)条,8 U.S.C. 1186a(c)(2)。
In the case of benefit requests filed via guided online filing, filing deficiencies that may result in rejection are flagged. Users cannot submit a benefit request via guided online filing without first correcting certain flagged deficiencies (for example, a user cannot submit a form without signing).[69] The ability to flag and correct these errors in real time means both USCIS and the requestor save the resources spent on processing the rejection of the filing and the subsequent correction of the deficiency and resubmission of the benefit request. Additionally, rejection of submissions subject to a filing deadline can negatively impact immigration benefit eligibility, often with serious consequences for individual filers due to missing filing deadlines. Immediate notification of filing deficiencies and the ability to address and correct them in real time can mean certain mistakes no longer have the same potential negative consequences for requestors. For example, USCIS automatically terminates the conditional permanent resident status of any alien that does not file Form I-751 within the 90-day period immediately before the conditional permanent resident status expires making the alien amenable to removal from the United States. INA 216(c)(2), 8 U.S.C. 1186a(c)(2).
美国国土安全部(DHS)认为,电子申请还可能减少USCIS因信息或证据缺失而必须发出拟拒绝通知(NOID)、补充证据请求(RFE)或拒绝决定的情形。即使某项请求被USCIS受理,其内容仍可能不完整或需要补充信息。在此类情形下,USCIS可能拒绝该请求,或向申请人发出NOID或RFE,要求提供补充或澄清信息。8 CFR 103.2(b)(8)(ii)-(iii)。申请人在收到NOID或RFE后,必须根据需要汇编信息、证据并作出回应,并将其提交给USCIS。USCIS可给予申请人最多12周的时间回应RFE,最多30天的时间回应NOID。8 CFR 103.2(b)(8)(iv)。此类往来不仅需要双方投入时间和资源,还可能大幅延长审理周期。
DHS believes e-filing may also reduce instances in which USCIS must issue a notice of intent to deny (NOID), request for evidence (RFE), or denial for missing information or evidence. Even though a request is accepted by USCIS, it may be incomplete or need additional information. In such instances, USCIS may deny the request or issue a NOID or RFE to the requestor asking for additional or clarifying information. 8 CFR 103.2(b)(8)(ii)-(iii). After receiving a NOID or RFE, the requestor must compile information, evidence, and a response as needed and submit these to USCIS. USCIS may provide requestors up to 12 weeks to respond to an RFE and 30 days to respond to a NOID. 8 CFR 103.2(b)(8)(iv). Such an exchange not only requires time and resources from both parties but may also considerably extend the adjudication timeline.
电子申请的若干特性可能减少因信息或证据缺失而需要发出RFE、NOID和拒绝决定的情形。例如,通过在线引导式提交方式申请,使USCIS能够利用参数设置帮助用户在表格上提供完整、恰当的答案。[70] 对于某福利类型要求提供特定类别证据的情形,用户会在电子提交请求之前被提示上传所需的初始证据。此外,表格逻辑可在用户所提供的答案或信息不符合资格要求时提醒用户。此功能可减少因申请人回答不完整、不清楚或存在误解而导致的RFE、NOID和拒绝决定的数量,以及因此产生的无效缴费。
Several attributes of e-filing may decrease the need to issue RFEs, NOIDs, and denials for missing information or evidence. For example, filing via online guided filing provides opportunities for USCIS to use parameters to help users provide complete and appropriate answers on forms.[70] Where certain categories of evidence are required for a benefit type, users are prompted to upload the required initial evidence before submitting their requests electronically. Additionally, form logic can alert users when an answer or information provided does not align with eligibility requirements. This feature may reduce the number of RFEs, NOIDs, and denials and the futile payment of fees due to incomplete, unclear, or misunderstood answers on the part of requestors.
电子申请还通过使USCIS能够实施一致的数据格式,并将所提供的信息直接导入USCIS系统,从而提高数据的完整性和标准化程度。相比之下,以纸质形式提交的信息必须经过受理环节,包括扫描和人工录入,才能存储到本机构系统中。USCIS工作人员必须对所提供的信息进行解读,如遇不清楚或有误之处,则需驳回申请、根据其他信息更正数据,或发出RFE、拒绝决定或其他函件。电子申请流程中的每一个自动化步骤都会降低出错的风险,因为如前所述,纸质申请有时会包含错误(例如,信用卡有效期或银行转账号码填写错误)。数据的即时录入还使信息在USCIS内部以及与外部机构合作伙伴之间进行整合与交换变得更加便捷。(印刷页第51938页)
E-filing also increases data integrity and standardization by allowing USCIS to enforce consistent data formats and ingest information provided directly into USCIS systems. In contrast, information submitted on paper must go through intake steps, including scanning and manual entry, for the data to be stored in agency systems. USCIS employees must interpret the information provided and, where unclear or erroneous, reject the filing, correct the data based on other information, or issue an RFE, denial, or other correspondence. Each automated step in the e-filing process decreases the risk of inaccuracy because, as mentioned previously, paper filings sometimes contain errors ( e.g., wrong credit card expiration date or bank routing number). Instant ingestion of data also makes it easier to integrate and ( printed page 51938) exchange information across USCIS and with external agency partners.
通过电子方式接收申请提高了美国公民及移民服务局(USCIS)管理工作量的能力。纸质档案必须运送到进行裁决的地点。如果某个办公室经历工作量激增,将档案运送到另一个办公室会造成延误和行政负担。传输电子数据可避免此类延误或负担,这意味着工作量可以轻松地实时重新分配,以应对办公室负荷和劳动力可用性的变化。同样,电子记录允许不同地点的员工同时使用档案和案件信息;如果某个办公室需要访问档案中的信息,这不会不必要地延误另一个办公室的工作。电子记录还大大降低了档案丢失和处理不当的风险,因为无需在办公室和存储设施之间实际移动纸质档案。
Receiving requests electronically improves USCIS' ability to manage workloads. Paper files must be shipped to where they are adjudicated. If an office experiences a surge in workload, shipping files to another office causes delays and administrative burden. Transferring electronic data avoids such delays or burdens, meaning workloads can be redistributed easily and in real-time to respond to office load and workforce availability. Similarly, electronic records allow the simultaneous use of files and case information by employees in different locations; if one office needs to access information in a file, it will not unnecessarily delay the work of another office. Electronic records also greatly decrease the risk of lost and mishandled files, since there are no paper files to physically move among offices and storage facilities.
对于福利申请人而言,电子申请提供了多种便利。通过其账户,用户可以随时登录并查看其福利申请历史记录。[71]在提交福利申请期间,引导式在线申请为申请人提供了交互式和更直观的体验。[72]电子表格使用户更容易成功填写表格,并消除了他们对邮寄的依赖。账户和在线申请流程还提供了近乎实时的提交、申请缺陷的更正以及案件更新。[73]
For benefit requestors, e-filing provides several efficiencies. Through their accounts, users can log in and access their benefit request history at any time.[71] During the submission of the benefit request, the guided online filing presents an interactive and more intuitive experience for requestors.[72] Electronic forms make it easier for users to complete forms successfully and remove their reliance on physical mail. The account and online filing process also provides for nearly real-time submissions, correction of filing deficiencies, and case updates.[73]
这也为福利申请人节省了时间。例如,美国公民及移民服务局最近估计,I-131表格(旅行证件申请)每份回复的小时负担,纸质申请人为3.1小时,而电子申请人为2小时。见90 FR 57777, 57778(2025年12月12日)。国土安全部(DHS)在本序言第V.B.4节中更详细地讨论了各类福利申请的时间节省情况。
This provides benefit requestors with time savings as well. For instance, USCIS recently estimated the hour burden per response on Form I-131, Application for Travel Document, as 3.1 hours for respondents filing on paper compared to 2 hours for respondents e-filing. 90 FR 57777, 57778 (Dec. 12, 2025). DHS discusses the time savings across benefit request types in more detail in section V.B.4 of this preamble.
3. 加强安全性
3. Enhanced Security
增加电子申请的使用有可能进一步加强移民福利的完整性,并增强美国公民及移民服务局在国家安全责任方面的能力。电子申请将使增强型数字化和自动化服务的开发成为可能,例如欺诈检测和国家安全分析、提高数据完整性、加快数据录入和传播速度、改善身份管理以及加强信息保护。
Increasing the use of e-filing has the potential to further enhance the integrity of immigration benefits and bolster USCIS in its national security responsibilities. E-filing will allow for the development of enhanced digital and automated services, such as fraud detection and national security analysis, increased data integrity, increased speed of data ingestion and dissemination, improved identity management, and enhanced information protection.
纸质流程的整体低效性已被特别指出为美国公民及移民服务局欺诈检测和国家安全局(FDNS)面临的障碍。《美国公民及移民服务局监察使2018年度报告》强调了纸质流程对美国公民及移民服务局欺诈检测职能的影响。[74]该报告批评了美国公民及移民服务局在转向电子案件申请和裁决方面进展有限,并指出这限制了该机构检测欺诈的能力。报告指出,基于纸质的系统阻碍了电子工具的可用性,以及对申请进行交叉比对以标记套话和欺诈的能力。[75]报告建议利用技术来衡量绩效、改善培训,并加强该机构的反欺诈行动。[76]美国公民及移民服务局监察使指出,美国公民及移民服务局对纸质文件的依赖造成了安全风险,使欺诈行为无法被及时发现,并危及国家安全。[77]
The overall inefficiencies of paper have been specifically noted as a roadblock for USCIS' Fraud Detection and National Security (FDNS) Directorate. The CIS Ombudsman 2018 Annual Report highlighted the impact of paper processes on USCIS fraud detection functions.[74] The report criticized the limited progress in USCIS' effort to convert to electronic case filing and adjudication, and stated that it has restricted the agency's capacity to detect fraud. The report stated that a paper-based system hinders the availability of electronic tools and cross-comparison of applications for flagging boilerplate language and fraud.[75] The report recommended using technology to measure performance, improve training, and strengthen the agency's anti-fraud operations.[76] The CIS Ombudsman identified USCIS' reliance on paper as creating security risks, which permits fraud to go undetected and risks national security.[77]
美国国土安全部(DHS)同意,数字化环境将优化美国公民及移民服务局欺诈检测与国家安全局(USCIS FDNS)履行其基本职能的能力。当表格以纸质形式提交时,所提供信息中只有一部分会以数据形式反映在电子系统中。如本序言第三部分D节所述,尽管美国公民及移民服务局(USCIS)对纸质表格本身进行裁决,但部分表格信息仍会被录入电子系统,以便利裁决流程。所采集的字段因表格而异,但始终包括重要的身份信息,例如姓名、地址、外国人登记号(A-Number)。录入过程采用光学字符识别(OCR)扫描,随后进行人工检查以纠正错误。电子系统中收到的数据由申请人直接提供,从而确保了信息的准确性。电子提交的福利申请能够从所提交的信息中获取有关外国人的更多细节,从而提升美国公民及移民服务局数据分析以及欺诈预防和检测的效果。与保存在个人纸质档案中的信息相比,电子数据能够以更高效、更彻底的方式被搜索、审查、检索、报告、监控和分析。[78]例如,如果美国公民及移民服务局发现某项欺诈性提交,其可在各福利产品类别以及整个政府系统中以电子方式搜索相同或类似提交的其他实例。[79]便利各案件材料之间进行交叉比对和核查的能力,对于确保福利申请及裁决流程的完整性而言,是一项重大优势。此外,随着越来越多的信息以电子格式提供、存储并可供分析使用,这一优势将进一步增强。[80]
DHS agrees that a digital environment would optimize USCIS FDNS' ability to perform its essential functions. When forms are submitted on paper, only a portion of the information provided is reflected in an electronic system as data. As discussed in Part III, Section D of this preamble, although USCIS adjudicates the paper forms themselves, some form information is ingested into electronic systems to facilitate the adjudication process. The fields captured vary by form, but always include significant identity information, such as name, address, A-Number. Ingestion occurs using OCR scanning followed by a manual inspection for errors. Data received in electronic systems is provided by the requestors directly, ensuring the information is accurate. E-filed benefit requests capture more details about the alien from information submitted, which improves the results of USCIS' data analysis and fraud prevention and detection. Electronic data can be searched, reviewed, retrieved, reported, monitored, and analyzed in a more efficient and thorough manner than information kept in individual paper files.[78] For example, if USCIS discovers a fraudulent submission, it could electronically search for additional occurrences of the same or similar submissions across benefit product lines and throughout government systems.[79] The ability to facilitate easier cross-referencing and comparison across all case materials is a significant advantage for ensuring the integrity of benefit requests and the adjudication process. Moreover, this advantage increases as more information is provided and stored in an electronic format and made available for analysis.[80]
向数字化环境的转型对于电子欺诈检测工具和方法的发展具有重要意义。电子提交的表格有助于识别在纸质提交中可能被忽视的欺诈趋势和手法。通过电子提交,经过培训、能够识别可能表明欺诈的不一致之处的美国公民及移民服务局裁决官,可以更加便捷地运用其技能和数字工具来识别欺诈行为。同样,电子提交还能够实现诸如欺诈及安全审查流程等任务的自动化。向更加数字化的生态系统转型,将为美国公民及移民服务局节省时间,从而使其能够将资源重新分配至其他具体使命任务。
The transition to a digital environment is important for the development of electronic fraud detection tools and methods. E-filed forms aid in identifying fraud trends and practices that might go unnoticed in paper filings. With e-filing, USCIS adjudicators, who are trained to identify inconsistencies that may indicate fraud, can more easily use their skills and digital tools to identify fraud. Similarly, e-filing allows for automation of tasks, such as fraud and security check processes. The transition to a more digital ecosystem will result in time savings for USCIS enabling the reallocation of resources to other mission-specific tasks.
(第51939页印刷版)完全数字化的环境还将增强同时、实时共享有关个人及潜在风险信息的能力。[81]当发生需要广泛信息共享的安全事件时,必须耗费时间和资源对纸质记录进行复印或数字化以供传播。[82]此外,电子行政记录能够同时在不同的实际地点支持裁决及诉讼活动。电子记录可随时随地访问,从而实现信息的更高效传播。[83]
A fully digital environment would also enhance the ability to share information about individuals and ( printed page 51939) potential concerns simultaneously and in real time.[81] When a security incident occurs necessitating wide-spread information sharing, time and resources must be used to photocopy or digitize paper records for dissemination.[82] In addition, electronic administrative records can simultaneously support adjudication and litigation activities in different physical locations. Electronic records can be accessed from anywhere, providing for more efficient dissemination of information.[83]
相应地,记录和信息的保护与管理对于打击欺诈、确保福利申请流程的完整性而言至关重要。美国公民及移民服务局和申请人双方均有责任正确识别提交申请的个人,并将信息访问权限限制于经授权的人员。电子提交及在线账户的使用使得身份验证和核实工具的运用成为可能。[84]
Correspondingly, the protection and management of records and information is vitally important to combat fraud and ensure the integrity of the benefit request process. Both USCIS and requestors have an interest in properly identifying individuals submitting requests and limiting access to information to authorized individuals. E-filing and online accounts enable the use of tools for the authentication and verification of identities.[84]
在线账户每次登录都使用双重身份验证,要求用户输入其电子邮箱和密码,以及发送至用户指定的电子邮箱地址或手机的一次性验证码。[85]此身份验证流程有助于确保美国公民及移民服务局(USCIS)发送给申请人的通知和通信只能由提交请求的本人访问。通过邮寄方式发送的纸质通知虽寄往申请人及其任何法定代理人,但在邮寄后,几乎没有保障措施可以确保通知被预定收件人收到并限制他人访问,地址可能被误读或过时,邮政包裹可能被错误投递或投递至不安全或共用的邮箱。[86]在线账户为申请人提供了个人通信渠道,使其对来自USCIS的通知和通信(其中可能包含个人或敏感信息)具有更大的可及性控制权。电子提交的这一特性对于弱势移民群体而言可能尤为重要,包括家庭暴力、人口贩运及其他犯罪的移民受害者,这些群体对隐私和保密性有更高的需求。[87]
Online accounts use two-factor authentication with each log in, requiring users to enter their email and password as well as a single-use verification code sent to a user-specified email address or cellphone.[85] This authentication process helps ensure notices and communications sent by USCIS to requestors may only be accessed by the individual who submitted the request. Paper notices sent via mail are addressed to the requestor and any legal representatives, but after mailing, there are few safeguards to ensure receipt by the intended individual and limit access to others—addresses can be misread or out of date and postal packages can be incorrectly delivered or delivered to an unsecured or communal mailbox.[86] Online accounts give requestors a personal communication channel and greater control over the accessibility of their notices and communications from USCIS, which may contain personal or sensitive information. This attribute of e-filing could be particularly significant for vulnerable immigrants, including immigrant victims of domestic violence, human trafficking, and other crimes, who have a heightened need for privacy and confidentiality.[87]
四、本规则所作变更的讨论
IV. Discussion of Changes Made in This Rule
A. 电子提交的定义
A. Definition of e-Filing
本规则将电子提交(e-filing)定义为以USCIS提供并批准的方式,以电子方式提交或递交福利申请、支持证据、文件、通知及通信,包括在线填写表格、通过网络门户、通过电子界面,或通过已批准的在线账户上传已填写完成的表格的PDF文件。对“电子提交”一词的定义和使用将使本规则以及未来的规则更加清晰,并通过避免重复使用多个词语来描述相同意图,简化USCIS网站、指南和通信内容。
This rule defines e-filing to mean electronically filing or submitting a benefit request, supporting evidence, documents, notices, and communication in a manner made available and approved by USCIS, including by completing the form online, in a web portal, via an electronic interface, or by uploading a PDF of the completed form through an approved online account. Defining and using the term “e-file” will make this rule, as well as future rules, clearer and will simplify USCIS websites, guidance, and communications by avoiding the repetitive use of multiple words to describe the intent.
USCIS目前允许申请人通过引导式在线提交流程提交福利申请,或在https://my.uscis.gov上在线上传福利申请的PDF文件。国土安全部(DHS)对电子提交的定义旨在涵盖当前可用的电子提交方式,同时保持足够的灵活性,以涵盖USCIS未来可能开发的任何其他类型的电子提交方式。
USCIS currently allows requestors to submit a benefit request through a guided online filing experience or by uploading a PDF of the benefit request online at https://my.uscis.gov. DHS defines e-file to account for the electronic filing methods currently available and to remain flexible enough to account for any future or additional types of e-filing USCIS may develop.
B. 强制电子提交要求
B. Mandatory e-Filing Requirement
1. 要求的表格类型
1. Required Form Types
本规则赋予USCIS自行决定强制要求以电子方式提交移民福利申请的权力。参见8 CFR 103.2(a)(1)(ii)。本规则规定,某一表格必须在USCIS强制要求电子提交该表格之前至少180天内可供电子提交使用。USCIS将通过在USCIS官方网站上发布说明,提前60天发出该要求的通知,并明确说明“生效日期”,以留出宽限期。参见8 CFR 103.2(a)(1)(ii)。这确保了透明度,并使申请人能够及时了解提交程序的变更情况。
This rule provides USCIS authority, in its discretion, to mandate e-filing of immigration benefit requests. See8 CFR 103.2(a)(1)(ii). The rule provides that a form must be available for e-filing for at least 180 days before USCIS mandates the e-filing of the form. USCIS will provide 60 days of advance notice of the requirement by publishing instruction on the official USCIS website, along with a clearly articulated `effective date' allowing for a grace period. See8 CFR 103.2(a)(1)(ii). This ensures transparency and allows requestors to stay informed of changes to filing procedures.
申请人可以通过USCIS提供的任何方式满足强制电子提交要求,包括在线填写表格,或通过在线账户上传已填写完成的表格的PDF文件。通过引导式在线提交方式填写表格是提交表格的最高效方式,特别是因为在线账户将阻止申请人提交不符合既定受理标准的福利申请。这最大限度地减少了申请人提交最终可能被USCIS拒绝的福利申请的可能性。当申请人通过PDFi方式提交福利申请时,USCIS会运行自动化检查,以确定该提交是否符合既定受理标准。如果福利申请被拒绝,申请人将在在线系统中收到通知。通过PDFi方式提交表格的申请人,一旦申请被受理且申请费完成交易,将收到邮寄通知。[88]
Requestors may meet the mandatory e-filing requirement in any manner made available by USCIS, including by completing the form online or by uploading a PDF of the completed form through an online account. Completing the form via guided online filing is the most efficient way to submit the form, particularly since the online account will prevent a requestor from submitting a benefit request if it does not meet defined acceptance criteria. This minimizes the possibility the requestor will submit a benefit request USCIS may ultimately reject. When a requestor submits a benefit request via PDFi, USCIS runs automated checks to determine if the submission meets defined acceptance criteria. The requestor will receive notification in the online system if the benefit request is rejected. Requestors submitting a form through PDFi will receive a mailed notification [88] once the filing is accepted and the filing fee is transacted.
截至2025年12月16日,美国公民及移民服务局(USCIS)提供22种可电子提交的表格,这些表格均已可用至少180天。[89]其中,六种表格既可通过引导式在线申请方式提交,也可通过PDFi方式提交。本规则并未强制要求或宣布任何福利申请须以电子方式提交,但本规则授权USCIS实施此类要求,并规定了USCIS在实施该要求时将遵循的程序。USCIS可能在本规则公布后宣布其中部分或全部表格必须以电子方式提交。USCIS可能针对使用某一表格可申请的特定资格类别、所请求的分类或申请类型,要求强制电子提交,即便该表格可申请的所有福利类别尚未全部开放电子提交。
As of December 16, 2025, USCIS offers 22 forms for e-filing, which have all been available for at least 180 days.[89] Of those, six are available for both guided online filing and PDFi. This rule does not impose or announce a requirement to e-file any benefit request, but this rule authorizes USCIS to do so and provides the procedures USCIS will follow to impose the requirement. USCIS may announce that some or all of these forms must be e-filed after this rule's publication. USCIS may require mandatory e-filing for particular eligibility categories, classifications requested, or types of requests that may be filed using a form even though all benefit categories that may be requested with the form are not yet available for e-filing.
在强制要求以电子方式提交某一特定表格之前,USCIS将考虑该表格与其他尚未开放电子提交的表格之间的关联性,以及支持该表格电子提交所需的系统开发情况。每次要求电子提交时,USCIS还将考虑申请人群体的特征、社会经济状况、公共技术资源的可获得性,以及适用于该特定申请的类似标准。电子提交的强制要求并非必然不可逆转。如果某项强制要求导致大量申请人请求豁免电子提交要求,或该申请的提交数量大幅下降,USCIS可能会审视其原因(印刷页第51940页),并考虑是否需要采取进一步行动。
Before mandating e-filing of a particular form, USCIS will consider the form's association with other forms that may not yet be available to e-file and system development to support e-filing the form. Each time e-filing is required, USCIS will also consider characteristics of the filing population, socioeconomic conditions, the availability of public technology resources, and similar criteria as they apply generally to the specific request. An e-filing mandate is not necessarily irreversible; if a mandate results in a great number of requests for waiver of the e-filing requirement or a sizeable decrease in filings of the request, USCIS may consider why that ( printed page 51940) is occurring and whether additional actions are needed.
2. 必填字段
2. Required Fields
USCIS要求其表格中的某些字段在受理福利申请之前必须填写完整。正如USCIS拒收纸质申请一样,如果尝试提交的内容不符合表格说明或法规规定,或者某一必填数据项不完整,USCIS也可能拒收PDFi提交的申请,或阻止该表格在线提交。
USCIS requires certain fields on its forms to be complete before accepting a benefit request. Just as USCIS rejects paper submissions, USCIS may reject a PDFi submission or prevent a form from being submitted online if the attempted submission is not consistent with the form instructions or regulations or if a required data element is incomplete.
无论是《移民与国籍法》(INA)还是国土安全部(DHS)的法规,均未就移民事务中“拒收”或“退件”一词作出定义。然而,USCIS已通过机构实践对这些术语作出界定,采用受理规则和程序,依据8 CFR 103.2(a)(7)规定的提交要求、其他适用法规(包括表格说明)以及USCIS政策,对每份提交材料进行合规性审查。[90]一般而言,当某项申请被拒收时,USCIS会将收到的整套材料全部退还给申请人,包括申请文件本身、所有支持性证明文件以及所缴纳的申请费。[91]USCIS在评估某项申请是否应予受理或拒收时,并不对该申请或其支持证据进行实质性审查,而仅审查其是否符合受理的最低要求。通常,申请人在更正提交缺陷后可重新提交被拒收的申请。
Neither the INA nor DHS regulations define the term “reject” or “rejection” for immigration purposes. USCIS, however, has defined these terms through agency practice, using intake rules and procedures to review each submission for compliance with the filing requirements in 8 CFR 103.2(a)(7), compliance with other applicable regulations, including form instructions, and compliance with USCIS policy.[90] Generally, when a request is rejected, USCIS returns the entire contents of the received packet to the requestor, including the request, all supporting documentary evidence, and the filing fee(s).[91] USCIS does not conduct a substantive review of the request or supporting evidence when assessing whether the request should be accepted or rejected, only that it meets minimum requirements for acceptance. Typically, a requestor can re-file a rejected request after correcting the filing deficiencies.
相反,如果某项申请被受理,USCIS将签发收据通知,存入申请费,并为该申请进行实质性审查(通常称为“裁决”)做准备。裁决程序还可能包括其他步骤,例如要求补充证据或对申请人进行面谈,并最终作出批准或拒绝该申请的最终决定。简言之,当USCIS认定提交材料不符合所有适用的受理标准时,该申请将被拒收,并退还给申请人;而申请通常只有在被USCIS受理并进行裁决之后,才会被拒绝。
Conversely, if a request is accepted, USCIS will issue a receipt notice, deposit the filing fee, and prepare the request for a substantive review (generally called adjudication). The adjudication process may also include additional steps, such as requesting more evidence or interviewing the requestor, and ultimately, issuing a final determination approving or denying the request. In short, a request is rejected when USCIS determines the submission does not comply with all applicable acceptance criteria and returns the request to the requestor, while a request is generally denied only after it is accepted and adjudicated by USCIS.
消除了USCIS员工像目前纸质申请所要求的那样对申请材料进行人工审查以发现缺陷的必要性,从而使USCIS的系统效率大为提高。尽管引导式在线申请流程必然不同于填写纸质表格,但通过引导式在线申请提交的表格通常从申请人处收集与纸质提交相同的信息,并符合纸质提交所采用的拒收标准。继续使用纸质申请方式(在电子申请可用之前,或在寻求电子申请要求豁免的情况下)的申请人,只有在受理、审查和退回被拒申请材料之后,才能知道其申请被拒。如果申请人试图通过引导式在线申请界面向USCIS提交一份应被拒收的申请,该申请平台将阻止申请人提交该申请,并指出阻止提交的数据字段或数据要素。使用引导式在线申请界面的申请人能够立即知晓其申请在提交之前是否需要补充数据或证据。在其USCIS在线账户中上传PDF文件的申请人,会在提交受理并经现行业务规则处理后收到拒收通知,该通知以电子拒收通知的形式发布在其在线账户中,同时以邮寄方式发出纸质拒收通知。
Eliminating the need for a USCIS employee to physically review a filing for deficiencies as currently required for paper filings results in a much more efficient system for USCIS. Although the guided online filing process is necessarily different from completing a paper form, forms submitted via guided online filing generally collect the same information from requestors and match the rejection criteria utilized for paper submissions. Requestors who continue to use the paper filing option (until e-filing becomes available or by seeking a waiver of the e-filing requirement) only know their filing is rejected after intake, review, and return of the rejected submission. If a requestor attempts to submit a rejectable filing to USCIS through the guided online filing interface, the filing platform will prevent the requestor from submitting the request and identify the data field(s) or data element(s) preventing submission. Requestors who utilize the guided online filing interface know instantaneously if their filing needs additional data or evidence before it can be submitted. Requestors who upload a PDF within their USCIS online account are notified of a rejection after submission intake and processing through existing business rules by an electronic rejection notice posted in their online account and a physical rejection notice issued through the mail.
为与遵循表格说明中有关签名和所需数据要素的要求保持一致,国土安全部(DHS)正在对8 CFR 103.2(a)(1)(i)作出程序性和技术性修订,以更通俗的语言重申申请须按照表格说明的要求予以完成。USCIS确保表格说明与法定及法规标准保持一致。以此方式澄清法规文本不会改变表格说明的效力,也不会导致被拒收的申请数量增多或减少。
Consistent with the requirements to follow form instructions regarding signatures and required data elements, DHS is making procedural and technical amendments to 8 CFR 103.2(a)(1)(i) restating in plainer language that requests must be completed as required by form instructions. USCIS ensures that form instructions are consistent with statutory and regulatory criteria. Clarifying the regulatory text in this manner will not change the effect of form instructions or result in fewer or more requests being rejected.
3. 签名
3. Signature
如前所述,《政府文书电子化法》(GPEA)一般要求联邦机构向公众提供使用电子表格、电子申请和电子提交方式办理机构事务的选项。《美国公法》第105-277号,《美国法规大全》第112卷第2681-750页,第1704条。GPEA还确立了电子签名使用与采纳的方式。
As stated earlier, GPEA generally directs Federal agencies to provide the option to use electronic forms, electronic filing, and electronic submissions to conduct agency business with the public. Public Law 105-277, 112 Stat. 2681-750, sec. 1704. GPEA also establishes the means for the use and acceptance of electronic signatures.
GPEA将电子签名定义为“一种对电子信息进行签署的方法,该方法能够识别并认证某特定人员作为电子信息来源,并表明该人员对电子信息中所含内容的认可”。同上,第1710条。该法还补充规定:“依照此类程序使用的电子签名或其他形式的电子认证,不得因相关记录为电子形式而被否定其法律效力、有效性或可执行性。”同上,第1707条。因此,GPEA一般要求各机构使申请人能够以与纸质文件上手写签名具有同等法律效力的方式对已完成的表格进行电子签署。
GPEA defines an electronic signature as “a method of signing an electronic message that identifies and authenticates a particular person as the source of the electronic message and indicates such person's approval of the information contained in the electronic message.” Id at sec. 1710. It adds that “electronic signatures or other forms of electronic authentication used in accordance with such procedures shall not be denied legal effect, validity, or enforceability because such records are in electronic form.” Id at sec. 1707. GPEA therefore generally directs agencies to enable requestors to sign completed forms electronically with the same legal force as a handwritten signature on paper.
目前在线签署福利申请的流程是通过签署人的在线账户完成的。用户进入电子表格的签名部分后,会看到与同一表格纸质版本相同的声明或证明语言。系统会向其展示一个勾选框,供其确认接受并理解该语言内容,同时授权USCIS使用福利申请、辅助文件及USCIS其他记录中所提供的数据,以确定申请人获得该项福利的资格,并执行和实施美国移民法。用户在签名框中键入姓名后,通过点击屏幕上随后出现的按钮,表明其提交已签署文件的意图。如果在提交之前,用户选择返回并更改表格上的信息,则须在表格可以提交之前重新完成签名流程。在表格提交之时,电子签名与账户信息会与日期和时间戳一并合并记录。
The current process for signing a benefit request online occurs through the signer's online account. Once users reach the signature portion of the electronic form, they are presented with the declaration or certification language identical to the paper version of the same form. They are presented with a check box to acknowledge acceptance and understanding of the language, as well as to grant authorization for USCIS to use the data provided in the benefit request, supporting documents, and other USCIS records to determine the requestor's eligibility for the benefit and to administer and enforce U.S. immigration law. After typing their name in the signature box, users represent their intent to file the signed document by clicking a subsequent button presented on the screen. If, prior to submission, a user chooses to go back and change information on the form, they will be required to complete the signature process again before the form can be submitted. At the time the form is submitted, the electronic signature and the account information are combined with a date and time stamp.
在在线提交申请的情况下,根据表格说明的许可,利益申请上的签名可以采用电子格式。见8 CFR 103.2(a)(2)。美国公民及移民服务局(USCIS)不允许在在线账户之外使用签名软件程序在纸质表格上加签,因为这种签名形式与通过USCIS在线账户收集的签名不同,无法对申请人作为签署人的身份进行验证。[92] 鉴于持续推进可电子提交的表格数量增加,且国土安全部(DHS)正逐步减少邮寄申请的方式,国土安全部已决定不将资源用于修改有关使用签名程序在纸质文件上签名的规定。
A signature on a benefit request may be in an electronic format when the request is filed online, as permitted by the instructions to the form. 8 CFR 103.2(a)(2). USCIS does not permit signatures affixed to a paper form using a signature software program outside of an online account because this form of signature, unlike signatures collected through the USCIS online account, does not authenticate the requestor as the signatory.[92] Considering the continued efforts to increase the number of forms available for e-filing, and that DHS is moving away from filings by mail, DHS has decided to not expend resources to change its rules regarding signing paper using signature programs.
USCIS仅接受用于电子申请的电子签名,因为此类签名是在验证签署人身份的安全账户内完成的。USCIS的电子申请方式,包括PDF上传,其设计目标是便于访问、填写、准确性和提交。与使用软件程序在纸质表格上签名相比,电子申请方式具有多项优势,包括能够通过单一工作流程对提交给USCIS的利益申请进行电子签署和提交(第51941页),通过符合法律要求的机构解决方案进行签名采集和留存,以及通过USCIS在线账户进行身份验证管理,因此USCIS将继续致力于减少纸质申请。
USCIS only accepts electronic signatures for e-filing because the signatures occur within a secure account verifying the identity of the signer. USCIS e-filing options, including PDF upload, are designed with the goal of ease of access, completion, accuracy, and submission. E-filing options offer multiple advantages compared to being able to sign a paper form using a software program, including the ability to electronically sign and submit a benefit request submitted to USCIS ( printed page 51941) through a single workflow, signature capture and retention through a legally compliant agency solution, and identity verification managed through the USCIS online account, so USCIS will continue to focus its efforts on reducing paper filings.
4. 支持性文件
4. Supporting Documents
除正确填写的表格和申请费用外,大多数利益申请还要求申请人随申请提交某些支持性文件,称为所需初始证据。见8 CFR 103.2(b)(8)(ii)。所需初始证据取决于所申请的具体利益种类,但可能包括公民身份证明文件、出生证明复印件,或家庭关系证明文件,例如配偶关系、兄弟姐妹关系或法定监护关系的证明。通过邮寄方式申请时,申请人通常需要复印支持性证据,并将所有纸质副本与填写完整的所需表格一并邮寄。而在电子申请时,申请人则以电子或数字格式提交支持性证据和文件,并使用其在线账户从任何设备(包括平板电脑和智能手机)将文件上传至案件中。[93]
In addition to the properly completed form and filing fees, most benefit requests require the requestor to submit certain supporting documentation with their filing, referred to as required initial evidence. 8 CFR 103.2(b)(8)(ii). The required initial evidence is dependent on the benefit being requested, but may include documentation of citizenship, a copy of a birth certificate, or documentation of a domestic relationship, such as spousal, sibling, or legal guardianship. When filing by mail, requestors generally photocopy supporting evidence and mail all paper copies together with the completed required form. When e-filing, requestors instead submit supporting evidence and documentation in either electronic or digital format and upload to the case using their online account from any device, including tablets and smartphones.[93]
对于拥有智能手机的申请人而言,这是一种便利,因为照片可以轻松通过电子邮件发送或传输。此外,部分类型的支持性证据本身可能已以数字原生格式存在,例如学校记录和家庭账单。对于没有智能手机或支持性文件较多的申请人,大多数具有复印功能的设备通常也可以扫描文件。[94] 例如,以前必须前往图书馆复印文件的个人,现在可以改为在图书馆扫描文件。几乎所有图书馆都会协助读者使用数字平台并填写政府表格。[95]
For those with access to a smartphone, this represents a convenience since photos can easily be emailed or transferred. Additionally, some types of supporting evidence may exist in a native digital format, such as school records and household bills. For those without access to a smartphone or with more voluminous supporting paperwork, most machines with photocopying capability can generally scan documents.[94] For example, an individual who previously had to go to a library to copy a document could potentially scan the document at the library instead. Nearly all libraries assist patrons with using digital platforms and completing government forms.[95]
在上传文件时,系统会提示用户对图像进行分类。对证据进行分类有助于用户确保其申请中已提交所有所需的初始证据,并在某些必需证据似乎缺失时发出提醒。此外,在受理时对证据进行分类,也使裁决过程中的审查更加高效;裁决人员可以直接跳转至需要审查的具体文件,而无需翻阅成堆的纸质文件或包含全部证据的一个庞大数字文件。
When uploading a document, users are prompted to categorize the image. Categorizing evidence helps users ensure they have submitted all required initial evidence with their filing by alerting them when certain required evidence appears to be missing. Additionally, categorizing evidence at intake presents more efficient review options during the adjudication process; adjudicators can proceed straight to the document they must review, rather than flipping through a pile of paper or one large digital file of all evidence.
国土安全部(DHS)不会改变现行要求,即申请人必须提交任何非英文支持性文件的英文译本,并附上译者出具的证明,证明译文完整准确且该译者具备将该外语译为英语的能力。见8 CFR 103.2(b)(3)。国土安全部已探讨接受由自动翻译工具提供的文件译文的可能性,但已确定此类工具目前尚无法确保翻译达到国土安全部要求的充分准确性和可靠性。
DHS is not changing the requirement that requestors submit an English translation of any supporting document that is not in English, including a certification from the translator that the translation is complete and accurate and that he or she is competent to translate the foreign language into English. 8 CFR 103.2(b)(3). DHS has explored the acceptance of document translations provided by automated translation tools but has determined they do not currently ensure sufficient accuracy and reliability in the translation to meet DHS requirements.
5. 费用
5. Fees
每份申请必须随附所有规定的费用提交。8 CFR 103.2(a)(1)。通过电子方式提交申请时,美国公民及移民服务局(USCIS)要求与该申请相关的任何费用必须在线支付。[96] USCIS的在线系统目前与美国财政部财政服务局(Bureau of the Fiscal Service)的网络系统Pay.gov对接。97 Pay.gov用于向联邦政府机构进行安全的电子支付。所需费用总额由USCIS自动计算,个人可使用信用卡、借记卡、银行账户转账或位于美国境内的美国银行发行的预付卡以美元支付。
Each request must be filed with all required fees. 8 CFR 103.2(a)(1). When a request is e-filed, USCIS requires any fees associated with the request to be paid online.[96] The USCIS online system currently interfaces with the U.S. Department of the Treasury, Bureau of the Fiscal Service web-based system, Pay.gov.97 Pay.gov is used to make secure electronic payments to Federal Government agencies. Required fee totals are automatically computed by USCIS, and individuals can pay in U.S. dollars using a credit card, debit card, bank account withdrawal, or prepaid card from a U.S. bank located in the United States.
通过Pay.gov在线支付的款项几乎可以立即进行统计和核实,而纸质表格则需要通过耗时较长的流程处理信用卡或自动清算所(ACH)交易表格,要求USCIS输入、核实并结清支付工具。对于以纸质方式提交的申请,申请人须根据G-1055表《收费标准》[98]自行计算总费用,并附上ACH或信用卡授权表格。若纸质申请以信用卡方式缴纳申请费,申请人须提交G-1450表《信用卡交易授权书》以提供信用卡信息。若纸质申请以ACH方式缴纳申请费,申请人须提交G-1650表《ACH交易授权书》以提供银行账户信息。
While payments made online through Pay.gov are tabulated and verified nearly immediately, paper forms require the processing of credit card or automated clearing house (ACH) transaction forms through a time-intensive process requiring USCIS to input, verify, and clear the payment instruments. For requests submitted on paper, requestors are required to tabulate the total fee themselves according to the Form G-1055, Fee Schedule,[98] and include an ACH or credit card authorization form. Paying a filing fee by credit card for a paper request requires individuals to submit Form G-1450, Authorization for Credit Card Transactions, to provide their credit card information. Paying a filing fee by ACH for a paper request requires requestors to submit Form G-1650, Authorization for ACH Transactions, to provide their bank account information.
2025年10月,USCIS开始要求申请人通过自动清算所(ACH)或信用卡支付方式缴纳申请费。[99] 截至2025年12月27日,超过96%的申请人以电子方式缴纳了申请费。[100] 然而,鉴于许多USCIS申请仍以纸质形式提交,电子支付只能通过申请人随福利申请一并提交USCIS G-1450表或G-1650表来实现。信箱(Lockbox)工作人员随后必须手动将信息录入支付系统。
In October 2025, USCIS began requiring requestors to pay filing fees through either an Automated Clearing House (ACH) or credit card payment.[99] By December 27, 2025, over 96 percent of requestors paid their filing fees by electronic means.[100] However, given the paper-based nature of many USCIS filings, the electronic payment can only be effectuated by having the requestor include USCIS Form G-1450 or Form G-1650 with the benefit request. Lockbox employees must then manually enter the information into the payment system.
这种方式效率低下,因为它要求申请人将其费用信息誊写到表格或支付工具上,然后要求USCIS将该信息手动录入财政部的支付系统。表格填写错误或支付处理过程中出现错误,均可能导致申请被退回。相比之下,电子提交的福利申请无需使用纸质表格即可完成电子支付。申请人可以直接在线支付。USCIS利用在线系统计算所提交福利申请的正确费用,从而减少因费用错误而被退回的情况,因为在线系统会根据申请人的具体情况预先确定正确的金额。在2025财年USCIS退回的一百万份纸质提交的福利申请中,约25%完全是由于费用问题所致,包括申请人提供的费用金额不正确。[101] 此外,在线以信用卡或银行转账方式支付只需输入一次支付信息,从而减少誊写错误的可能性。它还能在所提供信息出现错误时立即向用户发出通知。申请人可以实时更正错误并立即重新提交信息。随着越来越多的福利申请在线提交,这将释放出USCIS目前用于处理支付事务的资源。
This system is inefficient as it requires requestors to transcribe their fee information onto the form or payment instrument and then requires USCIS to manually enter the information into the Department of the Treasury's system for payment. Errors on the form or in a payment being processed could result in the request being rejected. E-filed benefit requests, conversely, do not require a paper-based form to permit an electronic payment. Rather, the requestor can make their payment directly online. USCIS uses the online system to calculate the correct fees for the benefit requests being submitted, which limits rejections for an incorrect fee as the online system pre-determines the correct amount based on the requestor's specific circumstance. Of the one million paper-filed benefit requests USCIS rejected in FY 2025, approximately 25 percent were solely due to a fee issue, including the requestor providing the incorrect fee.[101] Additionally, paying online with a credit card or bank withdrawal requires entering the payment information one time, reducing the chance of transcription errors. It also provides the user with immediate notification if there is an error with the information provided. A requestor can correct errors in real time and resubmit the information immediately. As more benefit requests are filed online, it will free up USCIS resources currently used for processing payments.
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六、收据与完整性
6. Receipts and Completeness
通过引导式在线提交方式提交福利申请,可使用户立即获得其申请已被USCIS收到的确认。申请人必须完成电子表格、提供有效的电子签名并缴纳规定费用,方可提交电子福利申请。[102] 提交后,USCIS将该案件标记为已受理,并在申请人账户中分配一个收据编号。[103] 正确完成申请提交的申请人将立即收到通知,确认其提交已被收到并成功录入USCIS系统。通过PDFi提交表格的申请人,一旦其申请被受理且申请费完成交易,将收到邮寄通知。[104] 福利申请一经收到,USCIS将把在线提交的实际收到之日记录为收据日期。8 CFR 103.2(a)(7)(i)。
Submitting benefit requests via guided online filing provides users with immediate confirmation their request has been received by USCIS. A requestor cannot submit an electronic benefit request until the requestor completes the electronic form, provides a valid electronic signature, and pays the required fee.[102] Once submitted, USCIS labels the case accepted and assigns a receipt number in the requestor's account.[103] Those who properly complete a request are immediately notified that their submission has been received and successfully ingested into USCIS systems. Requestors submitting a form through PDFi will receive a mailed notification [104] once the filing is accepted and the filing fee is transacted. Once a benefit request is received, USCIS will record the receipt date as the actual date of receipt of the online submission. 8 CFR 103.2(a)(7)(i).
持纸质申请在美国公民及移民服务局(USCIS)锁箱机构提交申请的申请人可以附上G-1145表,《申请/请愿接受电子通知》,以请求USCIS在表格被受理后发送电子邮件或短信通知。当纸质申请人附上此表格时,USCIS将确认收据号码,并指导申请人如何获取最新的案件状态信息,通常是通过在线系统进行查询。参见G-1145表说明。USCIS不会重新发送任何无法送达的电子通知,并仍将在申请被受理后10天内向申请人及其律师或经认可的代表邮寄纸质收据通知。此流程对申请人和USCIS而言都较为繁琐,且无法提供与USCIS在线系统相同的即时通知效果。
A requestor filing on paper with a USCIS Lockbox facility can include Form G-1145, E-Notification of Application/Petition Acceptance, to request USCIS to send an email or text message once the form is accepted. When a paper filer includes this form, USCIS will identify the receipt number and instruct the requestor how to get updated case status information, typically by checking in the online system. See Form G-1145 Instructions. USCIS does not re-send any undeliverable e-notifications and still mails a physical receipt notice to the requestor and his or her attorney or accredited representative within 10 days of the request's acceptance. This process is burdensome on both the requestor and USCIS and does not provide the same immediate notification as the USCIS online system.
7. 无障碍性
7. Accessibility
美国国土安全部(DHS)认为,允许USCIS强制实行电子申请不会在有意义的程度上限制公众获得USCIS所管理项目的机会。随着技术应用日益普及,与电子申请相关的无障碍性和数字素养障碍正在缩小。有关美国互联网使用情况的调查结果因调查而异,但一致的结果表明互联网使用非常普遍,且呈现出随时间稳步增长的趋势。DHS在以下各节中描述了其对电子申请强制要求对受影响公众特定群体所产生影响的分析。DHS将其无障碍性分析重点放在美国境内,因为USCIS的申请人群体通常居住在美国境内。除少数例外情形外,大多数在美国境外寻求移民福利的个人向美国国务院提出申请,受本规则的影响极小。在2025财政年度,USCIS收到的申请总量中有0.4%来自美国境外。[105]
DHS believes allowing USCIS to mandate e-filing will not restrict the public's access to the programs administered by USCIS to a meaningful extent. As the adoption of technology becomes increasingly widespread, the hurdle of accessibility and digital literacy associated with e-filing shrinks. Measures of internet usage in the United States vary by survey, but the consistent result is that internet usage is pervasive and trends show a steady increase over time. DHS describes its analysis of the effect of an e-filing mandate on the specific sectors of the affected public in the following sections. DHS focused its accessibility analysis on the United States as USCIS filing populations are generally residing in the United States. With limited exceptions, most individuals seeking immigration benefits from outside the United States file with the Department of State and will be minimally impacted by this rule. In FY 2025, USCIS received 0.4 percent of its total receipts from outside the United States.[105]
a. 个人
a. Individuals
美国社区调查(ACS)显示,在2021年的所有家庭中,95%的家庭至少拥有一种类型的计算机,90%的家庭拥有宽带互联网订阅。[106] 这一数字随时间增长,从2013年74%的家庭订阅任何类型的互联网,增长到2021年的90%。[107] 按受访者年龄对最新数据进行细分,同样显示出家庭互联网使用的普遍性和发展趋势。如表7所示,15至64岁之间的受访者中,近90%生活在使用互联网的家庭中。
The American Community Survey (ACS) indicates that among all households in 2021, 95 percent had at least one type of computer and 90 percent had a broadband internet subscription.[106] This number has increased over time, from 74 percent subscribed to any type of internet in 2013 to 90 percent in 2021.[107] Breaking down the most recent data by age of respondent similarly demonstrates the prevalence and progression of household internet use. As Table 7 shows, nearly 90 percent of respondents between the ages of 15 and 64 live in a household where the internet is used.
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智能手机、平板电脑及其他移动和手持设备的日益普及,扩大了互联网在日常生活中的覆盖范围,并提供了访问互联网和进行电子互动的替代方式。11%的家庭仅通过智能手机或其他移动设备的蜂窝数据套餐访问互联网。[109] 这些个人不一定需要互联网服务提供商提供的互联网订阅即可亲自访问互联网。除移动互联网服务外,移动设备还为从公共场所访问互联网提供了额外的选择。正如后续章节所述,越来越多的公共场所提供免费Wi-Fi,几乎所有公共图书馆均是如此。
The increasing prevalence of smartphones, tablets, and other mobile and handheld devices has expanded the reach of the internet in daily life and provided alternative methods for accessing the internet and interacting electronically. Eleven percent of households accessed the internet only through a cellular data plan for a smartphone or other mobile device.[109] These individuals do not necessarily need an internet subscription from an internet service provider to be able to access the internet personally. In addition to mobile internet service, mobile devices provide additional options for accessing the internet from public spaces. As discussed in later sections, an increasing number of public places offer free Wi-Fi, including nearly all public libraries.
对许多人而言,移动设备已超越了单纯的网页浏览功能,成为日常生活中不可或缺的工具,从移动银行业务到家用电器的操作,无所不包。USCIS网站,包括表格的获取途径,以及myUSCIS均可供用户通过移动设备访问。[110] 即使是最基本的移动设备,也是具备多种功能的机器,能够完成曾经需要使用单独工具才能完成的任务,例如运行数字应用程序、拍照、发送和接收数字文件及信息、对数字文件进行截图或复制,以及扫描纸质文件。当按年龄汇总这些数据时,这些手持技术的普及程度,尤其是在劳动年龄成年人中的普及程度,表现得更为显著。如表8所示,2023年,15至64岁之间的个人中,超过80%报告使用了具备互联网功能的移动电话。
For many, mobile devices have moved beyond internet browsing to become essential tools of daily life, facilitating everything from mobile banking to the operation of household appliances. The USCIS website, including access to forms, and myUSCIS are accessible to users on mobile devices.[110] Even the most basic mobile devices are multi-functional machines capable of completing tasks, which once required separate tools, such as running digital applications, taking photographs, sending and receiving digital files and messages, screenshotting or copying digital documents, and scanning paper documents. The pervasiveness of these handheld technologies, particularly among working-age adults, becomes even starker when these data are aggregated by age. As shown in Table 8, over 80 percent of individuals between the ages of 15 and 64 reported internet-enabled mobile phone use in 2023.
美国国土安全部(DHS)认为,全国范围内的互联网可及性数据表明,大多数申请人将能够遵守电子申请要求。DHS并未掌握专门针对USCIS福利申请人的互联网可及性数据,并理解提交申请的特定人群可能具有使其遵守在线提交要求或多或少具有挑战性的特征。DHS承认,尽管互联网已相当普及,但仍存在不使用互联网的申请人,无论是出于费用、兴趣、可获得性还是数字素养方面的原因。尽管DHS预计这一群体将继续缩小,但DHS认识到,不使用互联网的申请人将受到强制电子申请福利申请要求的独特影响。在分析并仔细考虑这些影响之后,DHS认为电子申请在短期和长期方面带来的益处,足以证明这一有限群体可能承担的成本是合理的。此外,在USCIS决定是否对某一特定福利申请强制要求电子申请时,USCIS可以考虑被要求提交某一表格的人群特征,这可能使该人群更适合或更不适合电子申请。最后,正如本序言中所讨论的,DHS正在提供一项豁免程序,以减轻对那些遵守电子申请要求将构成不当困难的申请人造成的不利影响。[111]
DHS believes nationwide internet accessibility data indicate that most requestors will be able to comply with the e-filing requirements. DHS does not have internet accessibility data specific to USCIS benefit requestors and understands that particular populations submitting requests may have attributes making compliance with the online submission requirements more or less challenging. DHS acknowledges, despite the prevalence of the internet, there are still requestors who do not use the internet, whether because of expense, interest, availability, or digital literacy. Although DHS expects this population to continue to shrink, DHS recognizes that requestors who do not use the internet will be uniquely impacted by requiring the e-filing of benefit requests. After analyzing and carefully considering these impacts DHS believes the benefits of e-filing, both immediate and long-term, justify the costs this limited population may incur. In addition, as USCIS decides whether to mandate e-filing of a particular benefit request, USCIS may consider the characteristics of the population required to file a given form, which may make it more or less amenable to e-filing. Finally, as discussed in this preamble, DHS is providing a waiver process to mitigate adverse impacts to requestors for whom compliance with the e-filing requirements would be an undue hardship.[111]
b. 法律代理人
b. Legal Representatives
DHS还确定,当申请人获得合法代理时,本规则不会因缺乏互联网访问而妨碍其获得USCIS项目的机会。由律师或经认可代表协助提交申请的申请人必须提交I-28表格《律师或经认可代表出庭通知书》,或G-28I表格《在美国地理范围之外事务中律师出庭通知书》。对USCIS记录的审查显示,法律代理人提交的福利申请占32%。[112]
DHS has also determined this rule would not preclude access to USCIS programs due to no internet access when a requestor is legally represented. Requestors who file with the assistance of an attorney or accredited representative must file a Form G-28, Notice of Entry of Appearance as Attorney or Accredited Representative, or Form G-28I, Notice of Entry of Appearance as Attorney in Matters Outside the Geographical Confines of the United States. A review of USCIS records shows legal representatives submit 32 percent of benefit requests.[112]
律师和经认可代表在担任这些角色之前,都必须满足执照或认可资格要求。[113]这些人员的教育水平和收入,以及从事相关业务的需求,意味着他们很可能熟悉互联网及在线操作功能。法律代理人越来越多地被要求在各种情形下使用互联网。如本序言前文所述,美国移民事务执行办公室(EOIR)已要求移民律师和经认可代表在移民法院或移民上诉委员会(BIA)代理当事人之前必须在线注册。注册要求法律代理人上网创建一个带有用户ID和密码的账户。[114]这一法律代理人群体与受本规则影响的群体最为接近。(印刷页51944)
Both attorneys and accredited representatives have licensing or accreditation requirements they must satisfy before they are able to take on those roles.[113] The education and income of these individuals, as well as the demands of engaging in business, means they are likely to be familiar with the internet and online functionality. Increasingly, legal representatives are required to use the internet in a variety of situations. As noted previously in this preamble, EOIR already requires immigration attorneys and accredited representatives to register online before representing clients in Immigration Court or before the BIA. Registration requires the legal representative to go online and create an account with a user ID and password.[114] This population of legal representatives most closely ( printed page 51944) approximates the population affected by this rule.
律师在专业活动的各个领域,包括联邦和州法院系统,日益被要求在线提交文件。大多数联邦破产法院、地区法院和上诉法院都要求各方通过案件管理/电子案件归档(CM/ECF)系统在线提交与其案件相关的所有诉状。[115]此外,州法院也日益要求律师进行电子申请。[116]因此,DHS对移民从业人员互联网使用情况及能力的分析表明,被代理方不会因被要求在线提交特定USCIS福利申请而受到不利影响。
Attorneys are increasingly required to file documents online in various areas of the profession, including in Federal and State court systems. The majority of all Federal bankruptcy, district and appellate courts mandate parties file all pleadings associated with their case online in the Case Management/Electronic Case Filing (CM/ECF) system.[115] In addition, State courts are increasingly requiring attorneys to e-file documents.[116] Therefore, DHS analysis of the internet access use and capability of immigration practitioners indicates represented parties would not be prejudiced by being required to file a specific USCIS benefit request online.
c. 雇主
c. Employers
许多申请人并非个人,而是美国企业或法律实体。雇主可以代表外籍工人提交移民和非移民申请。[117]一些雇主已具备良好条件以遵守电子申请强制要求。如前几节所述,雇主已习惯于在各种情形下遵守电子申请要求。例如,申请H-1B签证者自2006年起即被要求在线向劳工部(DOL)提交劳动条件申请(LCA),仅有少数例外情形。参见71 FR 37801(2006年6月30日)。
Many requestors are not individuals but are U.S. businesses or legal entities. Employers may file both immigrant and nonimmigrant petitions on behalf of foreign workers.[117] Some employers are well-positioned to comply with the e-filing mandate. As noted in previous sections, employers are accustomed to e-filing requirements in a variety of settings. Those applying for H-1B visas, for example, have been required to file an LCA online with DOL since 2006, with few exceptions. 71 FR 37801 (June 30, 2006).
雇主被鼓励甚至被要求使用政府电子申请的途径日益增多。美国国税局(IRS)和社会保障局要求提交至少10份信息申报表的企业以电子方式提交W-2表格。[118]一些州同样要求部分或全部企业以电子方式申报税务。[119]
There are increasing avenues in which employers are encouraged, if not required, to use government e-filing. The IRS and Social Security Administration require businesses filing at least 10 information returns to e-file Forms W-2.[118] Some States similarly require some or all businesses to e-file taxes.[119]
d. 可获得的协助
d. Available Assistance
图书馆是获取互联网接入和数字素养的重要公共资源。2020年,美国共有9,025家公立图书馆。[120] 《2014-2015年数字包容调查》发现,当时美国98%的图书馆提供免费无线网络(Wi-Fi)和技术培训。此外,提供互联网热点和笔记本电脑外借服务的图书馆比例有所提高,截至2023年,总体上有46.9%的图书馆提供热点服务,24.8%的图书馆外借笔记本电脑。[121] 或许更为重要的是,该调查报告显示,2015年几乎所有图书馆都提供协助填写电子政府表格的服务。[122] 美国国土安全部(DHS)预计,家中没有个人互联网接入条件的个人至少能够在当地图书馆创建并访问其美国公民及移民服务局(USCIS)在线账户。图书馆还具有知识渊博的图书管理员这一优势,他们能够协助对技术的任何方面感到困惑的申请人。超过95%的公立图书馆还提供至少一种形式的数字素养培训。[123]
Libraries are important public resources for internet access and digital literacy. In 2020, there were 9,025 public libraries in the United States.[120] The Digital Inclusion Survey 2014-2015 found that 98 percent of libraries in the United States at that time offered free Wi-Fi and technology training. Further, the proportion of libraries circulating internet hotspots and laptops has increased with 46.9 percent of libraries overall offering hotspots and 24.8 percent circulating laptops as of 2023.[121] Perhaps more significantly, it reported that in 2015 nearly all libraries offered assistance in completing electronic government forms.[122] DHS expects individuals who do not have personal access to the internet at home will be able, at a minimum, to create and access their USCIS online accounts at local libraries. Libraries also provide the advantage of knowledgeable librarians who can assist filers confused by any aspects of the technology. Over 95 percent of public libraries also provide at least one type of digital literacy training.[123]
数字化进步的重要性已在政府及其他层面得到认可,并由此催生了众多旨在改善可能较少获得此类条件的群体的接入水平的项目。自2009年以来,美国农业部(USDA)一直在实施多种项目,通过提供贷款和拨款来加强美国农村地区的高速宽带接入。这些项目包括社区连接拨款计划、远程学习与远程医疗拨款计划、农村宽带接入贷款及贷款担保计划,以及电信基础设施贷款及贷款担保计划。[124]
The importance of making digital advances has been recognized on governmental and other levels and has resulted in numerous programs dedicated to improving access for groups that may be less likely to have it. Since 2009, the U.S. Department of Agriculture (USDA) has run a variety of programs providing loans and grants to strengthen access to high-speed broadband for rural parts of the United States. These include Community Connect Grants, Distance Learning and Telemedicine Grants, Rural Broadband Access Loan and Loan Guarantee, and Telecommunications Infrastructure Loans and Loan Guarantees.[124]
2017年,第13790号行政命令宣布成立农业与农村繁荣跨部门工作组。82 FR 20237(2017年4月25日)。根据第13790号行政命令于2017年10月21日发布的报告强调了美国农村地区连接性的重要性,指出“可靠且负担得起的高速互联网连接将彻底改变美国农村地区,成为繁荣发展的关键催化剂。”[125] 该报告认识到数字连接至关重要,并在多个层面影响社会,从广泛的经济发展到劳动力的准备程度,再到个人的生活质量,无所不包。[126] 因此,报告将“实现美国农村地区的电子连接”列为“行动呼吁第一号”。[127] 报告指出,与大都市地区相比,农村地区目前与可靠高速互联网的连接程度仍然较低,使用率也低于城市地区。DHS指出,这些数据来自2014年,美国农业部社区连接拨款计划自那时以来极有可能已显著提高了高速互联网的接入水平。
In 2017, E.O. 13790 announced the creation of the Interagency Task Force on Agriculture and Rural Prosperity. 82 FR 20237 (Apr. 25, 2017). The report issued on October 21, 2017, pursuant to E.O. 13790, highlighted the importance of connectivity for rural United States, noting that “reliable and affordable high-speed internet connectivity will transform rural America as a key catalyst for prosperity.” [125] The report recognized digital connectivity is essential and impacts society on a variety of levels, affecting everything from wide-ranging economic development to the preparedness of the workforce to individuals' quality of life.[126] As a result, it lists “Achieving e-Connectivity for Rural America” as “Call to Action #1.” [127] The report notes rural areas remain less connected to reliable high-speed internet today than metropolitan areas and have lower usage rates compared with urban areas. DHS notes the data are from 2014, and the USDA Community Connect Grant Program has very likely increased high speed internet access levels significantly since then.
除上述美国农业部项目外,联邦通信委员会(FCC)还运营通用服务学校与图书馆计划,通常称为“电子费率计划”(E-Rate program),该计划有助于确保学校和图书馆能够以可负担的费率获得高速互联网接入。这项100亿美元(见印刷版第51945页)的通用服务基金由通用服务管理公司(USAC)管理,该公司是FCC指定的一家非营利机构。在FCC政策的指导下,USAC通过四个专门针对宽带和连接需求迫切地区的项目收取并发放资金。[128] 2022年,通用服务支出总额超过74亿美元。[129]
In addition to the USDA programs noted above, the Federal Communications Commission (FCC) operates the universal service schools and libraries program, commonly known as the E-Rate program, which helps ensure schools and libraries can obtain high-speed internet access at affordable rates. The $10 billion ( printed page 51945) Universal Service Fund is administered by the Universal Service Administrative Company (USAC), a nonprofit designated by the FCC. With the guidance of FCC policy, USAC collects and delivers funding through four programs focused specifically on places where broadband and connectivity needs are acute.[128] In 2022, universal service disbursements totaled over $7.4 billion.[129]
e. 《康复法案》合规情况
e. Rehabilitation Act Compliance
USCIS向强制电子申请的过渡以及本规则符合经修订的1973年《康复法案》第504条和第508条的要求,这些条款适用于联邦资助的项目和活动,以及对联邦政府所使用的电子和信息技术的无障碍获取。公法93-112,87 Stat. 355(1973年9月26日)(经修订后编入《美国法典》第29卷第794条、第798条)。USCIS的电子申请系统符合《康复法案》的要求,并且员工和公众均可无障碍使用。
The USCIS transition to mandatory e-filing and this rule comply with the requirements of sections 504 and 508 of the Rehabilitation Act of 1973, as amended, as they apply to federally funded programs and activities and access to electronic and information technology used by the Federal Government. Public Law 93-112, 87 Stat. 355 (Sept. 26, 1973) (codified as amended at 29 U.S.C. 794, 798). USCIS' e-filing system complies with the Rehabilitation Act and is accessible to employees and members of the public.
C. 电子申请要求的豁免
C. Waiver of e-Filing Requirement
本规则提供了一种程序,用于请求豁免电子申请要求。该豁免确保国土安全部(DHS)遵守《21世纪综合数字体验法》(21st Century IDEA Act)的规定,该法要求各行政机构保持一种无障碍的方法,以便通过现场、纸质或其他方式完成数字服务,从而使无法使用数字服务的个人不会被剥夺或阻碍获得这些数字服务的机会。见《公共法》第115-336号,第4(e)条,132 Stat. 5025, 5027(2018年12月20日)。
This rule provides a process to request a waiver of the e-filing requirement. This waiver ensures DHS complies with the 21st Century IDEA Act, which requires each executive agency to maintain an accessible method of completing digital services through in-person, paper-based, or other means, such that individuals without the ability to use digital services are not deprived of or impeded from access to those digital services. Public Law 115-336, sec. 4(e), 132 Stat. 5025, 5027 (Dec. 20, 2018).
本规则也符合2002年《电子政务法》(E-Government Act of 2002)的规定,该法要求:“在制定有关通过互联网提供政府信息和服务的政策并实施相关计划时,各机构负责人应考虑对无法访问互联网的人员的影响,并应在可行范围内:(1)确保不削弱无法访问互联网的个人获取政府信息和服务的能力;以及(2)探索替代的提供方式,使不拥有电脑或无法访问互联网的个人更易获得政府信息和服务。”见《公共法》第107-347号,第202(c)条,116 Stat. 2899(2002年12月17日)。
This rule is also consistent with the E-Government Act of 2002, which requires that, “When promulgating policies and implementing programs regarding the provision of Government information and services over the internet, agency heads shall consider the impact on persons without access to the internet, and shall, to the extent practicable—(1) ensure that the availability of Government information and services has not been diminished for individuals who lack access to the internet; and (2) pursue alternate modes of delivery that make Government information and services more accessible to individuals who do not own computers or lack access to the internet.” Public Law 107-347, sec. 202(c), 116 Stat. 2899 (Dec. 17, 2002).
尽管国土安全部认为大多数申请人能够遵守电子申请要求,但也理解目前互联网及相关技术的获取尚未普及。因此,国土安全部为无法以电子方式提交美国公民及移民服务局(USCIS)要求电子提交的福利申请的申请人提供了豁免申请程序。
While DHS believes most requestors could comply with an e-filing requirement, it is understood that access to the internet and relevant technology is not yet universal. Therefore, DHS is providing a waiver request process for requestors unable to e-file a benefit request USCIS requires to be e-filed.
一、获得豁免资格
1. Qualifying for a Waiver
申请人可以在提交纸质申请之前,通过提交I-936表格《电子申请要求豁免请求》来申请豁免电子申请要求。见8 CFR 103.2(a)(1)(iii)。USCIS将自行决定是否批准该豁免,并允许申请人无需使用所要求的电子申请方式提交其福利申请。国土安全部决定实施这一程序,以鼓励更多人参与电子申请,并使USCIS能够更清楚地了解预期的纸质申请数量,从而使USCIS能够合理分配资源并管理纸质申请所带来的运营负担。如果USCIS认定要求电子申请会给申请人造成不当困难,USCIS可自行决定对个别案件豁免电子申请的强制要求。
Requestors may seek a waiver of the e-filing requirement by submitting Form I-936, Request for Waiver of E-Filing Requirement, before submitting a paper filing. See8 CFR 103.2(a)(1)(iii). USCIS will determine, in its discretion, whether to approve the waiver and allow the requestor to submit his or her benefit request without using the required e-filing method. DHS has decided to implement this process to encourage greater participation in e-filing and provide USCIS with increased visibility into the expected amount of paper filings so USCIS can properly allocate resources and manage the operational burden of paper filings. USCIS may exercise its discretion to waive the e-filing mandate for individual cases if USCIS determines requiring e-filing would cause the requestor undue hardship.
申请人必须说明提出豁免请求的理由。在评估是否应批准豁免时,USCIS将考虑申请人提供的所有相关证据,例如有关地理位置、社会经济状况以及公共技术资源可用性的信息。如果申请人个人无法访问互联网,申请人必须说明为何无法通过其他途径访问互联网(例如通过公共图书馆、社区中心、朋友或家人)。通常情况下,仅凭不熟悉USCIS的电子申请系统或没有在线账户,不足以证明申请人符合豁免资格,特别是如前文所述,公共图书馆为读者提供互联网访问服务,并且通常提供数字素养培训。
The requestor must demonstrate the reason for the waiver request. In assessing whether a waiver is warranted, USCIS will consider all relevant evidence the requestor provided, such as information concerning geographical location, socioeconomic conditions, and the availability of public technology resources. If the requestor does not have personal access to the internet, the requestor must explain why he or she cannot find other ways to access the internet (for example, through public libraries, community centers, friends, or family). Being unfamiliar with the USCIS e-filing system or not having an online account will generally not be enough to establish a requestor qualifies for a waiver, particularly because as discussed previously in this preamble, public libraries provide patrons access to the internet and often offer digital literacy training.
任何个人或实体均可提交豁免请求。但是,国土安全部预计某些群体通常不符合豁免资格,例如拥有法律代理人的申请人以及作为商业实体(而非个人)的申请人。如前文所述,对于有律师代理的当事人,或必须记录其向外籍雇员支付工资能力的商业实体而言,访问互联网不应成为问题或负担。[130]尽管如此,USCIS将对每一项豁免请求进行逐案评估,并考虑相关情况是否足以支持豁免电子申请要求。
Any person or entity may submit a waiver request. However, DHS expects certain groups will generally not be eligible for a waiver, such as requestors who have legal representation and requestors who are business entities (as opposed to individuals). As explained earlier in this preamble, access to the internet should not be a problem and expense for parties represented by counsel, or a business entity that must document its ability to pay wages to a foreign national employee.[130] Nevertheless, USCIS will evaluate each request for a waiver on a case-by-case basis and consider if the circumstances justify a waiver of the e-filing requirement.
此前已通过电子方式提交过福利申请的个人,仍可提交I-936表格,为今后的福利申请请求豁免电子申请要求。该个人过去能够进行电子申请的事实将作为确定是否应予豁免的考量因素之一。然而,国土安全部认识到情况可能发生变化。USCIS将根据每份豁免请求本身的具体情况进行评估。
An individual who has previously e-filed a benefit request can still submit Form I-936 requesting a waiver of the e-filing requirement for a future benefit request. The individual's ability to e-file in the past would be considered as a factor in determining whether a waiver is warranted. However, DHS recognizes circumstances can change. USCIS will evaluate each waiver request on its own merits.
二、提交豁免请求
2. Submitting a Waiver Request
申请人如欲请求豁免电子提交要求,必须首先提交I-936表,《豁免电子提交要求请求表》,并缴纳相应的费用。申请人必须提供证明文件,以证实其无法遵守电子提交要求的原因。[131] 美国公民及移民服务局(USCIS)在其网站上提供各类表格。[132] 有关如何填写和提交豁免请求的信息,包括提交邮寄地址,均载于表格说明中。[133]
A requestor seeking a waiver of the e-filing requirements must first submit Form I-936, Request for Waiver of E-Filing Requirement, with the appropriate fee. Requestors must provide supporting documentation to demonstrate the reason they are unable to comply with the e-filing requirement.[131] USCIS makes its forms available on its website.[132] Information on how to complete and submit the waiver request, including themailing address for submission, are included in the form instructions.[133]
I-936表要求豁免申请人注明其希望以纸质方式提交的具体福利申请表格。[134] 申请人必须提供证明文件,以证实其无法遵守电子提交要求的原因。[135] 如果USCIS确定应予豁免,将向申请人邮寄一份纸质豁免批准通知书,同时邮寄申请人在I-936表中所列表格的纸质版本,以及提交该福利申请的正确地址。豁免批准通知书自签发之日起30日内对新提交的申请有效。[136] 因此,USCIS必须在签发豁免批准通知书之日起(见第51946页)33个日历日内收到基于该豁免批准通知书提交的任何纸质表格。[137] 国土安全部(DHS)认为,30天的有效期有助于确保电子提交要求的豁免仅在确有必要时使用,同时也为获得豁免者提交纸质表格留出充足时间。
Form I-936 requires waiver requestors to indicate the specific benefit request form they wish to file via paper.[134] Requestors must provide supporting documentation to demonstrate the reason they are unable to comply with the e-filing requirement.[135] If USCIS determines a waiver is warranted, it would mail a paper waiver approval notice to the requestor, as well as a paper version of the form the requestor lists on the Form I-936 and the appropriate address to submit the benefit request. A waiver approval notice will be valid for 30 days from its date of issue for new filings.[136] Thus, USCIS must receive any paper form submitted based on a given waiver approval notice within 33 calendar days from the day USCIS issued the waiver ( printed page 51946) approval notice.[137] DHS believes the 30-day validity period will help ensure waivers of the e-filing requirements are used only when truly necessary, while at the same time allowing enough time for those granted waivers to submit paper forms.
每份豁免请求表只能包含一份表格,这意味着申请人必须针对其希望以纸质方式提交的每一项福利申请分别提交一份I-936表。申请人通常应仅就其打算在豁免批准后30天内提交的福利申请提交I-936表,并针对可能同时或在同一30天期限内提交的任何其他表格另行提交I-936表。[138] 如果申请人提交多份I-936表,请求豁免可能同时提交的表格,且USCIS批准其中一项豁免,USCIS通常会批准另外提交的I-936表的豁免。但是,在某些情况下,USCIS可能仅批准部分表格的豁免请求。如果申请人无法合理且善意地在豁免批准后30天内提交其所申请I-936表所涉及的全部表格,USCIS可能不会批准一并收到的全部I-936表。例如,申请人同时提交一份针对I-589表(《庇护及暂缓遣返申请表》)的I-936表和一份针对I-765表(《工作许可申请表》)的I-936表,很可能仅会审理I-589表的豁免请求,因为同一人提交的I-765表在I-589表待决满150天之前不得提交。见8 CFR 274a.12(c)(8);8 CFR 208.7(a)(1)。
An individual may only include one form in a single waiver request form, meaning requestors must submit a separate Form I-936 for each benefit request they are seeking to file by paper. Requestors should generally only submit Form I-936 for the benefit request they intend to submit within 30 days of waiver approval and include a separate Form I-936 for any additional forms they may file concurrently or within the same 30-day period.[138] If a requestor includes multiple Forms I-936 seeking a waiver of forms that may be filed concurrently and USCIS grants one waiver, USCIS will generally approve a waiver for the additionally submitted Forms I-936. However, there may be instances in which USCIS approves a waiver request for only certain forms. USCIS may not approve all Forms I-936 received together if the requestor could not reasonably and in good faith submit all of the forms for which a Form I-936 is submitted within 30 days of a waiver approval. For example, a requestor concurrently submitting a Form I-936 for Form I-589, Application for Asylum and for Withholding of Removal, and a Form I-936 for Form I-765, Application for Employment Authorization, would likely result in only the Form I-589 waiver request being considered because Form I-765 cannot be filed by the same person until the Form I-589 has been pending at least 150 days. 8 CFR 274a.12(c)(8); 8 CFR 208.7(a)(1).
此外,每位寻求豁免电子提交要求的个人均须自行取得其本人的豁免批准通知书。DHS曾考虑允许在福利申请将同时提交且其中一项依附于另一项的情况下,由一份I-936表涵盖多名申请人,例如子女的I-485表(《调整身份或登记永久居留申请表》)与父母的I-485表一并提交,或申请人提交的I-485表所依据的基础I-130表(《外国亲属申请表》)由提出申请的家庭成员提交的情形。然而,这种做法不必要地增加了复杂性,并给豁免程序带来额外挑战。例如,USCIS将不得不把一人的豁免批准与另一人随后提交的申请相关联。USCIS注意到,两项不同但有时相关的纸质申请的审理,可能由不同的USCIS办公室处理。要求每项申请均须单独提交豁免请求,可确保USCIS能够根据经批准豁免所收到申请的预期数量,合理分配资源。
Additionally, each individual seeking a waiver of the e-filing requirement will be required to obtain his or her own waiver approval notice. DHS considered allowing one Form I-936 to be submitted for more than one requestor if the benefit requests would be filed simultaneously and one is dependent on the other, such as Form I-485, Application to Register Permanent Residence or Adjust Status, of a child filed with Form I-485 of a parent or a Form I-485 filed by a requestor with an underlying Form I-130, Petition for Alien Relative, filed by a petitioning family member. However, this approach is unnecessarily complex and introduces additional challenges into the waiver process. For instance, USCIS would have to associate one person's waiver approval with another person's subsequent filing. USCIS notes the possibility that two different, though sometimes related, adjudications of paper requests may be handled at different USCIS offices. Requiring a waiver request for each filing ensures USCIS can properly allocate resources to the expected volume of filings received through an approved waiver.
要求提交单独的豁免申请,还将使美国公民及移民服务局(USCIS)能够更好地追踪在电子申请方面遇到困难的人群,并了解该人群无法或不愿采用电子申请的原因。虽然允许将受抚养人的申请纳入同一豁免批准中会在豁免阶段为申请人提供便利和效率,但这可能会与本规则旨在实现的USCIS运营或效率目标相悖,因为本规则意在预测纸质申请的接收数量,并确保每份以纸质方式收到的申请均附有相关的豁免批准,原因在于受抚养人并不总是需要与主申请人同时提交其申请。例如,有条件永久居民的子女可能需要就解除条件自行提交申请,其申请窗口期可能与其父母不同。[139]
Requiring separate waiver requests will further allow USCIS to better track populations encountering difficulty with e-filing and understand why the population is unable or unwilling to adopt e-filing. While allowing dependent filings to be included in the same waiver approval would provide convenience and efficiencies to the requestor at the waiver stage, it may counter the operations or efficiencies of USCIS this rule intends to accomplish in anticipating receipt volume of paper filings and ensuring each filing received on paper includes an associated waiver approval since dependents may not always be required to submit their application at the same time as the principal applicant. For example, a child of a conditional permanent resident may have to file his or her own petition to remove conditions and may have a different filing window than his or her parent.[139]
3. 豁免电子申请要求所需缴纳的费用
3. Fee Required To Waive e-Filing Requirement
国土安全部(DHS)正在设立电子申请豁免请求的费用。新增8 CFR 106.2(a)(64)条。《移民与国籍法》(INA)授权国土安全部设定裁决和入籍服务的费用,以确保全额收回提供所有此类服务的成本。INA第286(m)条,8 U.S.C. 1356(m)。从提交福利申请的个人和实体收取的费用存入移民审查费账户(IEFA),用于资助处理福利申请的成本。参见89 FR 6194, 6195(2023年1月4日)。此外,国土安全部遵守1990年《首席财务官法案》(31 U.S.C. 901-03,简称CFO法案)及行政管理和预算局(OMB)A-25号通告的要求和原则。USCIS每两年审查一次存入IEFA的表格费用,如有必要,会提出调整建议,以确保收回向申请人提供充分服务、满足国家安全和公共安全要求以及实现裁决处理要求所需的成本。USCIS使用预测的申请量数据和完成率(即裁决某项移民福利申请所需的平均时间)来设定特定移民福利申请的费用。
DHS is establishing a fee for an e-filing waiver request. New 8 CFR 106.2(a)(64). The INA authorizes DHS to set fees for providing adjudication and naturalization services at a level to ensure recovery of the full costs of providing all such services. INA sec. 286(m), 8 U.S.C. 1356(m). Fees collected from individuals and entities filing benefit requests are deposited into the Immigration Examinations Fee Account (IEFA) and used to fund the cost of processing benefit requests. 89 FR 6194, 6195 (Jan. 4, 2023). In addition, DHS complies with the requirements and principles of the Chief Financial Officers Act of 1990, 31 U.S.C. 901-03, (CFO Act), and Office of Management and Budget (OMB) Circular A-25. USCIS reviews form fees deposited into the IEFA biennially and, if necessary, proposes adjustments to ensure it recovers the costs necessary to provide adequate service to requestors, meet national security and public safety requirements, and achieve adjudicative processing requirements. USCIS uses projected volume data and completion rates (the average time for adjudication of an immigration benefit request) to set the fees for specific immigration benefit requests.
就豁免请求而言,USCIS需要投入资源对其进行裁决和处理,因此国土安全部为I-936表格(《豁免电子申请要求请求书》)设定了25美元的费用。由于缺乏与此高度相似流程的相关数据,目前尚无法确定I-936表格的成本回收费用。因此,国土安全部将费用定为一个较小的金额。尽管该费用可能无法完全收回拟议的I-936表格受理和裁决的全部成本,但该费用将提供一定收入,以减轻对USCIS的财政影响。国土安全部在本规则的第12866号和第13563号行政命令部分以及《文书削减法案》部分中,估算了I-936表格每年豁免申请的时间负担和预计数量。为了至少收回裁决I-936表格的部分成本,避免由其他费用缴纳者完全承担电子申请豁免流程的费用,鼓励采用电子申请,并有可能遏制无理豁免申请的提交,国土安全部设定了25美元的豁免费用。参见8 CFR 106.2(a)(64)。
In the case of waiver requests, USCIS will need to expend resources to adjudicate and process them, so DHS is setting a $25 fee for the Form I-936, Request for Waiver of E-Filing Requirement. The cost-recovery fee for Form I-936 cannot be determined at this time due to lack of data for a substantially similar process. Therefore, DHS is setting the fee at a small amount. Although it may not recover the full cost of intake and adjudication of the proposed Form I-936, the fee would provide some revenue to reduce the fiscal effects on USCIS. DHS estimates the time burden and estimated number of annual Form I-936 waivers in both the E.O.s 12866 and 13563 and the Paperwork Reduction Act sections of this rule. To recover at least some of the costs of adjudicating Form I-936, avoid other fee payers having to fund the e-filing waiver process entirely, encourage adoption of e-filing, and potentially deter frivolous waiver filings, DHS is establishing a $25 fee for the waiver. See8 CFR 106.2(a)(64).
本规则生效后,USCIS将记录电子申请豁免请求的数量和裁决时间等数据。因此,一旦电子申请豁免请求流程实施并运行足够长的时间,USCIS将分析受理数量和审查的复杂程度,以确定该费用是否足够或是否需要调整。国土安全部可能会在下一次费用规则中将该费用调整为能够收回其相应成本所需的金额。
USCIS will record data on the volume and adjudication time of e-filing waiver requests after this rule takes effect. Accordingly, once the e-filing waiver request process has been implemented and functional for a sufficient period of time, USCIS will analyze receipt volumes and the complexity of the reviews to determine if the fee is sufficient or needs to be adjusted. DHS may adjust the fee to an amount necessary to recover its relative costs in its next fee rule.
本规则规定,对于8 CFR 106.3(a)(3)(iii)中确定的某些申请类型,I-936表格的费用可予以豁免。参见8 CFR 106.3(a)(3)(ii)(H)。这包括寻求《反对妇女暴力法》(VAWA)身份、T类非移民身份、U类非移民身份、某些受虐配偶可获得的身份以及临时保护身份(TPS)等的自行申请人。之所以提供此有限的费用豁免,是因为《移民与国籍法》(INA)第245(l)(7)条,即8 U.S.C. 1255(l)(7)条,要求国土安全部(DHS)允许外国人就VAWA自行申请人身份调整申请及根据8 U.S.C. 1101(a)(15)(T)、1101(a)(15)(U)、1105a、1229b(b)(2)和1254a(a)(3)条(以1997年3月31日生效版本为准)寻求救济的申请,申请豁免与提交救济申请直至身份调整最终裁决相关的任何费用。国土安全部曾考虑是否允许为申请豁免电子提交要求而提交的I-936表格豁免收费(对于法律并不要求允许申请费用豁免的表格),(第51947页)但决定不予允许。
This rule provides that the fee for a Form I-936 may be waived for certain filings identified in 8 CFR 106.3(a)(3)(iii). See8 CFR 106.3(a)(3)(ii)(H). This includes self-petitioners seeking Violence Against Women Act (VAWA) status, T nonimmigrant status, U nonimmigrant status, status available to certain battered spouses, and Temporary Protected Status (TPS), among others. The limited fee waiver is provided because INA section 245(l)(7), 8 U.S.C. 1255(l)(7) requires DHS to permit aliens to apply for a waiver of any fees associated with filing an application for relief through final adjudication of the adjustment of status for a VAWA self-petitioner and for relief under 8 U.S.C. 1101(a)(15)(T), 1101(a)(15)(U), 1105a, 1229b(b)(2), and 1254a(a)(3) (as in effect on March 31, 1997). DHS considered but ( printed page 51947) decided to not permit fee waivers for a Form I-936 filed to waive e-filing for forms where the ability to request a fee waiver is not required by law.
4. 豁免有效期及申请日期的保留
4. Waiver Validity Period and Filing Date Preservation
经批准的豁免申请,自批准通知中所列表格类型起,有效期为30天,除非豁免申请批准通知中另有规定。该30天有效期仅适用于初次提交。
An approved waiver request will be valid for the form type listed in the approval notice for a period of 30 days, unless otherwise specified in the waiver request approval notice. The 30-day validity period applies only to initial filings.
对于申请移民福利的人而言,美国公民及移民服务局(USCIS)收到申请的日期对于截止日期的计算或在某福利类别申请人数超额的情况下获得排期日期可能十分重要。申请豁免电子提交要求并不能有效地为意图申请人在排期队列中预留位置。USCIS将以在指定提交地点实际收到福利申请的日期作为收件日期,并据此记录收件日期。参见8 CFR 103.2(a)(7)。由于豁免申请本身并非福利申请,其收件日期并不能为申请人带来此类利益。USCIS认识到申请豁免将需要额外的邮寄和处理时间,寻求豁免电子提交要求的申请人在申请豁免时必须考虑此时间因素。
For those requesting immigration benefits, the date a request is receipted by USCIS may be important for a deadline or, in the case of an oversubscribed benefit category, obtaining a priority date. Requesting a waiver from e-filing will not effectively reserve a spot in line for the intending requestor. USCIS considers a benefit request received and will record the receipt date as of the actual date of receipt at the location designated for filing such benefit. 8 CFR 103.2(a)(7). Since the waiver request is not a benefit request, its receipt can provide no such benefit to the requestor. USCIS recognizes requesting a waiver will require additional mailing and processing time and requestors seeking a waiver of the e-filing requirement must consider this timeframe when seeking a waiver.
需要特别指出的是,豁免申请获批并不能确保USCIS在收到福利申请后必然予以受理。任何以纸质方式提交且已获批准豁免的福利申请,仍须满足受理所需的全部要求。若福利申请不符合表格说明或相关法规的要求,例如缺少必填数据项,USCIS可予以拒收。参见8 CFR 103.2(a)(1)、(a)(7)(ii)。若申请人希望就已获豁免批准但被拒收的福利申请重新提交,USCIS必须在该豁免批准的同一30天期限内收到重新提交的福利申请,否则申请人必须另行提交新的豁免申请。
Importantly, approval of a waiver request does not ensure USCIS will accept the benefit request once received. Any benefit request submitted on paper with an approved waiver must still meet all the requirements for acceptance. USCIS may reject any benefit request not consistent with the form instructions or regulations, such as missing a required data element. 8 CFR 103.2(a)(1), (a)(7)(ii). If a requestor seeks to resubmit a rejected benefit request for which he or she received a waiver approval, USCIS must receive the resubmitted benefit request within the same 30-day window of the waiver approval, or the requestor must submit a new waiver request.
D. 相关规则制定
D. Related Rulemaking
本规则可能会对国土安全部正在进行的若干规则制定工作产生影响。参见《国土安全部2025年春季统一议程》,网址为https://www.reginfo.gov/public/do/eAgendaMain。
This rule may impact several rulemaking efforts DHS is undertaking. See DHS Spring 2025 Unified Agenda, https://www.reginfo.gov/public/do/eAgendaMain.
1. 信息自由法(FOIA)申请
1. Freedom of Information Act (FOIA) Requests
国土安全部已对其有关提交信息自由法(FOIA)及1974年《隐私法》(PA)/《司法救济法》(JRA)申请程序的相关法规进行了修订,以明确规定申请人一般须以电子方式提交其FOIA申请及隐私法申请。参见90 FR 59945(2025年12月23日)。该规则一般要求申请人通过网络门户https://www.dhs.gov/foia或其他可接受的联邦政府或国土安全部所属机构网站以电子方式提交其FOIA申请及隐私法申请。USCIS已不再接受以纸质(邮寄)或电子邮件方式提交的有关USCIS记录的FOIA或隐私法申请。[140]向USCIS提交申请的个人必须在创建USCIS账户后,于first.uscis.gov网站在线提出申请。经申请,国土安全部FOIA公众联络员可在有限情形下(例如申请人正在服刑)为无法以电子方式提交申请的申请人提供替代提交方式。参见90 FR 59945(2025年12月23日)。
DHS amended its regulations related to the procedures for submitting Freedom of Information Act (FOIA) and Privacy Act of 1974 (PA)/Judicial Redress Act (JRA) requests to clarify requestors must generally submit their FOIA requests and Privacy Act requests electronically. 90 FR 59945 (Dec. 23, 2025). The rule generally requires requestors to submit their FOIA requests and Privacy Act requests electronically through the web portal at https://www.dhs.gov/foia or other acceptable Federal Government or DHS Component websites. USCIS no longer accepts hard copy (mail) or emailed FOIA or Privacy Act requests for USCIS records.[140] Individuals submitting requests to USCIS must make their request online at first.uscis.gov after creating a USCIS account. Upon request, DHS FOIA public liaisons may facilitate, in limited circumstances ( e.g., incarceration), an alternative method to submit requests for requestors who are unable to submit electronic requests. 90 FR 59945 (Dec. 23, 2025).
美国国土安全部(DHS)不将信息自由法(FOIA)请求或《隐私法》请求纳入本强制电子申请规则的适用范围。本规则允许申请人通过提交I-936表并在获得批准后,在被允许以纸质方式提交移民福利申请之前,寻求豁免电子申请要求。参见本序言第四节B部分;另见8 CFR 103.2(a)(1)(iii)。此项事前批准对于使美国公民及移民服务局(USCIS)能够预见纸质移民福利申请的收件情况非常重要,特别是在可能需要调配裁决资源以便处理此类申请的情形下。USCIS对FOIA请求的处理方式与移民福利申请不同。USCIS隐私办公室负责接收和管理FOIA及《隐私法》请求,以确保请求的合规性,并将其转交至相应部门予以答复。此外,USCIS必须在特定时限内处理FOIA请求,以遵守法定要求。见5 U.S.C. 552(a)(6)。由于本规则仅针对通过USCIS受理渠道处理的移民福利申请,DHS不将FOIA或《隐私法》请求纳入本规则范围。任何希望提交FOIA或《隐私法》请求的个人,仍应遵循USCIS网站上提供的说明。[141]
DHS does not include FOIA requests or Privacy Act requests in this mandatory e-filing rule. This rule allows requestors to seek a waiver of the e-filing requirement by filing Form I-936 and obtaining approval before being permitted to file an immigration benefit request on paper. See Section IV.B of this preamble; see also 8 CFR 103.2(a)(1)(iii). This pre-approval is important to allow USCIS to anticipate receipts of paper-based immigration benefit requests, particularly where adjudicative resources may be required to facilitate receipt of those filings. USCIS handles FOIA requests differently than immigration benefit requests. The USCIS Privacy Office receives and manages FOIA and Privacy Act requests to ensure the request is proper and is routed to the appropriate offices for response. Additionally, USCIS must handle a FOIA request within specific timeframes to comply with statutory requirements. 5 U.S.C. 552(a)(6). Because this rule focuses solely on immigration benefit requests handled through USCIS intake channels, DHS does not include FOIA or Privacy Act requests in this rule. Any individual seeking to submit a FOIA or Privacy Act request will continue to follow the instructions provided on the USCIS website.[141]
2. 入籍费用规则
2. Naturalization Fee Rule
DHS计划提议一项规则,以调整USCIS收费表[142]中N-400表(入籍申请书)和N-336表(就第336条规定的入籍程序决定申请听证书)的费用。DHS计划根据受益人付费原则,提议将N-400表和N-336表的费用调整至能够全额收回裁决这些表格所产生成本的水平。
DHS plans to propose a rule to adjust the fees for Form N-400, Application for Naturalization, and Form N-336, Request for a Hearing on a Decision in Naturalization Proceedings Under Section 336, in the USCIS Fee Schedule.[142] DHS plans to propose fees for Form N-400 and Form N-336 to recover the full costs associated with adjudicating these forms according to the beneficiary-pays principle.
由于本规则将允许USCIS对已提供至少180天的表格强制要求电子申请,而N-400表和N-336表已提供电子申请服务至少180天,因此DHS可能需要在征求意见期结束后修改拟议入籍费用规则中所载的申请程序。DHS不会就修改申请程序以使其与本最终规则的要求保持一致一事,另行征求对拟议入籍费用规则的意见。
Because this rule will allow USCIS to mandate e-filing for forms available at least 180 days and Form N-400 and Form N-336 have been available for e-filing for at least 180 days, DHS may need to modify the filing procedures contained in the proposed naturalization fee rule after the comment period closes. DHS will not seek additional comments on the proposed naturalization fee rule to modify filing procedures to align with the requirements of this final rule.
E. 可分割性
E. Severability
DHS意图使本中期最终规则在法律允许的最大范围内具有可分割性。本规则包含若干相互独立的组成部分,包括:
DHS intends that this interim final rule be severable to the maximum extent permitted by law. The rule contains several distinct components, including:
8 CFR 1.2中对“电子申请”的定义;
The definition of “e-file” in8 CFR 1.2;
8 CFR 103.2(a)(1)(ii)中规定的,USCIS自行决定对特定表格要求电子申请的权限(以及与之相对独立的相应程序);
The authority (and, separately, the process) for USCIS, in its discretion, to require e-filing for certain forms, as provided in in8 CFR 103.2(a)(1)(ii);
8 CFR 103.2(a)(1)(iii)中规定的,USCIS根据申请自行决定在个案基础上豁免强制电子申请的权限(以及与之相对独立的相应程序);
The authority (and, separately, the process) for USCIS, in its discretion, to waive mandatory e-filing on a case-by-case basis upon request, in8 CFR 103.2(a)(1)(iii);
8 CFR 106.2(a)(64)中规定的I-936表(申请豁免电子申请要求)的设立,以及与之相对独立的相关费用规定;此外还有其他若干规定,
The creation of Form I-936, Request for Waiver of E-Filing Requirement, and, separately, associated fee provisions in8 CFR 106.2(a)(64); and, among other provisions,
8 CFR 106.3(a)(3)(ii)(H)及(a)(3)(iii)中规定的I-936表费用豁免的有限适用范围。
The limited availability of fee waivers for Form I-936 in8 CFR 106.3(a)(3)(ii)(H) and (a)(3)(iii).
这些要素彼此独立且各具实用性,其设计旨在即便其中一项或多项被认定为无效或不可执行,其余部分仍能继续发挥作用。例如,若法院撤销I-936表25美元的费用或8 CFR第106部分中与之相关的费用豁免规定,DHS意图使其余规定,包括定义“电子申请”的权限、在适当情形下要求电子申请的权限,以及在个案基础上豁免强制电子申请的权限,在法律允许的范围内继续有效。同样,若法院认定8 CFR 103.2(a)(1)(iii)中规定的豁免程序需要修改,DHS意图使该裁定不影响“电子申请”的定义,或(印刷页第51948页)USCIS依据8 CFR 103.2(a)(1)(ii)强制要求电子申请的一般权限,除非法院明确另行规定。
These elements are independently useful and are designed to function even if one or more are held invalid or unenforceable. For example, if a court were to set aside the $25 fee for Form I-936 or the associated fee-waiver provisions in 8 CFR part 106, DHS intends that the remaining provisions—including the authority to define “e-file,” the authority to require e-filing in appropriate circumstances, and the authority to waive mandatory e-filing on a case-by-case basis—would remain in effect to the extent permitted by law. Similarly, if a court were to conclude that the waiver process in 8 CFR 103.2(a)(1)(iii) requires modification, DHS intends that such a ruling would not disturb the definition of “e-file” or ( printed page 51948) the general authority for USCIS to mandate e-filing pursuant to 8 CFR 103.2(a)(1)(ii), unless the court expressly provides otherwise.
美国国土安全部(DHS)还意图使本规则制定行为,即建立电子申请和豁免总体监管框架的行为,与未来针对特定表格要求电子申请的具体裁定相互可分离。根据本规则,是否对任何特定表格、类别或福利类型强制要求电子申请的决定,将由美国公民及移民服务局(USCIS)依据8 CFR 103.2(a)(1)(ii)单独作出,并在未来的通知中予以公布。任何关于强制电子申请适用于特定福利申请、特定表格或类别的司法裁定,均不应影响本规则总体框架的有效性,包括“电子申请”的定义、在适当情形下要求电子申请的权限,以及豁免和费用条款,除非法院明确另行规定。
DHS also intends that this rulemaking, which establishes the general regulatory framework for e-filing and waivers, be severable from any future, form-specific determinations to require e-filing for a particular benefit type. Under this rule, the decision whether to mandate e-filing for any particular form, category, or benefit type will be made separately by USCIS pursuant to 8 CFR 103.2(a)(1)(ii) and announced in a future notice. Any judicial determination regarding the application of mandatory e-filing to a specific benefit request, or to a specific form or category, would not disturb the validity of this rule's general framework—including the definition of “e-file,” the authority to require e-filing in appropriate circumstances, and the waiver and fee provisions—unless a court expressly provides otherwise.
五、法定和监管要求
V. Statutory and Regulatory Requirements
A. 《行政程序法》(APA)
A. Administrative Procedure Act (APA)
《行政程序法》要求国土安全部就实质性法规向公众发布通知并征求公众意见。见5 U.S.C. 553。然而,《行政程序法》对通知和公众评议要求规定了有限的例外情形,包括“机构组织、程序或实务规则”。5 U.S.C. 553(b)(A)。本终局规则所涉及的要求本质上属于程序性要求,并不改变个人的实质性权利。在本临时最终规则(IFR)中,国土安全部授权美国公民及移民服务局制定提交福利申请的要求,以及何时不得再以纸质形式提交申请的规定。这些对美国公民及移民服务局申请程序的变更并未改变任何实质性权利,因为申请人并不享有以纸质表格提交移民福利申请的实质性权利。申请人必须拥有、获取或寻找超出手写表格并邮寄所需的工具和技术以便在线提交申请,这一事实并不意味着本规则不属于程序性规则。参见,例如,James V. Hurson Associates, Inc. 诉 Glickman案,229 F.3d 277(哥伦比亚特区巡回上诉法院,2000年)(该案认定,即便该规则确实造成了实质性负担,该负担也不会使该规则转变为触发《行政程序法》通知与评议要求的实质性规则)。因此,本规则涉及机构程序和实务(5 U.S.C. 553(b)(A)),无需提前发布通知并征求意见。尽管如此,国土安全部仍欢迎就本临时最终规则提出意见,并将按照本规则“联系方式”及“一、公众参与”部分所述,审议在公众评议期内提交的所有适时意见。
The APA requires DHS to provide public notice and seek public comment on substantive regulations. See5 U.S.C. 553. The APA, however, provides limited exceptions to this requirement for notice and public comment, including for “rules of agency organization, procedure, or practice.” 5 U.S.C. 553(b)(A). This final rule addresses requirements that are procedural in nature and does not alter the substantive rights of individuals. In this IFR, DHS authorizes USCIS to establish requirements for submitting a benefit request and when a request can no longer be submitted in physical, paper form. These changes to USCIS filing procedures do not alter a substantive right because requestors do not possess a substantive right to file a paper form to request immigration benefits. That a requestor must possess, obtain, or find the tools and technology to file online beyond what is required to complete a form by hand and mail it, does not mean the rule is not procedural. See, e.g., James V. Hurson Associates, Inc. v. Glickman, 229 F.3d 277 (D.C. Cir. 2000) (holding that even if the rule did impose a substantial burden, that burden would not convert the rule into a substantive one that triggers the APA's notice-and-comment requirement). Accordingly, this rule relates to agency procedure and practice (5 U.S.C. 553(b)(A)) and advance notice and comment is unnecessary. DHS nevertheless invites comments on this IFR and will consider all timely comments submitted during the public comment period as described in the ADDRESSES and I. Public Participation sections of this rule.
《行政程序法》还规定,实质性规则的发布或送达“应在其生效日期前不少于30天进行,除非……机构基于正当理由认定并随同该规则一并公布的情形除外”。5 U.S.C. 553(d)(3)。由于本规则属于程序性规则而非实质性规则,因此不适用30天延迟发布的要求。即便本规则属于实质性规则,鉴于本规则要求美国公民及移民服务局在要求对任何表格实行电子申请之前须至少观察60天的延迟期,国土安全部仍会基于正当理由认定无需30天的延迟期。无论本规则对8 CFR第103部分所作修改的生效日期为何,这些修改在Form I-936获得管理和预算办公室(OMB)批准,且美国公民及移民服务局发布通知要求自不早于未来60天起对某一表格或多个表格实行电子申请之前,均不会产生实际效力。
The APA also provides that the publication or service of a substantive rule “shall be made not less than 30 days before its effective date, except . . . as otherwise provided by the agency for good cause found and published with the rule.” 5 U.S.C. 553(d)(3). Because this rule is procedural rather than substantive, the requirement for a 30-day delay does not apply. Even if the rule were substantive, DHS would for good cause find that a 30-day delay is unnecessary, in light of the rule's requirement that USCIS observe at least a 60-day delay before requiring e-filing for any form. Regardless of the effective date of the changes to 8 CFR part 103 codified in this rule, the changes will have no practical effect until Form I-936 is approved by OMB and USCIS issues a notice that a form or forms must be e-filed no earlier than 60 days in the future.
B. 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)
B. 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)指示各机构评估可选监管方案的成本与收益,并在确有必要进行监管时,选择能够使净收益最大化的监管方式。第13563号行政命令强调量化成本与收益、降低成本、协调规则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)指示各机构大幅削减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,与新法规相关的任何新增边际成本,均应通过废除至少10项现行法规相关的现有成本予以抵消”。
Executive Orders (E.O.) 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. E.O. 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. E.O. 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)已根据第12866号行政命令第3(f)(1)条的规定,将本规则指定为具有经济意义的“重大监管行动”。因此,本规则已经OMB审查。
The Office of Management and Budget (OMB) has designated this rule a “significant regulatory action” that is economically significant, under section 3(f)(1) of E.O. 12866. Accordingly, the rule has been reviewed by OMB.
本规则不属于第14192号行政命令所指的监管行动,该行政命令不适用于与美国移民相关职能有关的监管行动。本规则的主要目的是实施和执行管辖外国人移民利益申请提交和处理及相关程序的法定权力。由于本规则涉及联邦政府对外国人履行移民职能,因此属于OMB指南所述的豁免范围。参见OMB备忘录M-25-20,《实施第14192号行政命令(题为“通过放松监管释放繁荣”)第3条的指南》(2025年3月26日)。
This rule is not an E.O. 14192 regulatory action, which does not apply to regulatory actions issued with respect to immigration-related functions of the United States. The primary purpose of this rule is to implement and administer statutory authorities governing the filing and processing of immigration benefit requests and related procedures for aliens. Because the rule pertains to the Federal Government's performance of immigration functions with respect to aliens, it falls within the exemption described in OMB guidance. See OMB Memorandum M-25-20, “Guidance Implementing Section 3 of E.O. 14192, titled `Unleashing Prosperity Through Deregulation'” (Mar. 26, 2025).
1. 概要
1. Summary
本规则修订国土安全部(DHS)的法规,允许美国公民及移民服务局(USCIS)对任何已提供电子申请方式至少180天的利益申请要求采用电子申请。这些变化将提高效率,促进移民体系的完整性,并减少因提交和维护纸质利益申请而造成的运营浪费。本规则还将加快USCIS向完全电子化申请流程的过渡,实现成本节约,并使USCIS能够减少对美国财政部实体保险箱(lockbox)服务的依赖。
This rule amends DHS regulations to permit USCIS to require e-filing for any benefit request USCIS has made available for e-filing for at least 180 days. These changes will increase efficiency, promote the integrity of the immigration system, and reduce operational waste attributable to the submission and maintenance of paper benefit requests. This rule will also speed up USCIS' transition to a fully electronic filing process, realize cost savings, and position USCIS to decrease its reliance on the U.S. Department of the Treasury's physical lockbox services.
在本规则为期10年的实施期间(2027财年至2036财年),DHS估计移民利益申请人每年可节省约5.33亿美元的成本。这些节省源于不再提交纸质利益申请、避免因纸质表格被驳回而需要重新提交,以及减少与纸质申请相关的时间负担。DHS还估计,申请人每年将因电子申请豁免表格而产生约1500万美元的新成本,其中包括填写该表格所需时间的机会成本、电子申请豁免表格费用以及邮寄费用。综合来看,本规则预计将使申请人每年净节省约5.18亿美元的成本。
For the 10-year implementation period of the rule (FY 2027 through FY 2036), DHS estimates that annual cost savings to immigration benefit requestors will be about $533 million. These savings result from no longer filing paper-based benefit requests, avoiding the need to re-file rejected paper forms, and reducing the time burden associated with paper filing. DHS also estimates that requestors will incur about $15 million annually in new costs related to the waiver of e-filing requirement form, including the opportunity cost of the time needed to complete the form, e-filing waiver form fee, and mailing expenses. On net, the rule is expected to generate approximately $518 million in annual cost savings to requestors.
除上述成本影响外,本规则还会在政府与申请人之间产生年度转移支付。DHS估计,每年电子申请费用折扣将使政府向申请人转移约1.4亿美元。
In addition to these cost impacts, the rule generates annual transfers between the government and requestors. On an annual basis, DHS estimates that an e-filing fee discount will transfer about $140 million from the government to requestors.
在2027财年至2036财年的实施期间内,DHS估计未贴现的总净成本节约约为51.81亿美元,未贴现的净转移支付(由政府向申请人转移)约为14亿美元。按3%的贴现率计算,10年期净成本节约约为44.2亿美元,净转移支付约为11.94亿美元。按7%的贴现率计算,10年期净成本节约约为36.39亿美元(印刷页第51949页),净转移支付约为9.83亿美元。这些总额相当于在3%和7%两种贴现率下,年化净成本节约约为5.18亿美元,年化转移支付约为1.4亿美元。
Over the FY 2027-2036 implementation period, DHS estimates total undiscounted net cost savings of about $5,181 million and undiscounted net transfers of about $1,400 million (from the government to requestors). With a 3-percent discount rate, the 10-year net cost savings are approximately $4,420 million and net transfers are approximately $1,194 million. With a 7-percent discount rate, the 10-year net cost savings are approximately $3,639 ( printed page 51949) million and transfers are approximately $983 million. These totals are equivalent to annualized net cost savings of about $518 million and annualized transfers of about $140 million at both the 3- and 7-percent discount rates.
DHS预计,部分申请人在转向电子申请的过程中可能会产生未能在量化估算中充分体现的不可量化成本。尽管电子申请预计平均而言将减少申请时间和其他负担,但个别结果会因申请人的具体情况、此前在纸质流程上的投入以及对在线系统的熟悉程度而有所不同。拥有成熟纸质软件和工作流程的机构可能会看到较小的时间节省,并需承担一次性的过渡成本,以学习新流程、更新程序、培训员工并修改工具。这些负担可能包括搜索和评估成本、转换成本和学习成本,且其大小因申请人而异。此外,当前电子申请的限制以及在复杂案件中对纸质材料包的偏好,可能增加人们对在线提交的风险感知,需要额外努力以建立对在线提交的信心。由于这些成本具有异质性且难以衡量,DHS未对其进行量化。
DHS anticipates that some filers may experience unquantifiable costs to switch to e-filing that are not fully captured in the quantified estimates. Although e-filing is expected to reduce filing time and other burdens on average, individual outcomes will vary based on the requestor's circumstances, prior investments in paper-based processes, and familiarity with online systems. Organizations with established paper-based software and workflows may see smaller time savings and incur one time transition costs to learn the new process, update procedures, train staff, and modify tools. These burdens can include search and evaluation costs, transfer costs, and learning costs, and that their magnitude differs across filers. In addition, current e-filing constraints and preferences for paper packages, particularly in complex cases, may increase perceived risk and require extra effort to build confidence in online submissions. Because these costs are heterogeneous and difficult to measure, DHS has not quantified them.
国土安全部(DHS)预计,强制电子申报将为申请人和联邦政府带来可观的质性成本节约和运营效益。对申请人而言,电子申报可减少可预防的错误和裁决延误,从而降低等待工作、旅行或变更身份所耗费的时间和间接成本,并降低因纸质申请被驳回或不完整而丧失资格的风险。国土安全部认为,电子申报将通过使流程更快捷、更易用、更安全、更透明而带来非货币性收益。对美国公民及移民服务局(USCIS)而言,电子申报预计将显著精简运营流程,降低纸质处理的持续成本和风险,并改善整个移民体系的数据质量、协调性和安全性。尽管国土安全部将为维护这些系统并为用户提供支持而产生一定的信息技术和运营费用,但相对于由此获得的长期效率和效益而言,这些成本是适度的。
DHS expects mandatory e-filing to generate substantial qualitative cost savings and operational benefits for both requestors and the Federal Government. For requestors, e-filing reduces preventable errors and adjudication delays, lowering the time and indirect costs of waiting to work, travel, or change status and reducing the risk of losing eligibility due to rejected or incomplete paper submissions. DHS believes e-filing will deliver non-monetary benefits by making the process faster, easier to use, more secure, and more transparent. For USCIS, e-filing is expected to significantly streamline operations, reduce the ongoing costs and risks of paper-based processing, and improve data quality, coordination, and security across the immigration system. While DHS will incur some information technology and operational expenses to maintain these systems and support users, these costs are modest relative to the long-term efficiencies and benefits gained.
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除表10中概述的影响外,根据行政管理和预算局(OMB)A-4号通告的要求,国土安全部提供了会计报表,列明与本法规相关的预期成本、收益和转移支付。[143]
In addition to the impacts summarized in Table 10, and as required by OMB Circular A-4, DHS presents the accounting statement showing the anticipated costs, benefits, and transfers associated with this regulation.[143]
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2. 本规则的背景和目的
2. Background and Purpose of the Rule
国土安全部旨在通过将所有福利申请从使用纸质表格转变为使用电子申报方式,以实现美国公民及移民服务局运营的现代化。美国公民及移民服务局目前鼓励人们在线申报,但并未强制要求。对于以纸质表格形式收到的申请,该局在收到后会将纸质福利申请数字化。此流程存在重复且成本高昂的问题,因为它既需要人工为纸质表格办理收件手续,又需要扫描并将信息录入数字系统。国土安全部将“电子申报”定义为:以美国公民及移民服务局提供并批准的任何方式,以电子方式提交福利申请、佐证证据、文件、通知和通信,包括通过在线填写表格、通过网络门户、电子接口完成填写,或通过已批准的在线账户上传已填写完成的表格的PDF文件。
DHS seeks to modernize USCIS operations by shifting from using paper forms to using e-filing for all benefit requests. USCIS currently encourages people to file online but does not require them to do so. For submissions received on paper forms, the agency digitizes the paper benefit requests upon receiving them. This process is duplicative and costly as it requires manual receipting paper forms, as well as scanning and entering information into the digital systems. DHS defines “e-file” as submission of a benefit request, supporting evidence, documents, notices, and communication electronically in any manner made available and approved by USCIS, including by completing the form online, in a web portal, electronic interface, or by uploading a PDF of the completed form through an approved online account.
为减少因使用纸质表格而产生的低效现象,并最终实现向完全电子化环境的过渡,美国公民及移民服务局希望制定相关举措,使其能够摆脱既允许某一表格在线提交、又要求相关或附属表格以纸质方式提交的做法。强制实行电子申报将使美国公民及移民服务局能够取消依赖纸质的系统,实现流程集中化,并针对所有福利申请扩大自动化功能。这些效益将通过消除低效流程来降低人力成本并缩短裁决时间。数字化解决方案还将在整个机构范围内增强安全性、裁决完整性和申请人服务水平。此外,为与遵守表格说明中关于签名和所需数据要素的要求保持一致,国土安全部正在对8 CFR 103.2(a)(1)(i)进行程序性和技术性修订,以更通俗的语言重申,申请必须按照表格说明的要求完成。美国公民及移民服务局确保表格说明与法定和法规标准保持一致。以此方式厘清法规文本不会改变表格说明的效力,也不会导致被驳回的申请数量增加或减少。
To reduce the inefficiencies arising from using paper forms and ultimately transition to a fully electronic environment, USCIS wants to develop initiatives allowing it to move away from systems that permit online submission of one form while requiring related or ancillary forms to be filed on paper. Mandating e-filing would allow USCIS to eliminate paper dependent systems, centralize processes, and expand automated functions for all benefit requests. These benefits would reduce labor costs and adjudication times by eliminating inefficient processes. Digital solutions would also enhance security, adjudicative integrity, and applicant services on an agency-wide basis. Moreover, consistent with the requirements to follow form instructions regarding signatures and required data elements, DHS is making procedural and technical amendments to 8 CFR 103.2(a)(1)(i) by restating in plainer language that requests must be completed as required by form instructions. USCIS ensures that form instructions are consistent with statutory and regulatory criteria. Clarifying the regulatory text in this manner will not change the effect of form instructions or result in fewer or more requests being rejected.
基于上述原因,向完全电子化环境的过渡将提升美国公民及移民服务局的使命履行、服务水平和管理职责。
For these reasons, moving to a fully electronic environment would enhance the mission, service, and stewardship of USCIS.
本规则的成本和收益将聚焦于使用将被纳入强制电子申报范围的美国公民及移民服务局表格申请福利的申请人,以及美国公民及移民服务局所承担的成本和收益。国土安全部依据2016财年至2025财年期间使用各类美国公民及移民服务局表格提出福利申请的申请人数量,对受影响申请人的数量进行估算。[144]
The costs and benefits of this rule would focus on requestors applying for benefits using the USCIS forms that would be subject to mandatory e-filing as well as costs and benefits to USCIS. DHS bases the estimation of the number of affected requestors on the number of requestors who filed for benefit requests from FY 2016 to FY 2025 using various USCIS forms.[144]
3. 基线和申请群体
3. Baseline and Population
本规则将影响使用可供电子申请的USCIS表格申请移民福利的申请人。受本规则影响的估计人数是基于2016财年至2025财年期间为申请移民福利而提交的表格总数得出的。在评估本规则的影响时,美国国土安全部(DHS)采用“不采取行动”基线,该基线反映了现行法规和申请做法下的现状,即申请人和申请人可根据表格资格和申请人偏好选择以电子方式或纸质方式提交福利申请。若无本规则,DHS将继续接受并处理纸质申请,且在可电子申请的情况下,电子申请仍为自愿选择。DHS将本规则的影响估计为本规则实施后的结果与“不采取行动”基线之间的差异,该基线反映了在没有本规则的情况下将发生的情况。此项比较显示了本规则如何改变成本、收益和转移支付。在基线情形下,部分申请人自愿以电子方式提交申请,而其他申请人则以纸质方式提交;在本规则下,USCIS可能要求申请人以电子方式提交福利申请,同时为申请人提供申请豁免电子申请要求的机会。本分析衡量的是增量影响,而非无论是否采取监管行动都会发生的变化。
This rule would affect requestors applying for immigration benefits using the USCIS forms available for e-filing. The estimated population affected by the rule is based on the total number of forms filed for immigration benefits in FY 2016 to FY 2025. In estimating the impacts of this rule, DHS uses a no-action baseline that reflects the current state of the world under existing regulations and filing practices, in which applicants and petitioners may submit benefit requests either electronically or on paper, depending on form eligibility and filer preference. Absent this rule, DHS would continue to accept and process paper filings, and e-filing would remain voluntary where available. DHS estimates the impacts of the rule as the differences between outcomes under the rule and a no-action baseline, which reflects what would occur in the absence of the rule. This comparison shows how the rule changes costs, benefits, and transfers. Under the baseline, some requestors voluntarily submit electronically while others file on paper; under this rule, USCIS may require requestors to e-file a benefit request, while providing requestors an opportunity to seek a waiver of the e-filing requirement. The analysis measures the incremental effects rather than changes that would occur regardless of regulatory action.
与“不采取行动”基线保持一致,本分析使用历史受理数据来反映现行法规下观察到的申请行为。由于电子申请目前为自愿性质,过去按申请渠道划分的受理量为在无监管变化情况下申请人选择提供了最佳证据。表11汇总了过去10个财政年度(2016财年至2025财年)USCIS所有申请受理量,按纸质和电子提交方式分类,并作为估算基线申请模式和识别受电子申请强制要求新影响人群的依据。
Consistent with the no-action baseline, this analysis uses historical receipt data to reflect observed filing behavior under current regulations. Because e-filing is currently voluntary, past receipt volumes by filing channel provide the best evidence of filer choices absent regulatory change. Table 11 summarizes all USCIS application receipt volumes for the past 10 fiscal years (FY 2016-FY 2025), separated into paper and electronic submissions, and serves as the basis for estimating baseline filing patterns and identifying the population newly affected by the e-filing mandate.
表11显示,在2016财年至2025财年期间,申请方式明显从纸质申请转向电子申请。纸质申请仍是主要渠道,但其占受理量的比例已从2016财年的91%下降至2025财年的57%,而同期电子申请比例则从9%上升至43%。USCIS年度受理量从2016财年的约900万件上升至2024财年的峰值1580万件,其中2020财年因疫情影响出现下降。 (印刷页第51956页)在2022财年至2023财年之间出现明显跃升,这主要是由I-134A表、I-589表、I-765表和I-821表受理量激增所致。[145]PDFi的使用仅在2024财年和2025财年出现,且始终远低于总受理量的1%。这些趋势表明,在“不采取行动”基线下,电子申请的采用率正在上升,但绝大多数申请人仍使用纸质申请方式。强制要求电子申请将主要影响这一持续使用纸质申请的人群。
Table 11 shows a clear shift from paper filing to e-filing over the period FY 2016-FY 2025. Paper filings remain the dominant channel but have declined from 91 percent of receipts in FY 2016 to 57 percent in FY 2025, while e-filing rose from 9 percent to 43 percent over the same period. USCIS annual receipts rose from approximately 9 million in FY 2016 to a peak of 15.8 million in FY 2024, with a dip in FY 2020 consistent with pandemic effects. A pronounced ( printed page 51956) jump between FY 2022 and FY 2023 mostly driven by spikes in receipts for Forms I-134A, I-589, I-765, and I-821.[145] Use of PDFi emerges only in FY 2024 and FY 2025 and remains well under 1 percent of total receipts. These trends indicate that, under the no action baseline, e-filing adoption is increasing but a substantial majority of requestors still use paper. A mandate would primarily affect this persistent paper-filing population.
DHS使用表11中2016财年至2025财年这10年期间的历史数据得出的估计值来估算受影响人群的基线。在表12中,DHS估算了每种福利申请在此10年期间受理总量的历史平均值,并将其用作预计年度受理量。我们对在本分析期间内已可通过引导式在线申请或PDFi方式进行电子申请的所有福利申请均采用此方法。DHS采用10年历史平均值,原因是最近三年的申请量因特定的、非经常性的政策变化而出现显著的异常激增。若主要依赖这些近期年份的数据,将高估未来对移民福利的需求。采用10年期数据可平滑这些由政策驱动的波动,从而为受影响人群提供更稳定、更具代表性的估计。
DHS uses estimates derived from the historical data in Table 11 for the 10-year period from FY 2016 through FY 2025 to estimate the baseline affected population. In Table 12, DHS estimates the historical 10-year average of total receipts for each benefit request and uses it as the projected annual receipts. We do this for all benefit requests currently available for e-filing, either through guided online filing or PDFi, during this analysis period. DHS uses a 10-year historical average because the most recent three years contain significant, atypical spikes in filing volumes driven by specific, non-recurring policy changes. Relying mostly on those recent years would overestimate future demand for immigration benefits. Using a 10-year period smooths these policy-driven fluctuations and provides a more stable and representative estimate of the affected population.
一旦强制电子申请生效,申请移民福利的申请人将在被要求以电子方式而非纸质方式提交申请的范围内受到影响。为估算需要从纸质申请转为电子申请的申请人数量,DHS将最近一个完整财政年度(2025财年)的纸质申请比例用作“不采取行动”基线。表12显示,本规则估计受影响人群每年约为600万名申请人。为估算本规则的经济影响,DHS对自2027财年起10年期间内受影响人群进行了预测。
Once mandatory e-filing takes effect, requestors filing immigration benefit requests will be affected to the extent they are required to submit their requests electronically rather than by submitting papers. To estimate the number of requestors required to switch from paper to e-filing, DHS uses as the no-action baseline the most recent complete fiscal year (FY 2025) percentage of paper filings. Table 12 shows that the estimated affected population of the rule is approximately 6 million petitioners annually. To estimate the economic impacts of this rule, DHS projects the affected population over the 10-year period beginning in FY 2027.
此外,每年约有120万份与福利申请相关的受理案件尚不能通过电子方式提交。这些福利申请只有在美国公民及移民服务局(USCIS)使其可以电子方式提交,并且在该电子提交方式已可使用至少180天之后,才会受到本规则所确立的电子提交要求以及相关豁免和费用规定的约束。截至本次规则制定时,USCIS尚未公布将电子提交能力扩展至这些剩余福利申请的实施时间表。与这些福利申请相关的任何影响,包括潜在的成本节约、额外成本和转移支付,均未计入本分析中所列的量化收益和成本。
Additionally, there are approximately 1.2 million annual receipts associated with benefit requests that are not yet available for e-filing. These benefit requests would become subject to the e-filing requirement, and the associated waiver and fee provisions established by this rule, only after USCIS makes them available for electronic submission and they have been available for at least 180 days. As of this rulemaking, USCIS has not made public an implementation schedule to extend e-filing capability to these remaining benefit requests. Any associated impacts, including potential costs savings, additional costs, and transfers, on these benefit requests are not included in the quantified benefits and costs presented in this analysis.
本规则规定了申请豁免电子提交要求的程序。该豁免程序确保美国国土安全部(DHS)遵守《21世纪综合数字体验法案》(21st Century IDEA Act,公法第115-336号,第(4)(e)条,2018年12月20日)的规定,该法要求每个行政机关维持一种可通过当面、纸质或其他方式完成数字服务的无障碍途径,使无法使用数字服务的个人不会因此被剥夺或阻碍获取这些数字服务的机会。DHS估计,在预计受强制电子提交要求影响的年度申请人总数中,将有4%的申请人使用新的USCIS表格I-936申请豁免。
This rule provides a process to request a waiver of the e-filing requirement. This waiver process ensures DHS complies with the 21st Century IDEA Act, Public Law 115-336, sec. (4)(e) (Dec. 20, 2018), which requires each executive agency to maintain an accessible method of completing digital services through in-person, paper-based, or other means, such that individuals without the ability to use digital services are not deprived of or impeded in access to those digital services. DHS estimates that, among the total projected annual number of requestors who would be affected by the mandatory e-filing requirements, 4 percent of the requestors would apply for a waiver using new USCIS Form I-936.
2025年10月,USCIS开始实施强制性在线缴费,申请人须通过自动清算所(ACH)或信用卡支付申请费。截至2025年12月,约96%的申请人遵守了该要求,截至2026年2月,该比例约为99%。[146](第51957页印刷版)尽管电子支付和电子提交在技术要求上有所不同,但这两项政策都涉及从传统合规机制向电子处理系统的过渡。因此,DHS将强制在线缴费初期观察到的不合规率(4%)作为估算可能寻求强制电子提交豁免的申请人比例的合理且保守的替代指标。DHS采用96%的合规率而非99%,作为一种保守估计。这意味着更高的豁免申请数量,可能高估实际提交的豁免申请数量,从而避免高估向电子提交过渡所带来的收益。表12反映了豁免人群的百分比,受影响人群的估算使用了96%的合规率。DHS估计,目前可通过电子方式提交的表格中,每年预计申请豁免的人数为248,905人。[147]为保持分析的一致性,DHS假设,除可能寻求豁免的人群外,受影响人群均可以访问互联网并能够以电子方式提交表格。
In October 2025, USCIS implemented mandatory online payment for filing fees through either an Automated Clearing House (ACH) or credit card payment, approximately 96 percent of filers complied with the requirements by December 2025 and approximately 99 percent by February 2026.[146] While ( printed page 51957) electronic payment and e-filing impose different technical requirements, both policies involve transitioning from legacy compliance mechanisms to electronic processing system. Therefore, DHS uses observed initial non-compliance rate (4 percent) from mandatory online payment as a reasonable and conservative proxy for estimating the percentage of requestors who may seek a waiver from mandatory e-filing. DHS uses the 96 percent compliance rate, rather than 99 percent, as a conservative estimate. This implies a higher waiver filing, which is likely to overstate the number of waivers filed and avoids overstating the benefits of the transition to e-filing. Table 12 reflects the percentage of the waiver population, and the estimated affected population is calculated using 96 percent compliance rate. DHS estimates that the annual projected population of requestors who would apply for a waiver would be 248,905 for the forms currently available electronically.[147] For consistency in the analysis, DHS assumes that, excluding the population that may seek a waiver, the affected population has internet access and is able to e-file forms.
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4. 经济影响
4. Economic Impact
a. 可量化的影响
a. Quantifiable Impact
成本节约
Cost Savings
与不采取行动的基准情形相比,本规则将为申请人带来成本节约,具体体现在无需提交纸质福利申请、无需因申请存在缺陷或信息缺失而重新提交被退回的纸质表格,以及申请人因此节省的时间成本。本规则还将带来成本节约,因为申请人无需再通过邮政快递方式将包含纸质福利申请表格的邮包寄送至USCIS进行处理。DHS估计,每位申请人平均可因不再向USCIS提交纸质邮包而节省11.95美元的邮资成本。[148] DHS将该平均每份邮包的邮寄成本应用于表12所列的年度受影响人群5,973,727份申请,估算得出每年因不再邮寄含纸质福利申请的邮包而节省的成本约为7100万美元。
Compared to the no-action baseline, this rule will result in cost savings to requestors from not filing paper-based benefit requests, not having to re-submit paper forms rejected due to filing deficiencies or missing information, and time burden cost savings to requestors. This rule will result in cost savings from not sending a package containing paper-based benefit request forms via mail couriers to USCIS for processing. DHS estimates that each requestor would save an average of $11.95 in postage costs from not submitting the paper-based package to USCIS.[148] DHS applies the averagemailing cost per package to the annual affected population of 5,973,727 filings (Table 12) to estimate approximately $71 million in annual cost savings from no longer mailing packages containing paper-based benefit requests.
本规则还将因无需重新提交最终因申请缺陷而被拒绝的纸质表格而节省成本,此类缺陷包括(印刷页51959)提交费用金额不正确、缺少签字、使用过期的申请表格,或提交的福利申请未经签署或缺少必要的数据要素。美国国土安全部(DHS)估计,在当前的申请制度下,平均每年有1,005,297份纸质福利申请因此被拒绝。[149] 纸质福利申请随后需要在纠正申请缺陷后重新提交。强制通过PDFi进行电子申请并不会消除重新申请的必要性,因为美国公民及移民服务局(USCIS)在受理阶段仍会审查PDFi提交材料,如果不符合规定的受理标准,仍可能予以拒收。因此,目前因申请缺陷而被拒绝的1,005,297份纸质福利申请并非全部都能带来成本节省。美国国土安全部估计,在强制电子申请制度下,这些被拒绝的申请中有996,523份[150]将不再需要重新提交,因为使用引导式在线申请界面的申请人能够在提交前立即纠正申请缺陷,而无需等待拒收通知后再重新提交纸质福利申请。美国国土安全部通过将996,523份避免的重新申请数量乘以每份邮寄的平均费用(11.95美元),估算出因避免重新提交因申请缺陷或信息缺失而被拒绝的纸质表格所带来的成本节省,约为1200万美元。
This rule will also result in cost savings from not having to re-file paper-based forms that are ultimately rejected due to filing deficiencies, such as ( printed page 51959) submitting an incorrect fee amount, lack of signature, use of outdated benefit request forms, or submission of benefit requests not executed or missing required data elements. DHS estimates that in the current filing system, on average, 1,005,297 paper-based benefit requests are rejected annually.[149] Paper-based benefit requests would then need to be re-filed after correcting the filing deficiencies. Mandating e-filing via PDFi would not eliminate the need to refile because USCIS still reviews PDFi submissions at intake and may reject them if they do not meet defined acceptance criteria. Therefore, not all the 1,005,297 paper-based benefit requests currently rejected for filing deficiencies would result in cost savings. DHS estimates that, under mandatory e-filing, 996,523 of these rejected requests [150] would no longer require refiling because filers using the guided online filing interface would be able to correct filing deficiencies immediately before submission, rather than waiting for a rejection notice and refiling their paper-based benefit requests. DHS estimates cost savings from avoided re-filings of paper forms rejected due to filing deficiencies or missing information by multiplying 996,523 avoided re-filings by the averagemailing cost per package ($11.95), resulting in approximately $12 million in savings.
总体而言,美国国土安全部估计,与纸质申请相比,电子申请减少了申请人完成并提交表格所需的平均时间。这些估计考虑了引导式电子申请可实现的时间节省,以及其他效率提升因素,例如免除打印、装订、包装和邮寄等活动,并提供电子验证核查和自动数据录入等电子功能。
Overall, DHS estimates that e-filing reduces the average time a requestor requires to complete and submit a form compared to paper-based filing. These estimates consider the time savings that guided e-filing can achieve plus other efficiencies such as eliminating printing, assembling, packaging, and mailing activities as well as providing electronic features such as validation checks and automated data entry.
引导式工作流程电子申请与PDFi申请的每份回复估计时间负担有所不同。例如,引导式工作流程电子申请具有提示功能,可使信息收集过程更加流畅,并能更快地引导申请人跳过无需回答的信息收集部分,而PDFi申请则要求使用与纸质申请相同的PDF版本表格,该表格必须填写完毕并作为文件上传提交。这种缺乏引导式工作流程的情况限制了PDFi申请人实现与引导式工作流程申请人相同潜在节省的能力。
Estimated time burden per response for guided workflow e-filing and for PDFi filing differ. For example, guided workflow e-filing has prompts that result in a more fluid flow through the information collection process and may direct a respondent more quickly through areas of an information collection where questions do not require a response, whereas the PDFi filing requires the PDF version of the same form used for paper filing, which must be completed and submitted as a document upload. This lack of guided workflow limits the ability for PDFi filers to realize the same potential savings as a guided workflow filer.
表13列出了按申请渠道划分的估计时间负担差异。美国国土安全部将每次申请的估计时间负担节省视为申请人机会成本的减少。总时间负担成本节省的计算方法为:每次申请节省的时间乘以从纸质转为电子申请的申请数量,再乘以报酬率。
Table 13 presents estimated time burden difference by filing channel. DHS considers estimated time burden savings per filing as a reduction in opportunity cost to requestors. The total time burden cost savings are calculated as the product of the time saved per filing, the number of filings shifting from paper to electronic, and compensation rate.
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为估算额外时间负担节省的机会成本,美国国土安全部假设有四类不同的申请人,按移民福利申请的提交人区分:个人、人力资源专员、内部律师和外聘律师。大多数表格由个人提交,但基于就业的移民申请,例如I-129表、I-907表、I-140表和I-485J表,则由雇主(如人力资源专员)提交。美国国土安全部假设,随附提交G-28表(《律师或经认可代表出庭通知书》)的申请是由内部律师或外聘律师准备的,而未随附提交G-28表的申请则是由个人或人力资源专员提交的。表14列出了不同类型申请人的每小时总报酬,该数据基于其每小时平均工资率及适用的福利与工资乘数计算得出。
To estimate the opportunity cost of additional time burden savings, DHS assumes four distinct types of requestors, differentiated by who files the immigration benefits: individual, HR specialist, in-house attorney, and outsourced attorney. Most forms are filed by individuals, but employment-based immigration requests—such as Forms I-129, I-907, I-140, and I-485J—are filed by employers such as HR specialists. DHS assumes that requests submitted with a Form G-28, Notice of Entry of Appearance as Attorney or Accredited Representative, are prepared by an in-house attorney, or outside attorney, and that requests submitted without a Form G-28 are submitted by individuals or HR specialists. Table 14 shows the hourly total compensation for different types of requestors based on their hourly mean wage rates and applicable benefit-to-wage multipliers.
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表15列出了从纸质申请转为电子申请的受益申请人因减少时间负担而产生的预计年度成本节约。由于时间价值因申请人类型而异,美国国土安全部(DHS)根据受益申请书是由个人/雇主的人力资源专员直接提交,还是由代表申请人行事的内部律师或外聘律师提交,采用不同的薪酬费率来估算此类节约。通过将相应的每小时薪酬费率应用于以电子方式而非纸质方式准备和提交表格所需工时的减少量,DHS估计,在全部受影响群体中,因减少时间负担而产生的年度总成本节约约为4.5亿美元。
Table 15 presents the estimated annual cost savings from reduced time burdens for benefit requestors who switch from paper filing to e-filing. Because the value of time differs by requestor type, DHS estimates these savings using different compensation rates depending on whether the benefit request is filed directly by an individual/HR specialist for employer or by an in-house attorney or outsourced attorney acting on the requestor's behalf. By applying the appropriate hourly compensation rates to the reduction in hours required to prepare and submit forms electronically rather than on paper, DHS estimates total annual cost savings of approximately $450 million from reduced time burdens across all estimated affected population.
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表16汇总了因强制电子申请而为申请人带来的年度总成本节约的估计值,分为三个组成部分,合计约为5.33亿美元。
Table 16 summarizes total estimated annual cost savings to the requestors from mandating e-filing, broken into three components that added up to approximately $533 million.
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成本
Costs
本规则允许申请人因不当困难而申请豁免电子申请要求。DHS未对可使申请人有资格获得豁免的因素作出明确界定,但此类因素通常包括地理位置、社会经济状况以及公共技术资源的可获得性。申请人将使用新创建的I-936表格提交豁免申请。除需证明电子申请会造成不当困难外,寻求豁免的申请人还将承担与填写和提交I-936表格相关的额外时间和成本。
This rule allows requestors to request a waiver of the e-filing requirement because of undue hardship. DHS is not defining the factors that would qualify a requestor for a waiver, but such factors would generally include geographical location, socioeconomic conditions, and the availability of public technology resources. Requestors will submit the request for a waiver using the newly created Form I-936. In addition to demonstrating that e-filing would cause undue hardship, requestors seeking a waiver would also incur the additional time and cost associated with completing and submitting Form I-936.
DHS将强制在线支付要求所观察到的4%豁免率作为估算可能符合强制电子申请豁免资格的申请人比例的合理且保守的替代指标。将此比率应用于受影响的申请群体,DHS估计,每年将有248,905名申请人针对目前可通过电子方式提交的表格申请豁免,相关内容已在第V.B.3节“基线与群体”中讨论。在本规则中,DHS为提交I-936表格申请电子申请豁免的申请人设定了25美元的申请费。收取该费用是为了弥补部分受理和审查豁免申请的成本,此部分内容将在前言第V.B.4.c节“联邦政府的成本、成本节约及收益”中单独讨论。DHS估计,受影响群体中约有4%将提交豁免申请。[151] 在这些申请人中,DHS估计有6%将使用I-912表格“申请费豁免请求”申请费用豁免,因此无需缴纳该25美元费用。[152] 因此,DHS估计94%的豁免申请人将缴纳该费用,产生约600万美元的年度费用收入。[153] 该金额代表寻求电子申请豁免的申请人所承担的年度成本。
DHS uses the observed waiver rate of 4 percent from the mandatory online payment requirement as a reasonable and conservative proxy for estimating the share of requestors who may qualify for an exemption from mandatory e-filing. Applying this rate to the affected filing population, DHS estimates that 248,905 requestors per year would apply for a waiver for the forms currently available electronically, as discussed in Section V.B.3. Baseline and Population. In this rule, DHS is establishing a $25 filing fee for requestors submitting the Form I-936 to request a waiver of the e-filing requirement. The fee is collected to recover some of the costs of intake and review of the waiver request, which will be discussed separately in section V.B.4.c. of the preamble, Costs, Cost Savings, and Benefits to the Federal Government. DHS estimates that approximately 4 percent of the affected population will submit a waiver request.[151] Among those requestors, DHS estimates that 6 percent will request a fee waiver using Form I-912, Request for Fee Waiver, and therefore will not pay the $25 fee.[152] As a result, DHS estimates that 94 percent of waiver filers will remit the fee, producing approximately $6 million in annual fee payments.[153] This amount represents an annual cost to the requestors seeking a waiver of the e-filing requirement.
寻求豁免的申请人所承担的成本包括填写I-936表格所需时间负担的机会成本,以及邮寄已完成表格的邮资成本。根据表14中个人每小时47.36美元的薪酬费率,以及填写I-936表格所需的预计30分钟(0.5小时)时间负担,DHS估计机会成本约为每年600万美元。DHS进一步估计,邮寄豁免申请的邮资成本约为每年300万美元。[154] 因此,豁免申请人所承担的年度总成本约为1500万美元。
The cost to requestors seeking a waiver consists of the opportunity cost of the time burden required to complete Form I-936 and the postage cost to mail the completed form. Using the hourly compensation rate for individuals of $47.36 from Table 14 and estimated time burden of 30 minutes (0.5 hours) to complete Form I-936, DHS estimates an opportunity cost of approximately $6 million per year. DHS further estimates postage costs of about $3 million per year for mailing the waiver requests.[154] In total, the annual cost to waiver requestors is therefore approximately $15 million.
DHS还量化了在没有本规则的情况下仍倾向于继续以纸质方式提交申请的申请人所承担的成本。在纸质申请和电子申请两种方式均可选择、且电子申请人可获得50美元折扣的情况下,一些申请人仍然选择以纸质方式提交申请,从而放弃了这50美元的折扣。对于在提交申请时已知晓并能够使用这两种方式的申请人而言,这种行为表明,他们对熟悉的纸质流程及相关非货币利益所赋予的价值至少为每次申请50美元。DHS认识到,并非所有申请人在提交申请时都清楚地获得这一选择或能够切实使用这一选择,因此该金额可能无法完全反映其成本。此外,DHS无法可靠地估算哪些申请人实际上获得了电子申请选项及折扣信息,因此无法就受影响人群对此项成本进行汇总。根据本规则,倾向于纸质申请且无法证明符合电子申请要求豁免资格的申请人,将不再拥有以纸质方式提交福利申请的选择,而必须以电子方式提交申请,从而导致上述损失。因此,对于在纸质申请与电子申请之间拥有实质性选择权的申请人而言,DHS将50美元视为强制电子申请所产生的每次申请成本的保守估计值。
DHS also quantifies a cost to requestors who would have preferred to continue filing by paper in the absence of this rule. When both paper and e-filing options were available and electronic filers received a $50 discount, some requestors nonetheless chose to file by paper, thereby forgoing the $50 discount. For requestors who were aware of and could access both options at the time of filing, this behavior indicates that the value they place on the familiar paper process and related non-monetary benefits is at least $50 per filing. DHS recognizes that not all requestors had this choice clearly presented or practically available at the time of filing, and their costs may not be fully reflected in this amount. Moreover, DHS cannot reliably estimate which requestors had the e-filing option and discount effectively presented to them and therefore cannot aggregate this cost across the affected population. Under this rule, requestors who would have preferred paper filing and cannot establish eligibility for a waiver of the e-filing requirement will no longer have the option to file a paper benefit request and will be required to file electronically, which will result in the loss. Therefore, DHS treats $50 as a conservative estimate of the per-filing cost imposed by mandatory electronic filing for those with a meaningful choice between paper and electronic filing.
转移支付
Transfers
DHS目前对符合条件的电子提交表格提供50美元的费用减免。尽管该折扣金额反映了电子申请为机构带来较低资源成本这一事实,但该费用调整本身属于转移支付,而非对社会的成本节约。该减免降低了申请人支付的费用,同时相应减少了美国公民及移民服务局(USCIS)的费用收入。由于这一变化反映的是支付的再分配,而非经济资源总使用量的变化,DHS将这50美元的电子申请费用折扣视为政府向申请人的一项转移支付。表17显示,预计每年的转移支付总额约为1.4亿美元。有关强制电子申请为USCIS带来的成本节约和收益的详细讨论,见第V.B.4.c节“对联邦政府的成本、成本节约及收益”。
DHS currently provides a $50 fee reduction for eligible forms e-filed. Although the amount of the discount reflects the fact that e-filing results in lower agency resource costs, the fee adjustment itself represents a transfer rather than cost savings to society. The reduction decreases the payment made by requestors while correspondingly decreasing fee revenue to USCIS. Because this change reflects a redistribution of payment rather than a change in the total use of economic resources, DHS treats the $50 e-filing fee discount as a transfer from the government to requestors. Table 17 shows the estimated annual transfer of approximately $140 million. Cost savings and benefits to USCIS associated with mandating e-filing are discussed greater in detail in Section V.B.4.c. Costs, Cost Savings, and Benefits to the Federal Government.
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b. 无法量化的影响
b. Unquantifiable Impact
本规则将“电子申请”定义为以USCIS提供并批准的任何方式,以电子形式提交福利申请、佐证材料、文件、通知及通信,包括通过在线填写表格、通过门户网站、电子界面完成提交,或通过已获批准的在线账户上传已填写完成表格的PDF文件。对“电子申请”一词进行定义和使用预计不会产生经济影响,但将使本规则以及未来的规则更加清晰,并通过避免重复使用多个词语来表达相同意图,从而简化网站、指南和通信文件的撰写工作。USCIS目前允许申请人通过引导式在线申请流程提交福利申请,或在https://my.uscis.gov网站上传已填写完成的福利申请PDF文件进行提交。DHS对“电子申请”一词的定义旨在涵盖目前可用的各种电子申请方式,并保持足够的灵活性,以适应USCIS未来可能开发的任何新型或其他类型的电子申请方式。
This rule defines “e-file” to mean submission of a benefit request, supporting evidence, documents, notices, and communication electronically in any manner made available and approved by USCIS, including by completing the form online, in a web portal, electronic interface, or by uploading a PDF of the completed form through an approved online account. Defining and using the term “e-file” is not expected to have an economic impact, but it will make this rule, as well as future rules, clearer and will simplify drafting for websites, guidance, and communications by avoiding the repetitive use of multiple words to describe our intent. USCIS currently allows requestors to submit a benefit request through a guided online filing experience or by uploading a PDF of the benefit request online at https://my.uscis.gov. DHS defines e-file to account for the electronic filing methods currently available and to remain flexible enough to account for any future or additional types of e-filing USCIS may develop.
电子申请将通过降低因可预防的错误而导致裁决延误的可能性,减轻申请人的负担。这进而可以减少因等待获得工作许可、旅行许可或身份变更而产生的时间和间接成本。此外,电子申请还降低了申请人因纸质申请被拒收或提交不完整而错过截止日期,从而丧失移民福利资格的风险。
E-filing will reduce the burden on requestors by lowering the likelihood of adjudication delays caused by preventable errors. This, in turn, can reduce the time and indirect costs associated with waiting to work, travel, or change status. In addition, e-filing decreases the risk that requestors will lose eligibility for an immigration benefit because of missed deadlines stemming from rejected or incomplete paper submissions.
电子申请还将为申请人提供非货币性利益。近乎实时的提交、确认及状态更新,使申请人能够更快获得反馈,并更清楚地了解案件进展情况。此外,引导式在线申请,包括提示性的证据类别和实时错误检查,使申请人更容易在首次尝试时正确完成申请。
E-filing will also provide non-monetary benefits to requestors. Nearly real-time submission, confirmation, and status updates give requestors faster feedback and greater transparency into the progress of their cases. In addition, guided online filing, including prompted evidence categories and real-time error checks, makes it easier for requestors to correctly complete applications on the first attempt.
欺诈侦测和国家安全方面的改进亦为申请人和公众带来非金钱性利益。如后文详述,电子记录支持数据分析、模式侦测、欺诈分析以及审查和背景调查,从而加强欺诈预防和国家安全审查。更强的审查和分析工具有助于防止身份欺诈和申请人个人信息的滥用,降低他人欺诈行为延误或使合法案件复杂化的风险。更有效地侦测欺诈性(第51965页)申请可以减少整体系统积压,使善意申请能够得到更高效的处理。这些改进提高了移民系统的完整性和公平性,使申请人更加确信其案件会得到准确评估,且福利会授予符合条件的个人。
Improvements in fraud detection and national security also provide non-monetary benefits to requestors and the public. As explained more fully later, digital records support analytics, pattern detection, fraud analysis, and vetting and background checks to strengthen fraud prevention and national security screening. Stronger screening and analytic tools help prevent identity fraud and misuse of requestor personal information, lowering the risk that fraudulent activity of someone else will delay or complicate a legitimate case. More effective detection of fraudulent ( printed page 51965) filings can reduce overall system backlogs, allowing bona fide applications to be processed more efficiently. These enhancements increase the integrity and fairness of the immigration system, giving requestors greater confidence that their cases are evaluated accurately and that benefits are granted to eligible individuals.
对于部分申请人而言,强制电子申报可能带来一些难以量化的额外成本。尽管国土安全部(DHS)估计电子申报平均而言可减少申报时间负担和其他成本,但个人的实际体验可能因其具体情况、申报习惯以及对电子申报的熟悉程度而有所不同。过去数年中纸质申报持续被使用,这表明部分申请人可能认为电子申报存在某些成本或劣势,而这些成本或劣势并未能充分体现在定量成本之中。关于在线服务的研究表明,此类认知成本可能包括对新渠道相较于既有流程表现的不确定性,以及改变既定做法和学习新系统所需的时间和精力。[155]因此,国土安全部认识到,本分析中所列的货币化估算可能无法完全反映个别申请人所经历的全部成本。
There may be additional costs to some requestors associated with mandatory e-filing that are difficult to quantify. While DHS estimates that e-filing reduces filing time burden and other costs on average, individual experiences may differ depending on their circumstances, filing practices, and familiarity with e-filing. The continued use of paper filing over the past several years suggests that some requestors may perceive costs or disadvantages associated with e-filing that are not readily captured in the quantitative costs. Research on online services indicates that such perceived costs can include uncertainty about how a new channel will perform relative to an established process, and the time and effort required to change established practices and learn a new system.[155] DHS therefore recognizes that the monetized estimate presented in this analysis may not fully reflect all costs experienced by individual requestors.
一个潜在的不确定性来源在于,电子申报所估算的时间节省代表的是整个申报群体的平均效果。尽管国土安全部预计电子申报总体上会减少申报时间负担,但部分申请人可能无法体验到相同程度的减少。例如,已为准备纸质申报开发内部软件或建立既定工作流程的组织,其实现的时间节省可能小于估算值,因为它们已经在使纸质申报对其具体情况而言相对高效的流程上进行了投入。同样,个人体验也可能因申报的复杂程度、此前对纸质流程的投入程度,或对电子申报系统的熟悉程度而有所不同。
One potential source of uncertainty is that the estimated time savings from e-filing represent average effects across the filing population. Although DHS expects e-filing to reduce filing time burden overall, some requestors may not experience the same reduction. For example, organizations that have developed internal software or established workflows for preparing paper filings may realize smaller time savings than estimated, because they have already invested in processes that make paper filing relatively efficient for their specific circumstances. Similarly, individual experiences may vary depending on the complexity of the filing, the extent of prior investments in paper-based procedures, or familiarity with the e-filing system.
部分申请人在采用电子申报时也可能产生一次性的转换成本。这些成本可能包括学习新的申报流程、更新内部程序、培训员工,或修改现有软件或工作流程。这些转换成本可能包括与理解新要求相关的搜索和评估成本、与重新配置现有流程和工具相关的转移成本,以及与熟练掌握电子系统相关的学习成本。这些过渡成本的大小预计在不同申报人之间存在显著差异,且难以量化。对许多申请人而言,这些成本可能是暂时的,并会随时间推移被电子申报所带来的持续效率提升所抵消,而对另一些申请人而言,这些成本可能构成采用电子申报的更大障碍。
Some requestors may also incur one time switching costs associated with adopting e-filing. These costs may include learning a new filing process, updating internal procedures, training staff, or modifying existing software or workflows. These switching costs can include search and evaluation costs associated with understanding new requirements, transfer costs associated with reconfiguring existing processes and tools, and learning costs associated with gaining proficiency with the electronic system. The magnitude of these transition costs is expected to vary substantially across filers and is difficult to quantify. For many requestors, these costs may be temporary and offset over time by the recurring efficiencies associated with e-filing, while for others they may represent a more significant barrier to adoption.
此外,一些申请人指出了当前电子申请系统存在的实际局限,例如文件大小限制、相关表格无法一并提交的限制,以及对保留纸质申请材料包的偏好。部分申请人在组装和提交纸质申请材料时,尤其是对于涉及大量支持性文件的复杂案件,可能会感到更有信心或更具掌控感。关于电子报税采用情况的研究表明,感知风险和对电子服务提供方的信任是决定使用在线系统意愿的重要因素,这表明部分申请人可能需要付出额外的、未货币化的努力,以建立对电子提交的可靠性、完整性和安全性的信心。[156] 这些因素构成了从纸质申请过渡到电子申请过程中与转换相关的未货币化成本,即便在电子申请成为强制要求之前提供了最长达八个月的实施期也是如此。尽管美国公民及移民服务局(USCIS)持续改进其电子申请系统,这些因素仍可能影响部分申请人的申请偏好,且难以进行货币化评估。
In addition, some requestors have identified practical limitations of the current e-filing system, such as file size restrictions, limitations on submitting related forms together, and a preference for maintaining paper filing packages. Some requestors may also perceive greater confidence or control when assembling and submitting paper filings, particularly for complex cases involving extensive supporting documentation. Research on electronic tax filing adoption indicates that perceived risk and trust in the electronic provider are important determinants of willingness to use online systems, suggesting that some requestors may incur additional, non-monetized effort to gain confidence in the reliability, completeness, and security of electronic submissions.[156] These factors represent non monetized switching costs associated with transitioning from paper to e-, even with up to eight months implementation period provided before e-filing becomes mandatory. Although USCIS continues to improve its e-filing system, these considerations may affect some requestors' filing preferences and are difficult to monetize.
美国国土安全部(DHS)认识到,这些因素可能对部分申请人造成本分析所列量化估算未能完全体现的成本。由于这些成本的性质和规模因申请人而异,且无法可靠地加以衡量,美国国土安全部未对其进行量化。美国国土安全部欢迎公众就强制电子申请相关的此类潜在转换成本及其他未量化成本的性质、规模和持续时间提出意见。
DHS recognizes that these factors may result in costs for some requestors that are not fully reflected in the quantified estimates presented in this analysis. Because the nature and magnitude of these costs vary across requestors and cannot be reliably measured, DHS has not quantified them. DHS welcomes public comment on the nature, magnitude, and duration of these potential switching costs and other unquantified costs associated with mandatory e-filing.
本规则还可能间接影响非营利组织、社区组织、法律服务提供者、难民安置机构、地方图书馆以及其他协助个人准备和提交移民福利申请的实体。由于不熟悉电子申请的个人可能寻求帮助创建在线账户、使用电子申请系统、上传支持性文件以及完成电子提交,这些组织可能面临对技术援助需求的增加。在此类协助系无偿提供的情况下,这些实体在向强制电子申请过渡期间可能面临更高的员工时间或资源需求。与此同时,电子申请可能减轻与纸质申请相关的行政负担,例如打印、复印、邮寄和保存纸质记录,从而随着时间推移提高运营效率。美国国土安全部请求公众就强制电子申请对协助申请人和请愿人准备或提交福利申请的这些组织可能产生的间接影响提出意见。
This rule may also indirectly affect nonprofit organizations, community-based organizations, legal service providers, refugee resettlement agencies, local libraries, and other entities that assist individuals in preparing and submitting immigration benefit requests. These organizations may see increased demand for technical assistance as individuals unfamiliar with electronic filing seek help creating online accounts, navigating the electronic filing system, uploading supporting documentation, and completing electronic submissions. Where such assistance is provided without additional compensation, these entities may face higher staff time or resource demands during the transition to mandatory e-filing. At the same time, e-filing may lessen administrative burdens associated with paper applications, such as printing, copying, mailing, and maintaining physical records, which could improve operational efficiency over time. DHS requests public comments on the potential indirect impacts of mandatory e-filing on these organizations that assist applicants and petitioners in preparing or submitting benefit requests.
c. 对联邦政府的成本、成本节约和效益
c. Costs, Cost Savings, and Benefits to the Federal Government
美国国土安全部预计,本规则将减少基于纸质的处理流程,并为美国公民及移民服务局带来成本节约和运营效率的提升。如前言所述,美国公民及移民服务局的锁箱(Lockbox)网络目前每年接收、开启、分类和扫描数百万份纸质福利申请及相关付款。这些活动耗费大量人力且耗时。在2025财政年度,美国公民及移民服务局在锁箱方面产生了395,991,902美元的费用。这些费用包括人工、设施、技术和邮资。在此总额中,253,244,458美元为与锁箱收件操作相关的人工成本。[157] 这些人工成本源于对纸质申请的人工收件处理(例如拆信、分类、扫描、录入数据、执行质量控制以及准备转运)。本规则生效后,如果美国公民及移民服务局能够通过电子申请减少或消除这些人工步骤,美国国土安全部估计,美国公民及移民服务局每年将可避免目前用于纸质收件处理的约2.2亿美元人工支出。[158]
DHS anticipates that this rule would result in a reduction in paper-based processing and generate cost savings and operational efficiencies for USCIS. As discussed in preamble, the USCIS Lockbox network currently receives, opens, sorts, and scans millions of paper benefit requests and associated payments each year. These activities are labor-intensive and time-consuming. In FY 2025, USCIS incurred $395,991,902 in lockbox costs. These costs include labor, facilities, technology, and postage. Of this total, $253,244,458 represents labor costs associated with lockbox intake operations.[157] These labor costs are attributable to the manual intake of paper filings ( e.g., extracting mail, sorting, scanning, keying data, performing quality control, and preparing shipments). When the rule is in effect, if USCIS can reduce or eliminate these manual steps through e-filing, DHS estimates that USCIS would avoid approximately $220 million per year in labor expenditures currently devoted to paper intake.[158]
纸质作业产生大量邮资和运输成本。在2025财政年度,美国公民及移民服务局仅邮资支出就达10,864,781美元,用于支持纸质处理工作。美国国土安全部估计,强制电子申请每年将使此类邮资成本减少约950万美元(印刷页第51966页)。[159] 这是美国公民及移民服务局因强制实施电子申请而实现的年度成本节约。
Paper-based operations impose substantial postage and shipping costs. In FY2025, USCIS spent $10,864,781 on postage alone to support paper-based processing. DHS estimates that mandatory e-filing would reduce these postage costs by approximately $9.5 ( printed page 51966) million annually.[159] This is annual cost savings to USCIS from mandating e-filing.
美国公民及移民服务局(USCIS)预计强制电子申报将通过减少对纸质A类档案及存储和管理这些档案所需基础设施的依赖,从而产生成本节约。USCIS目前在142个设施中维护约5860万份现用档案,并与美国国家档案和记录管理局(NARA)或商业供应商共同保管5800万份已归档的A类档案,保管期限通常为归档后50年,每年处理超过80万次已归档档案的调取。随着越来越多的案件“天生”即为数字化案件,纸质档案的增长、档案调取以及相关的处理、运送、租赁和长期存储成本将会下降。电子申报还可避免未来因NARA要求而产生的转换成本,该要求规定自2022年12月31日起,所有移交的记录均须为电子形式。目前以电子方式提交的记录在归档时将无需再进行数字化处理。
USCIS expects mandatory e-filing to generate cost savings by reducing reliance on paper A-Files and the infrastructure needed to store and manage them. USCIS currently maintains about 58.6 million active files across 142 facilities and 58 million retired A-Files with NARA or commercial vendors, often for 50 years after retirement, and processes over 800,000 retired-file retrievals annually. As more cases are “born” digital, the growth of paper files, retrievals, and associated handling, shipping, leasing, and long-term storage costs will decline. E-filing also avoids future conversion costs triggered by NARA's requirement that, beginning December 31, 2022, all transferred records be electronic; records filed electronically now will not need later digitization at retirement.
电子申报预计还将通过减少因纸质档案丢失或放错位置而产生的成本,以及通过实物档案审计来降低成本。在2025财年,共报告86,384份档案丢失或遗失,这需要工作人员耗费时间寻找或重新制作这些档案,从而延误裁决,并增加基于不完整记录作出决定的风险。为核实USCIS及外部合作伙伴所持档案的位置而进行的实物档案审计,同样需要耗费大量人力进行人工检查。通过限制纸质档案的产生和流转,电子记录降低了档案丢失的风险和成本,并减少了对资源密集型审计的需求,从而提高整体效率并降低运营开支。
E-filing is further expected to reduce costs due to missing or misplaced paper files and by physical file audits. In FY 2025, 86,384 files were reported missing or lost, requiring staff time to locate or recreate them, delaying adjudications, and increasing the risk of decisions made on incomplete records. Physical file audits, conducted to verify the location of files held by USCIS and external partners, also require labor intensive, manual inspection. By limiting the creation and movement of paper files, electronic records reduce the risk and cost of lost files and lessen the need for resource intensive audits, improving overall efficiency and reducing operational expenses.
电子申报将通过降低可避免的返工量来降低USCIS的处理成本。因签名缺失、表格版本错误、费用金额错误及数据不完整而导致的驳回减少,将降低需要重复审查和处理的申请数量。此外,结构更完善的电子表格及实时验证预计将减少对证据补充请求(Requests for Evidence)和拒绝意向通知(Notices of Intent to Deny)的需求,从而减少起草、签发和处理此类通知所需的工作人员时间。
E-filing will reduce USCIS processing costs by lowering the volume of avoidable rework. Fewer rejections for missing signatures, incorrect form versions, incorrect fee amounts, and incomplete data will decrease the number of filings that must be reviewed and handled more than once. In addition, better-structured electronic forms and real-time validation are expected to reduce the need for Requests for Evidence and Notices of Intent to Deny, cutting the staff time required to draft, issue, and process such notices.
电子申报还将为USCIS带来运营效益。直接电子化受理提高了数据质量和标准化程度,从而支持更一致、及时和准确的裁决。此外,减少因可避免的申报错误而造成的处理延误,将有助于USCIS更好地管理积案并实现既定的服务目标。完全电子化的记录使USCIS能够在无需运送纸质档案的情况下实时在各办公室之间重新分配工作,并使多个办公室能够同时访问同一案件。这种灵活性有助于USCIS减少因局部工作量激增而造成的延误,并提高该机构利用现有人力管理案件量的能力,从而降低每个案件的运营成本。
E-filing will also provide operational benefits to USCIS. Direct electronic intake improves data quality and standardization, which supports more consistent, timely, and accurate adjudications. In addition, reducing processing delays caused by avoidable filing errors will help USCIS better manage case backlogs and meet established service goals. Fully electronic records allow USCIS to redistribute work across offices in real time without shipping paper files and to give multiple offices simultaneous access to the same case. This flexibility helps USCIS reduce delays caused by localized surges in workload and improves the agency's ability to manage caseloads with its existing workforce, lowering the operational cost per case.
欺诈侦测和国家安全方面的改善主要是USCIS和美国国土安全部(DHS)获得的非货币性效益。在以纸质为基础的流程下,欺诈侦测和国家安全审查受限于有限的、经选择性录入的数据。电子申报和完全数字化的记录能够以结构化数据形式捕获100%的信息,并支持跨案件和跨系统的文本分析、模式侦测、更快速和更广泛的欺诈趋势分析,以及持续审查和自动化背景调查。这些能力加强了欺诈的预防和侦测,提升了国家安全审查水平,并使欺诈侦测与国家安全局(FDNS)工作人员的时间得到更有效的利用。
Improvements in fraud detection and national security are primarily non-monetary benefits to USCIS and DHS. Under a paper-based process, fraud detection and national security vetting are constrained by limited, selectively keyed data. E-filing and fully digital records capture 100 percent of the information as structured data and support cross-case and cross-system text analytics, pattern detection, faster and broader fraud trend analysis, and continuous vetting and automated background checks. These capabilities strengthen fraud prevention and detection, enhance national security screening, and enable more effective use of FDNS staff time.
信息共享和诉讼支持的增强将为USCIS、DHS的其他部门、美国国务院及其他政府合作伙伴带来运营效益,并为法院和申请人带来间接效益。电子记录可在各机构之间快速共享,并可同时用于裁决、安全审查和诉讼,从而消除因纸质档案流转而产生的延误。这使得机构能够更快地应对安全事件,并更及时、高效地在诉讼及其他监督程序中提供行政记录。
Enhanced information sharing and litigation support will provide operational benefits to USCIS, other DHS components, the Department of State, and other government partners, with indirect benefits to courts and requestors. Electronic records can be rapidly shared across agencies and used simultaneously for adjudications, security reviews, and litigation, eliminating delays tied to moving paper files. This allows faster responses to security incidents and more timely, efficient production of administrative records in litigation and other oversight processes.
数据质量和完整性的改善是USCIS及依赖USCIS数据的合作机构所获得的效益。在线表格强制执行标准化的格式和定义,并消除了人工数据录入中产生的许多转录错误。因此,USCIS的数据变得更加准确、一致和完整,从而支持更好的分析、报告和决策支持,并使其更易于与其他使用或共享移民数据的系统实现互操作。
Improvements in data quality and integrity are benefits that accrue to USCIS and partner agencies that rely on USCIS data. Online forms enforce standardized formats and definitions and remove many transcription errors that arise from manual data entry. As a result, USCIS data become more accurate, consistent, and complete, supporting better analytics, reporting, and decision support, and making it easier to interoperate with other systems that consume or share immigration data.
用户体验和信息获取方面的改进对申请人和公众均有益处。集中化的myUSCIS账户为申请人提供对其申请历史、案件状态和通知的统一访问,以及实时更新和通讯。
User experience and access to information improvements are benefits for requestors and the public. Centralized myUSCIS accounts provide requestors with consolidated access to their filing history, case status, and notices, as well as real-time updates and communications.
安全与隐私方面的增强主要使申请人受益,同时也为美国公民及移民服务局(USCIS)带来风险降低的好处。myUSCIS中的在线账户采用双重身份验证,相较于可能被误投递或在共用邮箱中被他人获取的实体邮件,为申请人提供了更可控、更私密的通知和个人信息访问方式。这种对敏感信息的更强保护,对于犯罪或虐待受害者等弱势群体尤为重要,因为他们的安全和福祉可能取决于其移民记录的保密性。
Security and privacy enhancements are benefits primarily for requestors, with risk reduction benefits for USCIS. Online accounts in myUSCIS use two factor authentication and give requestors more controlled and private access to their notices and personal information than physical mail, which may be misdelivered or accessible in shared mailboxes. This stronger protection of sensitive information is especially important for vulnerable populations, such as victims of crime or abuse, whose safety and wellbeing may depend on the confidentiality of their immigration records.
强制实行电子申报要求美国公民及移民服务局(USCIS)承担与信息技术相关的资源成本。这些成本来自于为接收、存储、处理和裁决电子提交材料所需的系统运行和支持。美国国土安全部(DHS)预计将产生与确保符合无障碍标准、系统测试以及制定应急计划(以减轻潜在的服务中断或系统停机)相关的成本。DHS还预计,与在线账户访问、文件上传和系统导航相关的使用协助需求将增加,这将需要技术支持资源。本规则确立了申请豁免电子申报要求的程序,这将产生审查豁免申请、处理相关文件以及裁决与豁免表格相关的费用豁免申请所需的行政成本。
Mandating e-filing requires USCIS to incur information technology related resource costs. These costs arise from the operation and support of systems necessary to receive, store, process, and adjudicate electronic submissions. DHS expects costs associated with ensuring compliance with accessibility standards, system testing, and contingency planning to mitigate potential service disruptions or system downtime. DHS also anticipates increased demand for use assistance related to online account access, document uploads, and system navigation requiring technical support resources. This rule establishes a process for requesting a waiver from the e-filing requirement, which will incur administrative costs to review exemption requests, process associated documentation and adjudicate fee waiver submissions related to the exemption form.
《移民与国籍法》(INA)规定,应按足以确保全额收回DHS提供裁决和归化服务成本的水平征收费用,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。INA第286(m)条,8 U.S.C. 1356(m)。DHS通常根据相对裁决负担和USCIS资源使用情况估算的裁决成本来制定USCIS费用。[160] 费用的设定水平应足以收回这些指定成本,例如文员、官员和管理人员的薪酬及福利,外加一笔用于收回未分配间接费用和免费提供的移民福利成本的金额。
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 by DHS, including administrative costs and services provided without charge to certain applicants and petitioners. INA sec. 286(m), 8 U.S.C. 1356(m). DHS generally establishes USCIS fees according to the estimated cost of adjudication based on its relative adjudication burden and use of USCIS resources.[160] 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 and immigration benefits provided without a fee charge.
DHS在2024财年费用规则中根据实证成本估算确定了其大多数表格当前的费用。随着时间推移,与电子申报增加相关的运营效率提升可能会降低USCIS的裁决和受理成本。只要这些节省得以持续,它们将被纳入(印刷页51967)未来的费用审查中,这可能会降低机构的总体成本收回要求,并相对于纸质操作模式减缓未来费用水平的增长。
DHS established the current fee for most of its forms in FY 2024 fee rule based on empirical cost estimates. Over time, the operational efficiencies associated with increased e-filing may reduce USCIS adjudication and intake costs. To the extent these savings are sustained, they will be incorporated into ( printed page 51967) future fee reviews, potentially reducing the agency's overall cost recovery requirement and slowing the growth in the future fee levels relative to a paper-based operation.
强制实行电子申报可能对地方社区机构,特别是公共图书馆产生间接影响,因为图书馆通常是缺乏可靠互联网服务或计算资源的个人获取服务的途径。随着申请人从纸质提交转向在线提交移民福利申请,图书馆可能会经历对公共电脑、互联网带宽以及打印或扫描服务需求的增加,同时也需要投入更多工作人员时间协助使用者进行基本的数字化操作和文件准备。这些影响代表着资源利用从移民福利申请人向地方资助机构的转移,并可能对数字服务匮乏人群或移民人群比例较高的社区产生不成比例的影响。尽管由于数据限制难以量化这些影响,但预计不会很显著。
Mandating e-filing may generate indirect impacts on local community institutions, particularly public libraries, which often serve as access points for individuals who lack reliable internet service or computing resources. As requestors shift from paper-based to online submission of immigration benefit requests, libraries may experience increased demand for public computers, internet bandwidth, and printing or scanning services, as well as additional staff time devoted to assisting patrons with basic digital navigation and document preparation. These effects represent a shift in resource utilization from immigration benefit requestors to locally funded institutions and may disproportionately affect communities with higher concentrations of digitally underserved or immigrant populations. Although these impacts are difficult to quantify due to data limitations, they are not expected to be substantial.
5. 已考虑的替代方案
5. Alternatives Considered
根据本规则,如果某一福利申请已可供电子提交至少180天,美国公民及移民服务局(USCIS)即可要求对该申请实行电子提交。国土安全部(DHS)还考虑了一种替代方案,即仅在某一表格的自愿电子提交率达到特定门槛后才启动强制电子提交。国土安全部认定,将强制要求与电子提交采用率门槛挂钩,不如采用附带提前通知的基于时间的门槛更为适当。采用使用率门槛的做法将使申请人难以预测强制电子提交的生效日期,因为其时间取决于整体使用率何时恰好超过特定百分比。这种不确定性将使美国公民及移民服务局更难规划内部资源和内部系统变更。事先确定适当的门槛存在困难:门槛过低可能无法充分保证可用性和可及性,而门槛过高则可能对某些表格或特定群体而言不切实际。此外,某些服务于采用行为较为保守的特定群体的表格可能永远无法达到规定门槛,这实际上将使美国公民及移民服务局无限期地被迫同时维持纸质和电子两套流程,即便在电子提交具有操作可行性且符合公共利益的情况下亦是如此。
Under this rule, USCIS may require e-filing for any benefit request that has been available for e-filing for at least 180 days. DHS also considered an alternative under which mandatory e-filing would begin only after a form reached a specified threshold of voluntary e-filings. DHS determined that tying a mandate to an e-filing adoption threshold is less appropriate than using a time-based threshold with advance notice. A usage threshold approach would make the effective date of mandatory e-filing unpredictable for requestors because the timing would depend on when overall usage happens to cross a specified percentage. This uncertainty would make it more difficult for USCIS to plan internal resources and internal system changes. It is difficult to determine an appropriate threshold in advance: a threshold that is too low may provide little assurance about usability and access, while a higher threshold could be unrealistic for certain forms or populations. In addition, some forms serving specific populations with more reserved adoption behavior might never reach the specified threshold, effectively locking USCIS into maintaining dual paper and electronic processes indefinitely, even where e-filing is operationally viable and in the public interest.
然而,本规则采用的做法,即仅允许美国公民及移民服务局在某一表格已可电子提交至少180天后才强制要求电子提交,并在生效日期前提供附带60天宽限期的提前公众通知,这为美国公民及移民服务局提供了对该流程更大的掌控力。该做法为申请人提供了明确的最短适应期,以适应电子提交的可用性,同时保留了美国公民及移民服务局在强制要求电子提交之前考虑系统性能和其他操作因素的灵活性。如果受影响群体在强制要求实施后完全停止提交相关申请,该强制要求亦可予以撤销。
However, the approach in this rule—allowing USCIS to mandate e-filing only after a form has been available electronically for at least 180 days and providing advance public notice with a 60-day grace period before the effective date—offers USCIS more control over the process. It gives requestors a defined minimum period to adjust to the availability of e-filing while preserving flexibility for USCIS to consider system performance and other operational factors before making e-filing mandatory. The mandate is also reversible should the affected population stop filing the applicable request altogether following the mandate.
国土安全部考虑了但未采纳若干关于电子提交要求豁免的替代方案,例如允许申请人将豁免申请与纸质福利申请一并提交、允许提交豁免申请而无需使用标准化表格,或提供免费豁免。国土安全部最终认定,这些替代方案均不优于其所选定的做法,即要求在新设立的标准化表格上单独预先提交豁免申请并缴纳费用。
DHS considered, but did not adopt, several alternative approaches to the waiver of e-filing requirement, such as allowing requestors to submit a waiver request together with the paper benefit request, allowing waiver requests without a standardized form, or providing waivers without a fee. DHS ultimately determined these alternatives are not superior to the chosen approach of requiring a separate, pre-filed waiver on a standardized newly created form with a fee.
允许申请人将豁免申请与纸质福利申请一并提交,将损害豁免程序的主要目的之一,即让美国公民及移民服务局提前掌握纸质提交情况,以便规划其对电子受理工作造成的影响。如果豁免申请与纸质福利申请一并送达,美国公民及移民服务局仍需在接受该申请之前先行审查豁免申请,这可能提高拒收率,并使申请人对其提交是否会被视为妥善收悉产生不确定性。将大批申请材料邮寄退回申请人,将削减本规则带来的邮寄成本节省。相比之下,要求在提交纸质申请之前先行获得豁免批准,可为申请人提供更明确的预期,并使美国公民及移民服务局能够更准确地预测和管理纸质案件的数量。
Allowing requestors to submit a waiver request together with the paper benefit request would undermine one of the main purposes of the waiver process to give USCIS advance visibility into paper filing so that it can plan the disruption to electronic intake. If waiver requests arrived bundled with paper benefit requests, USCIS would still need to review the waiver before accepting the filing, which could increase rejection rates and create uncertainty for requestors about whether their filings would be treated as properly received. Mailing large request packages back to the requester would reduce themail savings from this rule. By contrast, requiring a pre-approved waiver before a paper filing is submitted provides clearer expectations for requestors and allows USCIS to more accurately anticipate and manage the volume of paper cases.
同样,不采用标准化豁免表格将降低该流程的效率和一致性。专用表格可确保美国公民及移民服务局以统一方式收集评估困难主张所需的具体信息,支持更一致的裁决,并便于随时间追踪豁免数量和结果,以用于项目管理和未来的费用审查。非正式或无固定格式的豁免申请将增加裁决所需时间,使标准的统一适用更加困难,并使数据收集和监督工作复杂化。
Similarly, not using a standardized waiver form would reduce the efficiency and consistency of the process. A dedicated form ensures that USCIS collects the specific information needed to evaluate hardship claims in a uniform manner, supports more consistent adjudication, and facilitates tracking of waiver volumes and outcomes over time for program management and future fee reviews. Informal or unstructured waiver requests would increase adjudication time, make it more difficult to apply standards consistently, and complicate data collection and oversight.
最后,尽管国土安全部(DHS)曾考虑提供免费豁免,但不收取费用的做法会将处理豁免请求的全部成本转嫁给其他缴费请求人,且无法遏制轻率或投机性的豁免申请。25美元的费用旨在收回与豁免请求受理相关的部分成本,这与国土安全部的成本回收权限相符,同时仍允许根据现行法规对指定类别给予费用豁免。国土安全部认定,相较于让其他请求人承担豁免程序的全部成本并避免不必要的豁免申请,这种做法能更好地平衡那些确实无法遵守电子申请要求者获得纸质申请选项的需求。
Finally, although DHS considered providing waivers without a fee, a no-fee approach would shift the full cost of processing waiver requests onto other fee-paying requestors and would not discourage frivolous or speculative waiver filings. The $25 fee is designed to recover at least part of the costs associated with intake of waiver requests, consistent with DHS's cost-recovery authority, while still allowing fee waivers for specified categories under existing regulations. DHS concluded that this approach better balances access to a paper-filing option for those who genuinely cannot comply with the e-filing requirement against the need to avoid imposing the full cost of the waiver process on other requestors and to discourage unnecessary waiver submissions.
6. 量化成本、收益和转移支付总额
6. Total Quantified Costs, Benefits, and Transfers
国土安全部估计,请求人将获得约5.33亿美元的量化成本节省总额。这些节省源于不再提交纸质福利请求、避免重新提交被驳回的纸质表格的必要性,以及减少与纸质申请相关的时间负担。国土安全部还估计,请求人将因电子申请要求豁免表格产生约1500万美元的新成本,包括完成该表格所需时间的机会成本和邮寄费用。仅就量化影响而言,净计算后,本规则预计将为请求人带来约5.18亿美元的成本节省。
DHS estimates that requestors will experience total quantified cost savings of approximately $533 million. These savings result from no longer filing paper-based benefit requests, avoiding the need to re-file rejected paper forms, and reducing the time burden associated with paper filing. DHS also estimates that requestors will incur about $15 million in new costs related to the waiver of e-filing requirement form, including the opportunity cost of the time needed to complete the form and mailing expenses. On net, based on quantified impacts only, the rule is expected to generate approximately $518 million in cost savings to requestors.
除这些成本影响外,本规则还产生了政府与请求人之间的转移支付。国土安全部估计,电子申请费折扣将使约1.4亿美元从政府转移给请求人。表18总结了本规则的年度量化经济影响。
In addition to these cost impacts, the rule generates transfers between the government and requestors. DHS estimates that an e-filing fee discount will transfer about $140 million from the government to requestors. Table 18 summarizes the annual quantified economic impact of the rule.
(印刷页51968)
( printed page 51968)
表19显示,在2027财年至2036财年的实施期间,国土安全部估计未折现净成本节省总额约为51.81亿美元,未折现净转移支付总额约为14亿美元(从政府转移给请求人)。按3%的贴现率折现后,10年期净成本节省约为44.20亿美元,转移支付约为11.94亿美元。按7%的贴现率折现后,10年期净成本节省约为36.39亿美元,净转移支付约为9.83亿美元。这些总额相当于在3%和7%两种贴现率下,年化净成本节省约为5.18亿美元,年化转移支付约为1.4亿美元。
Over the FY 2027-FY 2036 implementation period, Table 19 shows that DHS estimates total undiscounted net cost savings of about $5,181 million and undiscounted net transfers of about $1,400 million (from the government to requestors). When discounted at a 3-percent rate, the 10-year net cost savings are approximately $4,420 million and transfers are approximately $1,194 million. When discounted at a 7-percent rate, the 10-year net cost savings are approximately $3,639 million, and net transfers are approximately $983 million. These totals are equivalent to annualized net cost savings of about $518 million and annualized transfers of about $140 million at both the 3- and 7-percent discount rates.
C. 《管制灵活性法》(认证)
C. Regulatory Flexibility Act (Certification)
经《1996年小企业管制执行公平法》修订的《1980年管制灵活性法》(RFA)要求联邦机构在制定法规过程中考虑法规对小企业、小型政府辖区和小型组织的潜在影响。“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。[161] “个人”不被视为小实体,规则对个人造成的成本不在《管制灵活性法》的考量范围之内。
The Regulatory Flexibility Act of 1980 (RFA), as amended by the Small Business Regulatory Enforcement Fairness Act of 1996, 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.[161] An “individual” is not considered a small entity and costs to an individual from a rule are not considered for RFA purposes.
《管制灵活性法》的管制灵活性分析要求仅适用于机构依据5 U.S.C. 553或任何其他法律必须发布拟议规则制定总通知的规则。见5 U.S.C. 604(a)。国土安全部未就本行动发布拟议规则制定通知。因此,国土安全部既无需证明本临时最终规则(IFR)不会对大量小实体产生重大经济影响,也无需进行管制灵活性分析。
The RFA's regulatory flexibility analysis requirements apply only to those rules for which an agency is required to publish a general notice of ( printed page 51969) proposed rulemaking pursuant to 5 U.S.C. 553 or any other law. See5 U.S.C. 604(a). DHS did not issue a notice of proposed rulemaking for this action. Accordingly, DHS is not required to either certify that this IFR would not have a significant economic impact on a substantial number of small entities nor conduct a regulatory flexibility analysis.
D. 《1995年无资金授权改革法》
D. Unfunded Mandates Reform Act of 1995
《1995年无资金授权改革法》(UMRA)的目的之一是遏制向州、地方和部落政府施加无资金联邦授权的做法。[162] UMRA第二章要求各联邦机构就最终规则中任何可能导致州、地方和部落政府合计或私营部门在任何一年内支出1亿美元或以上(每年根据通货膨胀进行调整)的联邦授权的影响编写书面声明。见2 U.S.C. 1532(a)。根据消费者价格指数(全体城市消费者,CPI-U),经通货膨胀调整后,1995年的1亿美元相当于2024年的约2.06亿美元。[163]
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.[162] Title II of UMRA requires each Federal agency to prepare a written statement assessing the effects of any Federal mandate in a final 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. See2 U.S.C. 1532(a). The inflation adjusted value of $100 million in 1995 is approximately $206 million in 2024 based on the Consumer Price Index for All Urban Consumers (CPI-U).[163]
“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。参见《美国法典》第2编第1502(1)条、第658(6)条。“联邦政府间强制令”一词在相关方面是指将对州、地方或部落政府施加可强制执行义务的条款(作为联邦援助条件或因参与自愿性联邦计划而产生的义务除外)。《美国法典》第2编第658(5)条。“联邦私营部门强制令”一词在相关方面是指将对私营部门施加可强制执行义务的条款(作为联邦援助条件或因参与自愿性联邦计划而产生的义务除外)。参见《美国法典》第2编第658(7)条。
The term “Federal mandate” means a Federal intergovernmental mandate or a Federal private sector mandate. See2 U.S.C. 1502(1), 658(6). The term “Federal intergovernmental mandate” means, in relevant part, a provision that would impose an enforceable duty upon State, local, or Tribal governments (except as a condition of Federal assistance or a duty arising from participation in a voluntary Federal program). 2 U.S.C. 658(5). The term “Federal private sector mandate” means, in relevant part, a provision that would impose an enforceable duty upon the private sector except (except as a condition of Federal assistance or a duty arising from participation in a voluntary Federal program). See2 U.S.C. 658(7).
本规则不包含《无资金拨款强制令改革法》(UMRA)所定义的联邦强制令,因为本规则不对任何其他级别的政府或私营部门实体施加任何可强制执行的义务。此类实体所受的任何下游影响,均仅因其自愿选择而产生,而非可强制执行义务的后果。同样,对州和地方政府造成的任何成本或转移影响,也不是UMRA所定义的联邦强制令所致。参见《美国法典》第2编第1502(1)条、第658(6)条。因此,UMRA第二编的要求不适用于本规则,国土安全部(DHS)未依据UMRA编制相关声明。
This rule does not contain a Federal mandate as the term is defined under UMRA because it does not impose any enforceable duty upon any other level of government or private sector entity. Any downstream effects on such entities would arise solely due to their voluntary choices and would not be a consequence of an enforceable duty. Similarly, any costs or transfer effects on State and local governments would not result from a Federal mandate as that term is defined under UMRA. See2 U.S.C. 1502(1), 658(6). The requirements of title II of UMRA, therefore, do not apply, and DHS has not prepared a statement under UMRA.
E. 1996年《小企业管理公平执法法》(国会审查法)
E. Small Business Regulatory Enforcement Fairness Act of 1996 (Congressional Review Act)
国会审查法(CRA)作为1996年《小企业管理公平执法法》(SBREFA)的一部分,被纳入该法第E分章,公法第104-121号,第二编,《美国法规大全》第110卷第847页,第868页及以下(1996年3月29日)。本临时最终规则(IFR)符合《美国法典》第5编第804(2)条规定的标准,因为其可能对经济产生每年1亿美元或以上的影响。参见《美国法典》第5编第804(2)(A)条。国土安全部已遵守CRA的报告要求,并已按照《美国法典》第5编第801(a)(1)条的规定将本规则提交国会和审计长。如本序言所述,国土安全部认定有正当理由使本规则自公布之日起立即生效,因为无需履行通知和评论程序。《美国法典》第5编第808(2)条。
The Congressional Review Act (CRA) was included as part of the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA) by subtitle E of SBREFA, Public Law 104-121, title II, 110 Stat. 847, 868, et seq. (Mar. 29, 1996). This IFR meets the criteria set forth in 5 U.S.C. 804(2) because it is likely to result in an annual effect on the economy of $100 million or more. See5 U.S.C. 804(2)(A). DHS has complied with the CRA's reporting requirements and has sent this rule to Congress and to the Comptroller General as required by 5 U.S.C. 801(a)(1). As stated in this preamble, DHS has found that there is good cause to make this rule effective immediately upon publication because notice and comment is not required. 5 U.S.C. 808(2).
F. 第13132号行政命令(联邦制)
F. Executive Order 13132 (Federalism)
本临时最终规则不会对各州、国家政府与各州之间的关系,或各级政府之间权力与职责的分配产生实质性直接影响。因此,根据第13132号行政命令第6节的规定,确定本规则不具有足以要求编制联邦制影响摘要声明的联邦制影响。
This IFR would not have substantial direct effects on the States, 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 E.O. 13132, it is determined that this rule does not have sufficient federalism implications to warrant the preparation of a federalism summary impact statement.
G. 第12988号行政命令(民事司法改革)
G. Executive Order 12988 (Civil Justice Reform)
本临时最终规则系依照第12988号行政命令《民事司法改革》起草和审查。本临时最终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,从而最大限度减少诉讼并减轻联邦法院系统的不当负担。国土安全部已确定本规则符合第12988号行政命令第3节规定的适用标准。
This IFR is drafted and reviewed in accordance with E.O. 12988, Civil Justice Reform. This IFR was written to provide a clear legal standard for affected conduct and was reviewed carefully to eliminate drafting errors and ambiguities so as to minimize litigation and undue burden on the Federal Court system. DHS has determined that this rule meets the applicable standards provided in section 3 of E.O. 12988.
H. 家庭评估
H. Family Assessment
国土安全部已依照1999年《财政部总拨款法》第654节的要求对本规则进行了审查。参见公法第105-277号,《美国法规大全》第112卷第2681页(1998年)。国土安全部已系统审查第654(c)(1)节所规定的各项标准,评估本监管行动是否:(1)影响家庭的稳定性或安全性,特别是在婚姻承诺方面;(2)影响父母在子女教育、抚养和监督方面的权力;(3)有助于家庭履行其职能;(4)影响家庭和儿童的可支配收入或贫困状况;(5)仅在有正当理由的情况下对家庭产生财务影响(如有);(6)可由州或地方政府或家庭自行实施;或(7)就青少年行为与个人责任同社会规范之间的关系确立政策。如该机构认定某项法规可能对家庭福祉产生负面影响,则该机构必须就其实施提供充分的理由说明。
DHS has reviewed this rule in line with the requirements of section 654 of the Treasury General Appropriations Act, 1999. SeePublic Law 105-277, 112 Stat. 2681 (1998). DHS has systematically reviewed the criteria specified in section 654(c)(1), by evaluating whether this regulatory action: (1) impacts the stability or safety of the family, particularly in terms of marital commitment; (2) impacts the authority of parents in the education, nurture, and supervision of their children; (3) helps the family perform its functions; (4) affects disposable income or poverty of families and children; (5) only financially impacts families, if at all, to the extent such impacts are justified; (6) may be carried out by State or local government or by the family; or (7) establishes a policy concerning the relationship between the behavior and personal responsibility of youth and the norms of society. If the agency determines a regulation may negatively affect family well-being, then the agency must provide an adequate rationale for its implementation.
DHS没有数据表明本临时最终规则将对可支配收入或某些家庭和儿童(包括美国公民儿童)的贫困状况产生任何影响。DHS承认,本规则将对某些家庭施加一项新的、小额的必须缴纳的费用。然而,本临时最终规则将为USCIS和联邦政府提供资金,用于管理受影响的项目并实现本规则的意图。然而,25美元的费用对受影响家庭的可支配收入影响甚微。DHS还确定,本规则不会对家庭作为一种制度的自主性或完整性产生任何影响。
DHS has no data that indicate that this IFR will have any impacts on disposable income or the poverty of certain families and children, including U.S. citizen children. DHS acknowledges that this rule would impose a new, small fee that some families must submit. However, the IFR would provide USCIS and the Federal Government with funds that would be used to administer the affected programs and meet the rule's intent. However, a fee of $25 would have minute effect on the disposable income for the affected families. DHS also determined that this rule would not have any impact on the autonomy or integrity of the family as an institution.
I. 第13175号行政命令(与印第安部落政府的磋商与协调)
I. Executive Order 13175 (Consultation and Coordination With Indian Tribal Governments)
根据关于与印第安部落政府磋商与协调的第13175号行政命令,本临时最终规则不涉及部落事宜,因为它不会对一个或多个印第安部落、联邦政府与印第安部落之间的关系、或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。(印刷页第51970页)
This IFR does not have Tribal implications under E.O. 13175, Consultation and Coordination with Indian Tribal Governments, because it will not have a substantial direct effect 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. ( printed page 51970)
J. 国家环境政策法(NEPA)
J. National Environmental Policy Act (NEPA)
国土安全部(DHS)及其下属机构对拟议的监管行动进行分析,以确定《国家环境政策法》(NEPA,42 U.S.C. 4321及以下条款)是否适用,如适用,则需确定所需分析的程度。DHS第023-01号指令第01次修订版《实施国家环境政策法》及第023-01-001-01号指导手册第01次修订版(“指导手册”)[164]确立了DHS及其下属机构用于遵守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 and, if so, what degree of analysis is required. DHS Directive 023-01, Revision 01 “Implementing the National Environmental Policy Act” and Instruction Manual 023-01-001-01, Revision 01 (“Instruction Manual”) [164] 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类别的行动(“类别排除”),根据经验表明,这些行动无论是单独还是累积,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声明。参见42 U.S.C. 4336(a)(2)和4336(e)(1)。《指导手册》附录A列出了DHS的类别排除事项。[165]
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) and 4336(e)(1). The Instruction Manual, Appendix A lists the DHS Categorical Exclusions.[165]
根据DHS的NEPA实施程序,一项行动要获得类别排除,必须同时满足以下三个条件:(1)整个行动明确属于一项或多项类别排除范围;(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。[166]
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.[166]
本临时最终规则仅限于修订DHS法规以扩大USCIS表格的电子提交使用范围。本规则纯属行政性和程序性规定。DHS已对本规则进行审查,认定本规则中的修订不会对环境造成重大影响,也不会导致任何环境影响方面的变化。
This interim final rule is limited to amending the DHS regulations to expand the use of e-filing for USCIS forms. This rule is strictly administrative and procedural. DHS has reviewed this rule and finds that no significant impact on the environment, or any change in environmental effect will result from the amendments in this rule.
因此,DHS认定,本规则对现行法规的修订明确符合DHS在其NEPA实施程序中确立的类别排除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,也不存在可能产生重大环境影响的特殊情况。因此,本规则所作的监管修订被归类排除,无需进一步进行NEPA审查。
Accordingly, DHS finds that the promulgation of this rule's 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. Therefore, the regulatory amendments made in this rule are categorically excluded from further NEPA review.
K. 文书削减法(PRA)
K. Paperwork Reduction Act (PRA)
根据1995年《文书削减法》(公法104-13号,1995年5月22日),所有机构均须将规则中所包含的任何报告要求提交管理和预算办公室(OMB)审查和批准。本规则包含一项拟议的新信息收集事项,该事项将在意见征询期结束并对意见作出回应后提交OMB。虽然本规则所编纂的法规将按照上文“生效日期”部分所规定的日期生效,但本规则规定,强制要求以电子方式提交某一表格须以经批准的信息收集为前提,该信息收集可用于申请豁免电子提交。因此,在USCIS处理完就本规则所产生的信息收集在60天意见征询期内收到的意见、按照5 CFR 1320.12(d)的要求发布30天联邦公报通知,且OMB按照PRA要求对该信息收集请求作出结论之前,USCIS不会要求任何表格仅以电子方式提交。[167]
Under the Paperwork Reduction Act of 1995, Public Law 104-13 (May 22, 1995), all agencies are required to submit to OMB, for review and approval, any reporting requirements inherent in a rule. This rule contains a proposed new collection of information that will be submitted to OMB upon completion of the comment period and response to comments. While the regulations codified in this rule will be effective as provided in the DATES section above, this rule provides that mandating electronic submission of a certain form entails an approved information collection that can be used to request a waiver from e-filing. Accordingly, USCIS will not require that any form be submitted only electronically until USCIS addresses the comments received during the 60-day comment period on the information collection that this rule creates, publishes a 30-day Federal Register Notice as required under 5 CFR 1320.12(d), and OMB concludes the collection request as required by the PRA.[167]
美国国土安全部(DHS)和美国公民及移民服务局(USCIS)邀请社会公众和其他联邦机构就拟议信息收集的影响提交意见。根据《文书削减法》(PRA)的规定,本规则在《联邦公报》上的公布即满足就新信息收集工具征求意见的义务。
DHS and USCIS invite the general public and other Federal agencies to comment on the impact to the proposed collection of information. In accordance with the PRA, publication of this rule in the Federal Register satisfies the obligation to obtain comments regarding the new information collection instrument.
我们鼓励公众提交意见,并将在本临时最终规则公布之日起60天内接受意见。所有提交材料均须在信函正文中注明OMB管理与预算办公室控制编号1615-NEW以及机构名称。请按照本规则“地址”和“一、公众参与”部分所述说明提交意见。有关本信息收集的意见应就以下四点中的一点或多点予以说明:
Comments are encouraged and will be accepted for 60 days from the publication date of this interim final rule. All submissions received must include the OMB Control Number 1615-NEW in the body of the letter and the agency name. Please follow the instructions as described under the ADDRESSES and I. Public Participation sections of this rule to submit comments. Comments on this information collection should address one or more of the following four points:
(1)评估该信息收集对于机构履行职能是否必要,包括该信息是否具有实际效用;
(1) Evaluate whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(2)评估机构对信息收集负担估算的准确性,包括所用方法和假设的有效性;
(2) Evaluate the accuracy of the agency's estimate of the burden of the collection of information, including the validity of the methodology and assumptions used;
(3)提高拟收集信息的质量、效用和清晰度;以及
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4)最大限度减轻信息收集对答复者造成的负担,包括通过使用适当的自动化、电子、机械或其他技术收集手段或其他形式的信息技术,例如允许以电子方式提交答复。
(4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses.
信息收集概述:
Overview of information collection:
(1)信息收集类型:新增收集。
(1) Type of Information Collection: New Collection.
(2)表格/收集名称:豁免电子提交要求申请。
(2) Title of the Form/Collection: Request for Waiver of E-Filing Requirement.
(3)机构表格编号(如有)及负责该收集的DHS相关部门:I-936表;USCIS。
(3) Agency form number, if any, and the applicable component of the DHS sponsoring the collection: I-936; USCIS.
(4)将被要求或需要作答的受影响公众,以及简要说明:主要对象为个人或家庭。
(4) Affected public who will be asked or required to respond, as well as a brief abstract: Primary: Individuals or households.
(5)估计答复人总数及平均每位答复人所需时间:I-936信息收集的估计答复人总数为248,905人,每次答复的估计工时负担为0.5小时。
(5) An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond: The estimated total number of respondents for the information collection I-936 is 248,905 and the estimated hour burden per response is .5 hours.
(6)与该收集相关的公众总负担(以小时计)估算:与本信息收集相关的估计年度总工时负担为124,453小时。
(6) An estimate of the total public burden (in hours) associated with the collection: The total estimated annual hour burden associated with this collection of information is 124,453 hours.
(7)与该收集相关的公众总负担(以成本计)估算:与本信息收集相关的估计年度总成本负担为4,978,100美元。
(7) An estimate of the total public burden (in cost) associated with the collection: The estimated total annual cost burden associated with this collection of information is $4,978,100.
主题列表
List of Subjects
《联邦法规汇编》第8编第1部分
8 CFR Part 1
行政惯例和程序
Administrative practice and procedure
移民
Immigration
《联邦法规汇编》第8编第103部分
8 CFR Part 103
行政惯例和程序
Administrative practice and procedure
机构授权(政府机构)
Authority delegations (Government agencies)
费用
Fees
信息自由
Freedom of information
移民
Immigration
隐私
Privacy
报告和记录保存要求
Reporting and recordkeeping requirements
担保保证金
Surety bonds
《联邦法规汇编》第8编第106部分
8 CFR Part 106
公民身份和入籍
Citizenship and naturalization
费用
Fees
移民
Immigration
因此,基于序言中所述理由,国土安全部(DHS)对《联邦法规汇编》第8编第一章作如下修订(印刷页第51971页):
Accordingly, for the reasons set forth in the preamble, DHS amends chapter I ( printed page 51971) of title 8 of the Code of Federal Regulations as follows:
第1部分, , 定义
PART 1—DEFINITIONS
1.第1部分的授权依据条文继续保持如下表述不变:
1. The authority citation for part 1 continues to read as follows:
授权依据:《美国法典》第8编第1101条;《美国法典》第8编第1103条;《美国法典》第5编第301条;公法第107-296号,116 Stat. 2135;《美国法典》第6编第1条及其后各条。
Authority: 8 U.S.C. 1101; 8 U.S.C. 1103; 5 U.S.C. 301; Pub. L. 107-296, 116 Stat. 2135; 6 U.S.C. 1 et seq.
2.对第1.2条进行修订,按字母顺序增加“电子提交”的定义,内容如下:
2. Section 1.2 is amended by adding in alphabetical order a definition for “E-filing” to read as follows:
第1.2条
§ 1.2
定义。
Definitions.
* * * * *
* * * * *
电子提交系指以USCIS为此目的所提供并批准的方式,以电子方式提交福利申请、佐证材料、文件、通知或通信,包括在线填写表格、通过网络门户、经由电子接口完成填写,或通过经批准的在线账户上传已填写完成表格的PDF文件。
E-filing means electronically filing or submitting a benefit request, supporting evidence, document, notice, or communication in a manner made available and approved by USCIS for that purpose, including by completing the form online, in a web portal, via an electronic interface, or by uploading a PDF of the completed form through an approved online account.
* * * * *
* * * * *
第103部分, , 移民福利申请;USCIS提交要求;生物识别信息要求;记录的可获取性
PART 103—IMMIGRATION BENEFIT REQUESTS; USCIS FILING REQUIREMENTS; BIOMETRIC REQUIREMENTS; AVAILABILITY OF RECORDS
3.第103部分的授权依据条文继续保持如下表述不变:
3. The authority citation for part 103 continues to read as follows:
授权依据:《美国法典》第5编第301、552、552a条;《美国法典》第8编第1101、1103、1304、1356、1365b、1372、1801-1815条;《美国法典》第8编第1185条注释;《美国法典》第31编第9701条;《美国法典》第48编第1806条;公法第107-296号,116 Stat. 2135(《美国法典》第6编第1条及其后各条);第12356号行政命令,47 FR 14874, 15557,《联邦法规汇编》第3编,1982年汇编本,第166页;《联邦法规汇编》第8编第2部分;《联邦法规汇编》第31编第223部分。
Authority: 5 U.S.C. 301, 552, 552a; 8 U.S.C. 1101, 1103, 1304, 1356, 1365b, 1372, 1801-1815; 8 U.S.C. 1185 note; 31 U.S.C. 9701; 48 U.S.C. 1806; Pub. L. 107-296, 116 Stat. 2135 (6 U.S.C. 1 et seq.); E.O. 12356, 47 FR 14874, 15557, 3 CFR, 1982 Comp., p. 166; 8 CFR part 2; 31 CFR part 223.
4.对第103.2条进行修订,修订其第(a)(1)款,内容如下:
4. Section 103.2 is amended by revising paragraph (a)(1) to read as follows:
第103.2条
§ 103.2
福利申请的提交与裁决。
Submission and adjudication of benefit requests.
(a) * * *
(a) * * *
(一)准备和提交。(1)每份表格、申请福利或其他文件均须根据本节、本章其他适用规定以及国土安全部(DHS)为该申请指定的表格说明进行提交和签署。国土安全部可以规定申请福利的提交方式和格式,包括通过表格说明和相关材料,以落实和执行本节及其他适用法规所规定的要求。不符合适用法规、规章或表格说明的福利申请,可根据本节予以拒收或拒绝。如有任何不一致之处,以适用的法律和法规为准,国土安全部将以与这些法律和法规相一致的方式解释表格说明。
(1) Preparation and submission. (i) Every form, benefit request, or other document must be submitted and executed in accordance with this section, other applicable provisions of this chapter, and the form instructions designated by DHS for that request. DHS may prescribe the manner of submission and the format of benefit requests, including through form instructions and related materials, to implement and administer the requirements set forth in this section and other applicable regulations. A benefit request that does not comply with applicable statutes, regulations, or form instructions may be rejected or denied in accordance with this section. In the event of any inconsistency, the governing statute and regulations control, and DHS will construe form instructions in a manner consistent with those authorities.
(2)根据8 CFR 1.2的定义,向美国公民及移民服务局(USCIS)提交的表格,除非根据本节第(a)(1)(iii)段予以豁免,否则必须以电子方式提交,适用情形如下:
(ii) A form filed with USCIS, as defined in 8 CFR 1.2, must be filed electronically, unless waived pursuant to paragraph (a)(1)(iii) of this section, where:
(A)该表格已可供电子提交超过180天;
(A) The form has been available for e-filing for more than 180 days;
(B)美国公民及移民服务局已自行决定强制要求以电子方式提交该表格(无论是一般情形还是特定情形);以及
(B) USCIS has, in its discretion, mandated that the form be e-filed (either in general or in specified circumstances); and
(C)美国公民及移民服务局已在https://www.uscis.gov网站上提前60天发布通知,说明纸质表格将不再被接受、申请必须以电子方式提交的日期(无论是一般情形还是特定情形)。
(C) USCIS has published 60 days of advance notice on https://www.uscis.gov providing the date that the paper form will no longer be accepted and the request must be e-filed (either in general or in specified circumstances).
(3)美国公民及移民服务局可自行决定豁免强制电子提交的要求。申请福利者可通过提交《豁免电子提交要求申请书》来申请豁免强制电子提交的要求。
(iii) USCIS, in its discretion, may waive mandatory e-filing. Benefit requestors may request a waiver of mandatory e-filing by submitting a Request for Waiver of E-Filing Requirement.
(4)每份表格、福利申请或其他文件在提交时必须缴纳法规规定的费用。除本章另有规定外,费用必须在提出申请或提交申请时缴纳。
(iv) Each form, benefit request, or other document must be filed with the fee(s) required by regulation. Except as otherwise provided in this chapter, fees must be paid when the request is filed or submitted.
(5)申请费用一般不予退还,无论福利申请的结果如何,也无论裁决所需时间长短,是否退费由美国公民及移民服务局自行决定。
(v) Filing fees generally are non-refundable regardless of the outcome of the benefit request, or how much time the adjudication requires, and any decision to refund a fee is at the discretion of USCIS.
* * * * *
* * * * *
第106部分,美国公民及移民服务局收费表
PART 106—USCIS FEE SCHEDULE
5. 第106部分的授权引文继续规定如下:
5. The authority citation for part 106 continues to read as follows:
授权依据:8 U.S.C. 1101、1103、1254a、1254b、1304、1356、1801-1815;48 U.S.C. 1806;Pub. L. 107-609, 115 Stat. 1012;Pub. L. 107-296, 116 Stat. 2135 (6 U.S.C. 101 note)。
Authority: 8 U.S.C. 1101, 1103, 1254a, 1254b, 1304, 1356, 1801-1815; 48 U.S.C. 1806; Pub. L. 107-609, 115 Stat. 1012; Pub. L. 107-296, 116 Stat. 2135 (6 U.S.C. 101 note).
6. 第106.2节修订如下:
6. Section 106.2 is amended by:
a. 将第(a)(64)款至第(69)款重新编号为第(a)(65)款至第(70)款;以及
a. Redesignating paragraphs (a)(64) through (69) as paragraphs (a)(65) through (70); and
b. 新增第(a)(64)款。
b. Adding a new paragraph (a)(64).
新增内容如下:
The addition reads as follows:
§ 106.2
§ 106.2
美国公民及移民服务局收费。
USCIS fees.
(a) * * *
(a) * * *
(64)《豁免电子提交要求申请书》,表格I-936。申请美国公民及移民服务局豁免福利申请必须以电子方式提交的要求:25美元。
(64) Request for Waiver of E-Filing Requirement, Form I-936. To request that USCIS waive the requirement that a benefit request must be e-filed: $25.
* * * * *
* * * * *
7. 第106.3节修订如下:
7. Section 106.3 is amended by:
a. 修订第(a)(3)(ii)款引言部分;
a. Revising paragraph (a)(3)(ii) introductory text;
b. 删除第(a)(3)(ii)(F)款末尾的“和”字;
b. Removing the word “and” at the end of paragraph (a)(3)(ii)(F);
c. 删除第(a)(3)(ii)(G)款末尾的句号,代之以“;以及”;以及
c. Removing the period at the end of paragraph (a)(3)(ii)(G) and adding “; and” in its place; and
d. 增加第(a)(3)(ii)(H)款。
d. Adding paragraph (a)(3)(ii)(H).
修订和新增内容如下:
The revision and addition read as follows:
§ 106.3
§ 106.3
费用豁免和豁免。
Fee waivers and exemptions.
(a) * * *
(a) * * *
(3) * * *
(3) * * *
(二)以下表格费用可根据本节第(a)(3)(ii)(A)款至第(H)款所述条件予以豁免:
(ii) The following form fees may be waived based on the conditions described in paragraphs (a)(3)(ii)(A) through (H) of this section:
* * * * *
* * * * *
(H)《豁免电子提交要求申请书》(表格I-936),如申请豁免的表格适用本节第(a)(3)(iii)款的规定。
(H) Request for Waiver of E-filing Requirement (Form I-936) if the form for which a waiver is requested is subject to paragraph (a)(3)(iii) of this section.
* * * * *
* * * * *
马克韦恩·穆林,
Markwayne Mullin,
美国国土安全部部长。
Secretary, U.S. Department of Homeland Security.
脚注
Footnotes
1. 福利申请是指与移民或入籍福利有关的任何申请、请愿、动议、上诉或其他请求。8 CFR 1.2。
1. Benefit request means any application, petition, motion, appeal, or other request relating to an immigration or naturalization benefit. 8 CFR 1.2.
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2. 本序言第III.B.3节所列的许多表格,截至本规则公布之日,已可供电子提交至少180天,这意味着美国公民及移民服务局可在本规则公布后的任何时间强制要求以电子方式提交这些表格,但须以豁免表格获批准使用为前提。
2. Many of the forms identified in section III.B.3 of this preamble will have been available for e-filing for at least 180 days as of this rule's publication date, meaning USCIS may mandate e-filing of these forms any time after this rule's publication subject to the waiver form being approved for use.
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3. A档案是以个人的外国人登记号码(A号码)标识的个人档案,该号码是在建立A档案时通常分配给外国人的唯一八位或九位数字。移民归化局(INS)为1944年4月1日以后抵达或1956年4月1日以后入籍的每一位移民开设或合并了A档案,也为移民执法事务开设或合并了A档案。参见美国公民及移民服务局,《编号低于800万的A档案》,https://www.uscis.gov/records/genealogy/historical-record-series/a-files-numbered-below-8-million(最后更新于2025年1月24日)。
3. A-Files are individual files identified by an individual's Alien Registration Number (A-Number), a unique eight- or nine-digit number generally assigned to an alien at the time the A-File is created. Immigration and Naturalization Service (INS) opened or consolidated A-Files for every immigrant who arrived after April 1, 1944, or naturalized after April 1, 1956, and for immigration law enforcement matters. See USCIS, A-Files Numbered Below 8 Million, https://www.uscis.gov/records/genealogy/historical-record-series/a-files-numbered-below-8-million (last updated Jan. 24, 2025).
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4. 《关于电子政务的备忘录》(1999年12月17日),https://www.gpo.gov/fdsys/pkg/PPP-1999-book2/pdf/PPP-1999-book2-doc-pg2317.pdf。
4. Memorandum on Electronic Government (Dec. 17, 1999), https://www.gpo.gov/fdsys/pkg/PPP-1999-book2/pdf/PPP-1999-book2-doc-pg2317.pdf.
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5. 管理和预算办公室关于执行《政府文书消除法》的程序和指南,第00-10号备忘录(2000年4月25日),https://www.whitehouse.gov/wp-content/uploads/2017/11/2000-M-00-10-OMB-Procedures-and-Guidance-on-Implementing-the-Government-Paperwork-Elimination-Act.pdf。
5. OMB Procedures and Guidance on Implementing Government Paperwork Elimination Act, Memoranda 00-10, (Apr. 25, 2000), https://www.whitehouse.gov/wp-content/uploads/2017/11/2000-M-00-10-OMB-Procedures-and-Guidance-on-Implementing-the-Government-Paperwork-Elimination-Act.pdf.
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6. 《2002年国土安全法》,公法第107-296号,第461条,116 Stat. 2135, 2202(2002年11月25日),6 U.S.C. 278;另见《移民与国籍法》(INA)第103条,8 U.S.C. 1103。
6. Homeland Security Act of 2002, Public Law 107-296, section 461, 116 Stat. 2135, 2202 (Nov. 25, 2002), 6 U.S.C. 278; see also INA sec. 103, 8 U.S.C. 1103.
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7. 一般而言,申请人可使用其申请的收据号码在线查询申请状态。参见美国公民及移民服务局(USCIS),案件状态在线查询,https://egov.uscis.gov/(最近访问日期为2025年12月17日)。
7. Generally, requestors can use the receipt number of their filing to check the status of the filing online. See USCIS, Case Status Online, https://egov.uscis.gov/ (last visited Dec. 17, 2025).
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8. 《2002年电子政务法》第2(b)条,公法第107-347号,116 Stat. 2899, 2900-01(2002年12月17日)。
8. Section 2(b) of the E-Government Act of 2002, Public Law 107-347, 116 Stat. 2899, 2900-01 (Dec. 17, 2002).
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9. 《政府文书消除法》(GPEA),公法第105-277号,第十七篇第1704条,112 Stat. 2681, 2681-749(1998年10月21日)(编入44 U.S.C. 3504注释)。
9. Government Paperwork Elimination Act (GPEA), Public Law 105-277, title XVII, sec. 1704, 112 Stat. 2681, 2681-749 (Oct. 21, 1998) (codified at 44 U.S.C. 3504 note).
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10. 参见8 CFR 103.2(a)(2)(2004年)(规定“在向[USCIS]提交的申请或请愿书上可接受的签名,既可以是手写签名,也可以是按照表格说明允许以电子方式提交的申请或请愿书上的电子格式签名。”)。
10. See 8 CFR 103.2(a)(2) (2004) (providing that “an acceptable signature on an application or petition that is being filed with [USCIS] is one that is either handwritten or, for applications or petitions filed electronically as permitted by the instructions to the form, in electronic format.”).
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11. 若干规则制定中的边缘性修改适应了电子申请的需要。例如,参见81 FR 73292, 73315(2016年10月24日)(2016/2017财年USCIS收费表,其中国土安全部(DHS)澄清了费用退还政策)。
11. A few tangential changes in rulemakings accommodate e-filings. See e.g.,81 FR 73292, 73315 (Oct. 24, 2016) (FY 2016/2017 USCIS fee schedule in which DHS clarified the fee refund policy).
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12. 管理和预算办公室(OMB),《在21世纪提供政府解决方案:改革计划与重组建议》,第18页(2018年),https://www.whitehouse.gov/wp-content/uploads/2018/06/Government-Reform-and-Reorg-Plan.pdf。
12. Office of Mgmt. & Budget (OMB), Delivering Government Solutions in the 21st Century: Reform Plan and Reorganization Recommendations, p. 18 (2018), https://www.whitehouse.gov/wp-content/uploads/2018/06/Government-Reform-and-Reorg-Plan.pdf.
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13. 同上,第100页。
13. Id. at 100.
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14. 同上,第101-102页。
14. Id. at 101-02.
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15. 参见公民及移民服务监察员办公室,《2025年度报告》(2025年12月2日),https://www.dhs.gov/publication/cis-ombudsman-2025-annual-report。
15. See Citizenship and Immigration Services Ombudsman, 2025 Annual Reports (Dec. 2, 2025), https://www.dhs.gov/publication/cis-ombudsman-2025-annual-report.
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16. 历史上,“审查”(vetting)一词是指在作出资格决定之前,于福利申请裁决或处理期间所实施的背景审查程序。在持续审查制度下,政府持续监测在美外国人的风险指标,包括逾期滞留、犯罪行为、与特定团体的关联、未经授权的就业以及社交媒体活动。参见国土安全部,DHS/USCIS/PIA-076,《持续移民审查》(2019年2月14日),https://www.dhs.gov/publication/dhsuscispia-076-continuous-immigration-vetting。
16. Historically, vetting was the term associated with the background review process implemented during the adjudication or processing of a benefit request before an eligibility decision. Under continuous vetting, the Government continues to monitor aliens in the United States for risk indicators, including overstays, criminal conduct, ties to certain groups, unauthorized employment, and social media activity. See DHS, DHS/USCIS/PIA-076, Continuous Immigration Vetting (Feb. 14, 2019), https://www.dhs.gov/publication/dhsuscispia-076-continuous-immigration-vetting.
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17. USCIS信箱(Lockbox)工作人员由案件解决小组提供支持,该小组由USCIS雇员组成,负责在是否接受或拒绝某项申请存在疑问时,就申请的可接受性作出决定。
17. USCIS Lockbox staff is supported by a Case Resolution Unit staffed by USCIS employees in place to make decisions about the acceptability of a request where there is a question about whether to accept or reject a filing.
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18. 参见美国财政部财政服务局,《通用信箱网络》,https://fiscal.treasury.gov/gln/(最近访问日期为2026年1月20日)。
18. See U.S. Department of the Treasury, Bureau of the Fiscal Service, General Lockbox Network, https://fiscal.treasury.gov/gln/ (last visited Jan. 20, 2026).
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19. “在USCIS的用语中,‘拒收’(rejected)是指福利申请及费用因未能满足全部申报要求而被退回,未经全面审查,并可在正确完成后重新提交;而‘拒绝’(denied)则是指申请已经过完整裁决和审查,申请人被认定不符合所寻求福利的资格。”76 FR 53764, 53770(2011年8月29日)。另见USCIS《政策手册》第1卷《总体政策与程序》,B部分《福利申请的提交》,第6章《提交申请》,B节《受理处理》,https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6(截至2026年2月3日为现行版本)。
19. “In USCIS parlance, the term “rejected” means that the benefit request and fee payment are returned for failure to comply with all filing requirements without being fully considered, and can be re-filed when properly completed, while “denied” means that the request is fully adjudicated and considered, and the applicant is determined ineligible for the benefit sought.” 76 FR 53764, 53770 (Aug. 29, 2011). See also USCIS Policy Manual, Volume 1, General Policies and Procedures, Part B, Submission of Benefit Requests, Chapter 6, Submitting Requests, Section B, Intake Processing, https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6 (current as of Feb. 3, 2026).
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20. USCIS的政策是,对于所有归化/入籍、永久或有条件居民身份、庇护或难民身份的福利申请,以及每份此类申请的附件和佐证文件,均保留原始来源移民记录,以备在诉讼中可能需要该原始来源记录作为证据之用。
20. USCIS policy is to maintain original source immigration records for all benefit requests for naturalization/citizenship, permanent or conditional resident status, asylum or refugee status, and each of these applications' supplements and supporting documents in the event the original source record may be needed as evidence during litigation.
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21. 根据USCIS收据数据汇编(2026年1月9日)。
21. Compiled from USCIS Receipt data (Jan. 9, 2026).
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21. 根据USCIS收据数据汇编(2026年1月9日)。
21. Compiled from USCIS Receipt data (Jan. 9, 2026).
22. 根据USCIS收据数据汇编(2026年1月9日)。
22. Compiled from USCIS Receipt data (Jan. 9, 2026).
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23. 根据USCIS收据数据汇编(2026年2月10日)。
23. Compiled from USCIS Receipt data (Feb. 10, 2026).
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24. 美国公民及移民服务局(USCIS),《可在线提交的表格》,https://www.uscis.gov/file-online/forms-available-to-file-online(最后更新于2025年12月16日)。此处列出的部分表格为电子提交,但并非在用于生成表1和表2的相同系统中进行裁决,这导致表1、表2与表6之间存在差异。
24. USCIS, Forms Available to File Online, https://www.uscis.gov/file-online/forms-available-to-file-online (last updated Dec. 16, 2025). Some forms listed here are e-filed and not adjudicated in the same systems queried to create Tables 1 and 2, which results in the discrepancy between Tables 1, 2 and 6.
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25. E-Verify是一个自愿参加的网络系统,允许注册的雇主确认其雇员在美国工作的资格,并确保其遵守8 CFR 274a.2的规定。参见美国公民及移民服务局(USCIS),《关于E-Verify》,《什么是E-Verify》,https://www.e-verify.gov/(最后访问于2026年1月27日)。
25. E-Verify is a voluntary web-based system allowing enrolled employers to confirm the eligibility of their employees to work in the United States and ensure they are complying with 8 CFR 274a.2. See USCIS, About E-Verify, What is E-Verify, https://www.e-verify.gov/ (last visited Jan. 27, 2026).
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26. 联邦福利资格系统性外国人核实计划(SAVE)是一项在线服务,允许注册的联邦、州、领地、部落和地方福利授予机构核实福利申请人的移民身份或美国公民身份。参见美国公民及移民服务局(USCIS),《SAVE》,https://www.uscis.gov/save(最后访问于2026年1月27日)。
26. The Systematic Alien Verification for Entitlements Program (SAVE) is an online service allowing registered Federal, State, territorial, Tribal, and local benefit-granting agencies to verify a benefit applicant's immigration status or U.S. citizenship. See USCIS, SAVE, https://www.uscis.gov/save (last visited Jan. 27, 2026).
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27. 美国公民及移民服务局(USCIS)族谱项目允许公众通过邮寄或在线方式提交相应表格,申请索引检索请求(表格G-1041,《族谱索引检索请求》)或获取USCIS历史记录的副本(表格G-1041A,《族谱记录请求》)。参见美国公民及移民服务局(USCIS),《在线提交族谱请求的说明》,https://www.uscis.gov/records/genealogy/requesting-records/instructions-on-making-a-genealogy-request-online(最后更新于2024年4月1日)。
27. The USCIS Genealogy Program allows the public to make requests for an Index Search request (Form G-1041, Genealogy Index Search Request) or to obtain copies (G-1041A, Genealogy Records Request) of USCIS historical records, by filing the appropriate form by mail or online. See USCIS, Instructions on Making a Genealogy Request Online, https://www.uscis.gov/records/genealogy/requesting-records/instructions-on-making-a-genealogy-request-online (last updated Apr. 1, 2024).
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28. 参见美国公民及移民服务局(USCIS),《H-1B电子注册流程》,https://www.uscis.gov/working-in-the-united-states/temporary-workers/h-1b-specialty-occupations/h-1b-electronic-registration-process(最后更新于2026年1月30日)。
28. See USCIS, H-1B Electronic Registration Process, https://www.uscis.gov/working-in-the-united-states/temporary-workers/h-1b-specialty-occupations/h-1b-electronic-registration-process (last updated Jan. 30, 2026).
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29. USCIS要求在线支付USCIS移民费以及表格I-131A《旅行证件申请书(承运人文件)》的申请费。参见美国公民及移民服务局(USCIS),《USCIS移民费》,https://www.uscis.gov/forms/filing-fees/uscis-immigrant-fee(最后更新于2024年4月8日);另见《I-131A,承运人文件申请,申请费》,https://www.uscis.gov/i-131a(最后更新于2025年5月13日)。
29. USCIS requires online payment of the USCIS Immigrant Fee and the filing fee for Form I-131A, Application for Travel Document (Carrier Documentation). See USCIS, USCIS Immigrant Fee, https://www.uscis.gov/forms/filing-fees/uscis-immigrant-fee (last updated Apr. 8, 2024); see also I-131A, Application for Carrier Documentation, Filing Fee, https://www.uscis.gov/i-131a (last updated May 13, 2025).
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30. USCIS收到的福利申请中,68%来自个人,32%来自律师或获认证代表。美国国土安全部(DHS)、美国公民及移民服务局(USCIS)绩效与质量办公室。ELIS、CLAIMS、GLOBAL、C4系统查询于2026年1月,PAER 0020170。
30. USCIS received 68 percent of benefit requests from individuals and 32 percent of benefit requests from attorneys or accredited representatives. DHS, USCIS, Office of Performance and Quality. ELIS, CLAIMS, GLOBAL, C4 queried Jan. 2026, PAER 0020170.
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31. Brian Kennedy与Cary Funk,皮尤研究中心(Pew Research Group),《28%的美国人是科技的'强烈'早期采用者》(2016年7月12日),http://www.pewresearch.org/fact-tank/2016/07/12/28-of-americans-are-strong-early-adopters-of-technology/;Charlie Wells,《忘掉早期采用者:这些人乐于姗姗来迟》,《华尔街日报》(2016年1月26日),https://www.wsj.com/articles/forget-early-adopters-these-people-are-happy-to-be-late/1453827437。
31. Brian Kennedy & Cary Funk, Pew Research Group, 28 percent of Americans are 'strong' early adopters of technology (July 12, 2016), http://www.pewresearch.org/fact-tank/2016/07/12/28-of-americans-are-strong-early-adopters-of-technology/;Charlie Wells, Forget Early Adopters: These People are Happy to Be Late, The Wall Street Journal (Jan. 26, 2016), https://www.wsj.com/articles/forget-early-adopters-these-people-are-happy-to-be-late/1453827437.
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32. USCIS对在线提交的福利申请提供50美元的费用减免,但该激励措施并未显著提高电子申请的比例。8 CFR 106.1(g)。
32. USCIS provides a $50 reduction in fees for benefit requests filed online but that incentive has not meaningfully increased e-filing. 8 CFR 106.1(g).
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33. 例如,旨在鼓励申请入籍或其他福利的活动和展览会(志愿者在这些活动中协助申请人提供咨询并填写表格)通常以现场填写并邮寄纸质表格为导向。
33. For example, events and fairs that are intended to encourage applying for citizenship or other benefits, where volunteers assist applicants with advice and form completion, are often geared toward in-person completion and mailing of paper forms.
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34. 参见美国公民及移民服务局(USCIS),《如何创建USCIS在线账户》,https://www.uscis.gov/file-online-how-to-create-a-uscis-online-account(最后更新于2024年7月29日)。
34. See USCIS, How to Create a USCIS Online Account, https://www.uscis.gov/file-online-how-to-create-a-uscis-online-account (last updated Jul. 29, 2024).
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35. 美国公民及移民服务局(USCIS),《在线提交表格提示》,《如何填写并在线提交表格》,https://www.uscis.gov/file-online/tips-for-filing-forms-online(最后更新于2025年8月21日)。
35. USCIS, Tips for Filing Forms Online, How to Fill Out and File a Form Online, https://www.uscis.gov/file-online/tips-for-filing-forms-online (last updated Aug. 21, 2025).
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36. 美国公民及移民服务局(USCIS),《在线提交宣传推介PowerPoint》,第20页幻灯片,2024年4月3日,https://www.uscis.gov/sites/default/files/document/outreach-engagements/OnlineFilingEngagementPowerPoint.pdf。
36. USCIS, Online Filing Engagement PowerPoint, Slide 20, Apr. 3, 2024, https://www.uscis.gov/sites/default/files/document/outreach-engagements/OnlineFilingEngagementPowerPoint.pdf.
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37. 参见同上,第31页幻灯片。
37. See id., Slide 31.
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38. 参见美国公民及移民服务局(USCIS),《在线提交表格提示》,《如何上传已完成的表格PDF并在线提交》,https://www.uscis.gov/file-online/tips-for-filing-forms-online(最后更新于2025年8月21日)。
38. See USCIS, Tips for Filing Forms Online, How to Upload a Completed Form PDF and File Online, https://www.uscis.gov/file-online/tips-for-filing-forms-online (last updated Aug, 21, 2025).
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39. 参见同上,第12步。
39. See Id., Step 12.
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40. 参见美国公民及移民服务局(USCIS),《可在线提交的表格》,https://www.uscis.gov/file-online/forms-available-to-file-online(最后更新于2025年12月16日)。
40. See USCIS, Forms Available to File Online, https://www.uscis.gov/file-online/forms-available-to-file-online (last updated Dec. 16, 2025).
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41. 参见,例如,68 FR 54981(2003年9月22日)(货币监理署(Office of the Comptroller of the Currency)要求以电子方式提交根据15 U.S.C. 78p(a)提交的所有报告);69 FR 59780(2004年10月6日)(联邦存款保险公司(Federal Deposit Insurance Corporation,FDIC)强制要求在其系统上以电子方式提交所有受益所有权报告);70 FR 11540(2005年3月9日)(养老金福利保障公司(Pension Benefit Guaranty Corporation,PBGC)要求通过PBGC网站以电子方式提交所有雇主年度报告);71 FR 31077(2006年6月1日)(PBGC要求某些养老金计划以电子方式提交保费申报);72 FR 64710(2007年11月16日)(美国劳工部(DOL)强制要求按照《雇员退休收入保障法》和《国内收入法典》规定提交的报告以电子方式提交);73 FR 31548(2008年6月2日)(美国商务部人口普查局要求在需要提交出口商出口申报单时通过其自动出口系统强制提交出口信息)。
41. See, e.g.,68 FR 54981 (Sept. 22, 2003) (Office of the Comptroller of the Currency requiring electronic filing of all reports filed under 15 U.S.C. 78p(a)); 69 FR 59780 (Oct. 6, 2004) (Federal Deposit Insurance Corporation (FDIC) mandate of electronic filing of all beneficial ownership reports on the FDIC their system); 70 FR 11540 (Mar. 9, 2005) (Pension Benefit Guaranty Corporation (PBGC) required e-filing of all annual employer reports through PBGC's website); 71 FR 31077 (June 1, 2006) (PBGC required certain pension plans to submit premium filings electronically); 72 FR 64710 (Nov. 16, 2007) (DOL mandated reports required by the Employee Retirement Income Security Act and the Internal Revenue Code be filed electronically); 73 FR 31548 (June 2, 2008) (Department Of Commerce, Bureau of the Census, required mandatory filing of export information through its Automated Export System when a Shipper's Export Declaration is required).
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42. 参见美国国务院(DOS),《签证:根据经修订的移民与国籍法对非移民的证明文件要求》,73 FR 23067(2008年4月29日)(非移民签证申请);另见美国国务院,《签证:根据经修订的移民与国籍法对移民的证明文件要求》,75 FR 45475(2010年8月3日)(移民签证申请)。
42. See DOS, Visas: Documentation of Nonimmigrants Under the Immigration and Nationality Act, as Amended, 73 FR 23067 (Apr. 29, 2008) (nonimmigrant visa applications); see also DOS, Visas: Documentation of Immigrants Under the Immigration and Nationality Act, as Amended, 75 FR 45475 (Aug. 3, 2010) (immigrant visa applications).
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43. 参见例如8 CFR 204.2(a),该条款规定了美国公民或合法永久居民为其配偶申请移民签证的申请程序。另见美国国务院领事事务局(Bureau of Consular Affairs),《美国公民配偶的移民签证(IR1或CR1):迈向移民签证的第一步:提交申请》,https://travel.state.gov/content/travel/en/us-visas/immigrate/family-immigration/immigrant-visa-for-spouse.html(最后访问于2026年1月28日)。
43. See e.g.,8 CFR 204.2(a), which provides the petition process for a U.S. citizen or lawful permanent resident seeking to obtain an immigrant visa on behalf of a spouse. See also DOS, Bureau of Consular Affairs, Immigrant Visa for a Spouse of a U.S. Citizen (IR1 or CR1), The First Step toward an Immigrant Visa: Filing the Petition, https://travel.state.gov/content/travel/en/us-visas/immigrate/family-immigration/immigrant-visa-for-spouse.html (last visited Jan. 28, 2026).
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44. 例如,在2023年获得合法永久居民身份的1,172,910人中,有564,660人是从美国国务院获得签证的新抵达者。美国国土安全部(DHS)移民统计办公室,《2023年移民统计年鉴》,表6(2023年),https://ohss.dhs.gov/topics/immigration/yearbook/2023/table6。
44. For example, of the 1,172,910 people who obtained lawful permanent resident status in 2023, 564,660 were new arrivals who obtained visas from DOS. DHS, Office of Immigration Statistics, 2023 Yearbook of Immigration Statistics, tbl. 6 (2023), https://ohss.dhs.gov/topics/immigration/yearbook/2023/table6.
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45. 美国国务院领事事务局,《移民签证流程》,https://travel.state.gov/content/travel/en/us-visas/immigrate/the-immigrant-visa-process/step-1-submit-a-petition.html(最后访问于2026年1月27日)。
45. DOS, Bureau of Consular Affairs, The Immigrant Visa Process, https://travel.state.gov/content/travel/en/us-visas/immigrate/the-immigrant-visa-process/step-1-submit-a-petition.html (last visited Jan. 27, 2026).
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46. 提交方式取决于签证类别和申请人所在地点。参见美国国务院,《在国家签证中心(NVC)处理EB-5申请》(2018年6月21日),https://travel.state.gov/content/travel/en/us-visas/visa-information-resources/visas-news-archive/20180621_processing-eb-5-petitions-at-nvc.html(最后更新于2024年4月10日);另见美国国务院,《移民签证流程,第9步:上传并提交扫描文件》,https://travel.state.gov/content/travel/en/us-visas/immigrate/the-immigrant-visa-process/step-8-scan-collected-documents/step-9-upload-and-submit-scanned-documents.html(最后访问于2026年1月27日)。
46. The method of submission depends on the visa classification and location of the applicant. See DOS, Processing EB-5 Petitions at NVC (June 21, 2018), https://travel.state.gov/content/travel/en/us-visas/visa-information-resources/visas-news-archive/20180621_processing-eb-5-petitions-at-nvc.html (last updated Apr. 10, 2024); see also, DOS, Immigrant Visa Process, Step 9: Upload and Submit Scanned Documents, https://travel.state.gov/content/travel/en/us-visas/immigrate/the-immigrant-visa-process/step-8-scan-collected-documents/step-9-upload-and-submit-scanned-documents.html (last visited Jan. 27, 2026).
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47. 美国国务院,《对外事务手册》,9 FAM 403.2-5(A)《非移民签证申请表格》(2024年12月10日),https://fam.state.gov/FAM/09FAM/09FAM040302.html#M403_2_5_A。
47. DOS, Foreign Affairs Manual, 9 FAM 403.2-5(A) Nonimmigrant Visa Application Forms (Dec. 10, 2024) https://fam.state.gov/FAM/09FAM/09FAM040302.html#M403_2_5_A.
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48. H-1B非移民类别允许美国雇主临时雇用外国工人在美国从事专业职业的服务、与国防部合作研究与开发项目相关的特殊性质服务,或从事具有卓越才华或能力的时装模特工作。移民与国籍法第101(a)(15)(H)条,8 U.S.C. 1101(a)(15)(H)。
48. The H-1B nonimmigrant classification allows U.S. employers to temporarily employ foreign workers in the United States to perform services in a specialty occupation, services of an exceptional nature relating to a Department of Defense cooperative research and development project, or services as a fashion model of distinguished merit or ability. INA sec. 101(a)(15)(H), 8 U.S.C. 1101(a)(15)(H).
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49. H-2A临时农业项目允许农业雇主在满足其他要求的前提下,证明国内工人短缺,从而引进非移民外国工人到美国从事临时性或季节性的农业劳动或服务。移民与国籍法第101(a)(15)(H)(ii)(a)条,8 U.S.C. 1101(a)(15)(H)(ii)(a)。
49. The H-2A temporary agricultural program allows agricultural employers to, among other requirements, establish there is a shortage of domestic workers to bring nonimmigrant foreign workers to the United States to perform agricultural labor or services of a temporary or seasonal nature. INA sec. 101(a)(15)(H)(ii)(a), 8 U.S.C. 1101(a)(15)(H)(ii)(a).
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50. H-2B临时非农业项目允许非农业雇主在满足其他要求的前提下,证明国内工人短缺,从而引进非移民外国工人到美国从事临时性或季节性的非农业劳动或服务。移民与国籍法第101(a)(15)(H)(ii)(b)条,8 U.S.C. 1101(a)(15)(H)(ii)(b)。
50. The H-2B temporary non-agricultural program allows non-agricultural employers to, among other requirements, establish there is a shortage of domestic workers to bring nonimmigrant foreign workers to the United States to perform non-agricultural labor or services of a temporary or seasonal nature. INA sec. 101(a)(15)(H)(ii)(b), 8 U.S.C. 1101(a)(15)(H)(ii)(b).
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51. 为雇用外籍劳工在美国永久性工作,雇主可提交I-140表(外籍劳工移民申请书)。I-140表要求雇主注明该劳工所属的移民类别。
51. To hire a foreign worker to permanently work in the United States, employers may file Form I-140, Immigrant Petition for Alien Worker. Form I-140 requires the employer to specify the immigrant category to which the worker belongs.
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52. 美国劳工部(DOL)于2023年将电子申报转移至新系统。美国劳工部,外国劳工申请门户网站(Foreign Labor Application Gateway),https://flag.dol.gov(最后访问日期:2026年1月23日)。
52. DOL transitioned electronic filings to a new system in 2023. DOL, Foreign Labor Application Gateway, https://flag.dol.gov (last visited Jan. 23, 2026).
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53. 参见8 CFR 1003.1(a)条;另见美国司法部(DOJ)移民上诉事务执行办公室(EOIR),ECAS:律师及经认可代表,https://www.justice.gov/eoir/ecas-attorneys-and-accredited-representatives(最后访问日期:2025年12月17日)。
53. See 8 CFR 1003.1(a); see generally DOJ, EOIR, ECAS: Attorneys and Accredited Representatives, https://www.justice.gov/eoir/ecas-attorneys-and-accredited-representatives (last visited Dec. 17, 2025).
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54. 参见美国司法部,首席行政听证官办公室电子申报,91 FR 9989(2026年3月2日)。
54. See DOJ, Office of the Chief Administrative Hearing Officer Electronic Filing, 91 FR 9989 (Mar. 2, 2026).
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55. 参见美国司法部移民上诉事务执行办公室,通知:EOIR付款门户更新,https://www.justice.gov/eoir/media/1414551(2025年9月23日)。
55. See DOJ, EOIR, Notice: Updates to the EOIR Payment Portal, https://www.justice.gov/eoir/media/1414551 (Sep. 23, 2025).
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56. 参见美国财政部国税局(IRS),国税局电子申报的历史(2011年6月),https://www.irs.gov/pub/irs-news/fs-11-10.pdf。
56. See Department of the Treasury, IRS, IRS E-File: A History (June 2011), https://www.irs.gov/pub/irs-news/fs-11-10.pdf.
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57. 美国财政部国税局,截至2025年10月17日当周申报季统计数据,https://www.irs.gov/newsroom/filing-season-statistics-by-year(最后更新日期:2026年1月2日)。
57. Department of the Treasury, IRS, Filing Season Statistics for Week Ending October 17, 2025, https://www.irs.gov/newsroom/filing-season-statistics-by-year (last updated Jan. 2, 2026).
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58. 美国财政部国税局,2010年申报统计数据,https://www.irs.gov/newsroom/2010-filing-season-statistics(最后更新日期:2025年5月29日)。
58. Department of the Treasury, IRS, 2010 Filing Statistics, https://www.irs.gov/newsroom/2010-filing-season-statistics (last updated May 29, 2025).
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59. 美国财政部国税局,2011-25号税收程序公告(Rev. Proc. 2011-25)第5.02节,https://www.irs.gov/irb/2011-17_IRB#RP-2011-25(最后更新日期:2017年9月23日)。
59. Department of the Treasury, IRS, Rev. Proc. 2011-25, Section 5.02, https://www.irs.gov/irb/2011-17_IRB#RP-2011-25 (last updated Sept. 23, 2017).
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60. 美国公民及移民服务局(USCIS)绩效与质量办公室,NPD,CLAIMS3,ELIS,HQRAIO,2026年1月查询,PAER0020178。
60. USCIS, Office of Performance and Quality, NPD, CLAIMS3, ELIS, HQRAIO, queried Jan. 2026, PAER0020178.
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61. 另见通用记录时间表4.5:记录数字化,https://www.archives.gov/files/records-mgmt/grs/grs04-5.pdf,2023年6月。
61. See also General Records Schedule 4.5: Digitizing Records, https://www.archives.gov/files/records-mgmt/grs/grs04-5.pdf, June 2023.
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62. 摘自美国公民及移民服务局2025年9月26日的收据数据。
62. Extracted from USCIS receipt data on Sept. 26, 2025.
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63. 基于美国公民及移民服务局内部档案追踪系统(NFTS/RAILS)的数据,生成于2026年1月21日。
63. Based on data from USCIS' internal file tracking system (NFTS/RAILS), generated Jan. 21, 2026.
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64. 基于美国公民及移民服务局内部档案追踪系统(NFTS/RAILS)的数据,生成于2026年1月21日。
64. Based on data from USCIS' internal file tracking system (NFTS/RAILS), generated Jan. 21, 2026.
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65. 在外籍人士出生年份之后第100年,A档案的保管权将转移至国家档案和记录管理局(NARA)。参见国家档案和记录管理局,115号标准表格,记录处置授权申请书N1-566-08-11(2009年4月9日),https://www.archives.gov/files/records-mgmt/rcs/schedules/departments/department-of-homeland-security/rg-0566/n1-566-08-011_sf115.pdf。
65. After the 100th year after an alien's year of birth, A-File custody is transferred to the National Archives and Records Administration (NARA). See NARA, Standard Form 115, Request for Records Disposition Authority N1-566-08-11 (Apr. 9, 2009), https://www.archives.gov/files/records-mgmt/rcs/schedules/departments/department-of-homeland-security/rg-0566/n1-566-08-011_sf115.pdf.
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66. 向电子记录过渡,M-19-21号备忘录(2019年6月28日),https://www.archives.gov/files/records-mgmt/policy/m-19-21-transition-to-federal-records.pdf;另见向电子记录过渡备忘录更新,M-23-07号备忘录(2022年12月23日),https://www.whitehouse.gov/wp-content/uploads/2022/12/m_23_07-m-memo-electronic-records_final.pdf。
66. Transition to Electronic Records, Memorandum M-19-21 (June 28, 2019), https://www.archives.gov/files/records-mgmt/policy/m-19-21-transition-to-federal-records.pdf; see also Update to Transition to Electronic Records Memorandum, Memorandum M-23-07 (Dec. 23, 2022), https://www.whitehouse.gov/wp-content/uploads/2022/12/m_23_07-m-memo-electronic-records_final.pdf.
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67. 基于美国公民及移民服务局内部档案追踪系统(NFTS/RAILS)的数据,生成于2026年1月21日。
67. Based on data from USCIS' internal file tracking system (NFTS/RAILS), generated Jan. 21, 2026.
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68. 摘自美国公民及移民服务局2025年9月26日的收据数据。
68. Extracted from USCIS receipt data on Sept. 26, 2025.
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69. 参见美国公民及移民服务局,USCIS在线账户的优势,https://www.uscis.gov/file-online/benefits-of-a-uscis-online-account(最后更新日期:2025年9月18日)。
69. See USCIS, Benefits of a USCIS Online Account, https://www.uscis.gov/file-online/benefits-of-a-uscis-online-account (last updated Sep. 18, 2025).
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70. 例如,在线提交I-129表时,用户在输入联邦雇主识别号时只能输入9位数字。参见美国公民及移民服务局,在线申报外联活动幻灯片,第12页,2024年4月3日,https://www.uscis.gov/sites/default/files/document/outreach-engagements/OnlineFilingEngagementPowerPoint.pdf。
70. For example, when filing Form I-129 online, a user can only enter 9 numbers when entering a Federal Employer Identification Number. See USCIS, Online Filing Engagement PowerPoint, Slide 12, Apr. 3, 2024, https://www.uscis.gov/sites/default/files/document/outreach-engagements/OnlineFilingEngagementPowerPoint.pdf.
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71. 美国公民及移民服务局,如何在在线申报后管理您的案件:申请人账户(播放视频),https://www.uscis.gov/file-online/uscis-online-account-videos(最后访问日期:2026年3月6日)。
71. USCIS, How to Manage Your Case After Filing Online: Applicant Account (Play Video), https://www.uscis.gov/file-online/uscis-online-account-videos (last visited Mar. 6, 2026).
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72. 美国公民及移民服务局,在线申请入籍:如何在线提交您的入籍申请(播放视频),https://www.uscis.gov/file-online/uscis-online-account-videos(最后访问日期:2026年3月6日)。
72. USCIS, Apply for Citizenship Online: How to File Your Application for Naturalization Online (Play Video), https://www.uscis.gov/file-online/uscis-online-account-videos (last visited Mar. 6, 2026).
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73. 美国公民及移民服务局,在线申报的优势(视频),https://www.uscis.gov/file-online/benefits-of-a-uscis-online-account(最后更新日期:2025年9月18日)。
73. USCIS, Benefits of Filing Online (Video), https://www.uscis.gov/file-online/benefits-of-a-uscis-online-account (last updated Sep. 18, 2025).
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74. 美国国土安全部(DHS)公民及移民服务监察员办公室,2018年度报告,第16页(2018年6月28日),https://www.dhs.gov/sites/default/files/publications/cisomb/cisomb_2018-annual-report-to-congress.pdf。
74. DHS, Citizenship and Immigration Services Ombudsman, Annual Report 2018, p. 16 (June 28, 2018), https://www.dhs.gov/sites/default/files/publications/cisomb/cisomb_2018-annual-report-to-congress.pdf.
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75. 同上,第17页。
75. Id., p. 17.
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76. 同上,第17页。
76. Id., p. 17.
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77. 美国国土安全部(DHS),公民及移民服务监察员,《2025年度报告》,第v页(2025年8月18日),https://www.dhs.gov/sites/default/files/2025-12/25_1202-cisomb-2025-Annual-Report-Redacted-508.pdf。美国国土安全部,公民及移民服务监察员,《2025年度报告》,第v页,第12页(2025年8月18日),https://www.dhs.gov/sites/default/files/2025-12/25_1202-cisomb-2025-Annual-Report-Redacted-508.pdf。
77. DHS, Citizenship and Immigration Services Ombudsman, Annual Report 2025, v (Aug. 18, 2025), https://www.dhs.gov/sites/default/files/2025-12/25_1202-cisomb-2025-Annual-Report-Redacted-508.pdf. DHS, Citizenship and Immigration Services Ombudsman, Annual Report 2025, v, p. 12 (Aug. 18, 2025), https://www.dhs.gov/sites/default/files/2025-12/25_1202-cisomb-2025-Annual-Report-Redacted-508.pdf.
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78. 这些功能可用于在大规模、宏观层面上审查信息。尽管大规模分析得出的结论可能会影响个案裁决,但大规模评估不同于在裁决过程中完成的对证据的逐案个别评估。
78. These functions can be used to examine information on a large, macro scale. Although findings from large-scale analyses might impact an individual adjudication, large-scale assessments are distinct from the individualized case-by-case evaluation of evidence completed during adjudication.
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79. 公民及移民服务监察员的报告指出:“对于已经过光学字符识别(OCR)处理的文本,欺诈检测与国家安全局(FDNS)可以利用自动查询即时标记出与欺诈或安全趋势相关数据的记录。”公民及移民服务监察员,《2025年度报告》(2025年12月2日),第14页。https://www.dhs.gov/publication/cis-ombudsman-2025-annual-report。
79. The CIS Ombudsman's Report states, “With text that has undergone OCR, FDNS can utilize automated queries that instantly flag records with data related to fraud or security trends.” Citizenship and Immigration Services Ombudsman, 2025 Annual Reports (Dec. 2, 2025), p. 14. https://www.dhs.gov/publication/cis-ombudsman-2025-annual-report.
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80. Chen等人,《金融欺诈检测中的深度学习:创新、挑战与应用》,“自动化通过减少人工干预并实现大幅成本节约,显著加快了欺诈检测速度。”https://www.sciencedirect.com/science/article/pii/S2666764925000372,2025年8月20日。Catherine Cote,哈佛商学院,《提升决策能力的四种数据分析类型》,“算法和机器学习同样属于数据分析领域,可用于以比人类更高的量级和更快的速度收集、分类和分析数据。”https://online.hbs.edu/blog/post/types-of-data-analysis,2021年10月19日。
80. Chen, et al., Deep Learning in Financial Fraud Detection: Innovations, Challenges, and Applications, “Automation significantly accelerates fraud detection by reducing manual intervention and enabling substantial cost savings.” https://www.sciencedirect.com/science/article/pii/S2666764925000372, Aug. 20, 2025. Catherine Cote, Harvard Business School, 4 Types of Data Analytics to Improve Decision-Making, “Algorithms and machine learning also fall into the data analytics field and can be used to gather, sort, and analyze data at a higher volume and faster pace than humans can.” https://online.hbs.edu/blog/post/types-of-data-analysis, Oct. 19, 2021.
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81. 参见MITRE公司,《以人为中心的身份管理:快速汇集有关关注人员的数据》(2017年1月13日),https://www.mitre.org/sites/default/files/publications/17-0202-person-centric-identity-management.pdf。
81. See MITRE Corp., Person-Centric Identity Management: Rapidly Assimilating Data About a Person of Interest (Jan. 13, 2017), https://www.mitre.org/sites/default/files/publications/17-0202-person-centric-identity-management.pdf.
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82. 美国公民及移民服务局(USCIS)持续配备人员,以应对紧急记录请求。
82. USCIS continuously maintains staff to respond to emergency requests for records.
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83. 无论采用何种格式,USCIS都将继续遵守《隐私法》及其他适用法规。
83. Regardless of format, USCIS will continue to comply with the Privacy Act and other applicable statutes.
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84. 参见USCIS,《如何创建在线账户》,https://www.uscis.gov/file-online/how-to-create-a-uscis-online-account(最后更新于2024年7月29日)。
84. See USCIS, How to Create an Online Account, https://www.uscis.gov/file-online/how-to-create-a-uscis-online-account (last updated Jul. 29, 2024).
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85. 参见USCIS,《如何创建在线账户》,第6步,https://www.uscis.gov/file-online/how-to-create-a-uscis-online-account(最后更新于2024年7月29日)。
85. See USCIS, How to Create an Online Account, Step 6, https://www.uscis.gov/file-online/how-to-create-a-uscis-online-account (last updated Jul. 29, 2024).
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86. 这一现实情况体现在USCIS当前关于某些人道主义福利申请中“安全邮寄地址”的政策中。参见USCIS,表格I-360,《亚美拉西亚人、鳏寡配偶或特殊移民请愿书填表说明》,第6页,管理和预算办公室编号1615-0020(有效期至2027年3月31日)https://www.uscis.gov/sites/default/files/document/forms/i-360instr.pdf。
86. This reality is reflected in current USCIS policies on “safe mailing addresses” in the case of certain humanitarian benefit requests. See USCIS, Form I-360, Instructions for Petition for Amerasian, Widow(er), or Special Immigrant, p. 6, OMB No. 1615-0020 (expires Mar. 31, 2027) https://www.uscis.gov/sites/default/files/document/forms/i-360instr.pdf.
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87. 参见《移民与国籍法》(INA)第101(a)(15)(T)-(U)条,8 U.S.C. 1101(a)(15)(T)-(U);INA第204(a)(1)(A)条,8 U.S.C. 1154(a)(1)(A)。亦可参见2000年《贩运人口及暴力保护法》,公法106-386号,114 Stat. 1464(经修订后编入《美国法典》各篇),1994年《妇女反暴力法》,公法103-322号,108 Stat. 1902(经修订后编入《美国法典》各篇)。
87. See INA sec. 101(a)(15)(T)-(U), 8 U.S.C. 1101 (a)(15)(T)-(U); INA sec. 204(a)(1)(A), 8 U.S.C. 1154(a)(1)(A). See also Victims of Trafficking and Violence Protection Act of 2000, Public Law 106-386, 114 Stat. 1464 (codified as amended in various titles of U.S.C.), Violence Against Women Act of 1994, Public Law 103-322, 108 Stat. 1902 (codified as amended in various titles of U.S.C.).
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88. 目前,只有H-2A申请人在通过PDFi提交申请时,其账户中会收到收据通知。
88. Currently, only H-2A petitioners receive a receipt notice in their account when filing through PDFi.
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89. 参见USCIS,《可在线提交的表格》,https://www.uscis.gov/file-online/forms-available-to-file-online(最后更新于2025年12月16日)。
89. See USCIS, Forms Available to File Online, https://www.uscis.gov/file-online/forms-available-to-file-online (last updated Dec. 16, 2025).
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90. 参见USCIS,《政策手册》,第1卷,总体政策与程序,B部分,福利申请的提交,第6章,提交申请,B节,接收处理,https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6(截至2026年2月3日为现行有效版本)。
90. See USCIS, Policy Manual, Volume 1, General Policies and Procedures, Part B, Submission of Benefit Requests, Chapter 6, Submitting Requests, Section B, Intake Processing, https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6 (current as of Feb. 3, 2026).
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91. 当USCIS驳回无权提起上诉的个人或实体提交的上诉时,不予退还申请费。参见8 CFR 103.3(a)(2)(v)(A)(1)。
91. USCIS does not refund the filing fee when it rejects an appeal filed by a person or entity not entitled to file an appeal. See 8 CFR 103.3(a)(2)(v)(A)( 1).
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92. 例如,参见https://signaturely.com/how-electronic-signatures-work/(最后访问于2026年3月10日)。
92. See, e.g., https://signaturely.com/how-electronic-signatures-work/ (last visited Mar. 10, 2026).
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93. 在线账户目前接受联合图像专家组格式(JPG或JPEG)、可移植文档格式(PDF)以及标记图像文件格式(TIF或TIFF)。
93. Online accounts currently accept Joint Photographic Experts Group (JPG or JPEG), Portable Document Format (PDF), and Tagged Image File Format (TIF or TIFF) formats.
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94. 见M. David Stone,《2026年最佳多功能一体打印机》,《PCMag》数字版,https://www.pcmag.com/picks/the-best-all-in-one-printers(最后更新于2025年12月21日)(关于家庭或办公室多功能打印机,文中指出:“打印和复印是基本功能,扫描功能几乎总是也包含在内。”)。
94. See M. David Stone, The Best All-in-One Printers for 2026, PCMag Digital Edition, https://www.pcmag.com/picks/the-best-all-in-one-printers (last updated Dec. 21, 2025) (stating, for home or office multi-function printers, “Printing and copying are a given, and scanning is almost always included as well.”).
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95. 见Kathy Rosa编,美国图书馆协会,《2015年美国图书馆现状》,第10页(2015年4月),http://www.ala.org/news/sites/ala.org.news/files/content/0415_StateAmLib_0.pdf。
95. See Kathy Rosa ed., American Library Association, The State of America's Libraries 2015, p. 10 (Apr. 2015), http://www.ala.org/news/sites/ala.org.news/files/content/0415_StateAmLib_0.pdf.
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96. 见美国公民及移民服务局(USCIS)收费表,G-1055表,“在线申请”,2026年3月1日,https://www.uscis.gov/sites/default/files/document/forms/g-1055.pdf,
96. See USCIS Fee Schedule, Form G-1055, “Filing Online,” Mar. 1, 2026, https://www.uscis.gov/sites/default/files/document/forms/g-1055.pdf,
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97. 见美国财政部(Department of the Treasury)财政服务局(Bureau of the Fiscal Service),Pay.gov,www.pay.gov/paygov(最后访问于2025年12月17日)。
97. See Department of the Treasury, Bureau of the Fiscal Service, Pay.gov, www.pay.gov/paygov (last visited Dec. 17, 2025).
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98. 见美国公民及移民服务局(USCIS),G-1055表,收费表,https://www.uscis.gov/g-1055(最后更新于2026年2月1日)。
98. See USCIS, Form G-1055, Fee Schedule, https://www.uscis.gov/g-1055 (last updated Feb. 1, 2026).
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99. 见美国公民及移民服务局(USCIS),《美国公民及移民服务局将通过电子资金现代化收费方式》(2025年8月29日),https://www.uscis.gov/newsroom/news-releases/uscis-to-modernize-fee-payments-with-electronic-funds。
99. See USCIS, USCIS to Modernize Fee Payments with Electronic Funds (Aug. 29, 2025), https://www.uscis.gov/newsroom/news-releases/uscis-to-modernize-fee-payments-with-electronic-funds.
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100. 来源:美国公民及移民服务局(USCIS)受理与文件制作办公室内部收据数据。
100. Source: USCIS Office of Intake and Document Production internal receipt data.
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101. 摘自美国公民及移民服务局(USCIS)收据数据,提取日期为2026年1月22日。
101. Extracted from USCIS receipt data on Jan. 22, 2026.
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102. 《美国公民及移民服务局(USCIS)政策手册》,第1卷,第B部分,第6章,《提交申请》,第A节,《如何提交》,第2小节,《在线提交申请》,https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6(最后更新于2026年2月3日)。
102. USCIS Policy Manual, Volume 1, Part B, Chapter 6, Submitting Requests, Section A, How to Submit, Subsection 2, Submitting Requests Online, https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6 (last updated Feb. 3, 2026).
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103. 《美国公民及移民服务局(USCIS)政策手册》,第1卷,第B部分,第6章,《提交申请》,第A节,《如何提交》,第2小节,《在线提交申请》,https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6(最后更新于2026年2月3日)。
103. USCIS Policy Manual, Volume 1, Part B, Chapter 6, Submitting Requests, Section A, How to Submit, Subsection 2, Submitting Requests Online, https://www.uscis.gov/policy-manual/volume-1-part-b-chapter-6 (last updated Feb. 3, 2026).
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104. 目前,只有H-2A申请人在通过PDFi提交申请时,其账户中会收到收据通知。
104. Currently, only H-2A petitioners receive a receipt notice in their account when filing through PDFi.
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105. 美国公民及移民服务局(USCIS)绩效与质量办公室,NPD,CLAIMS3,ELIS,HQRAIO,查询于2026年1月,PAER0020178。
105. USCIS Office of Performance and Quality, NPD, CLAIMS3, ELIS, HQRAIO, queried Jan. 2026, PAER0020178.
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106. Daniela Mejia,美国人口普查局(United States Census Bureau),《2021年美国计算机与互联网使用情况》(2024年6月),https://www2.census.gov/library/publications/2024/demo/acs-56.pdf。
106. Daniela Mejia, United States Census Bureau, Computer and internet Use in the United States: 2021 (June 2024), https://www2.census.gov/library/publications/2024/demo/acs-56.pdf.
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107. Daniela Mejia,美国人口普查局(United States Census Bureau),《2021年美国计算机与互联网使用情况》,第3页(2024年6月),https://www2.census.gov/library/publications/2024/demo/acs-56.pdf。
107. Daniela Mejia, United States Census Bureau, Computer and internet Use in the United States: 2021, p. 3 (June 2024), https://www2.census.gov/library/publications/2024/demo/acs-56.pdf.
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108. 家庭外接入互联网包括在工作场所、学校、咖啡馆、公共场所(如图书馆、商业中心、社区中心及此处未列明的其他公共场所)、他人住所以及其他此处未涵盖地点的互联网使用。
108. Outside home access includes internet use at work, school, coffee shop, public places (such as library, commercial center, community center, and other public places), someone else's home, and other locations not covered here.
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109. Daniela Mejia,美国人口普查局(United States Census Bureau),《2021年美国计算机与互联网使用情况》,第8页(2024年6月),https://www2.census.gov/library/publications/2024/demo/acs-56.pdf。
109. Daniela Mejia, United States Census Bureau, Computer and internet Use in the United States: 2021, p. 8 (June 2024), https://www2.census.gov/library/publications/2024/demo/acs-56.pdf.
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110. 美国公民及移民服务局(USCIS),myUSCIS,https://my.uscis.gov/(最后访问于2026年4月20日)(文中指出,“您可以随时随地在任何设备上使用myUSCIS”)。另见美国公民及移民服务局(USCIS),《USCIS网站,E-Verify现已针对移动设备进行优化》,https://www.uscis.gov/archive/uscis-website-e-verify-now-optimized-for-mobile-devices(最后更新于2016年2月29日)。
110. USCIS, myUSCIS, https://my.uscis.gov/ (last visited Apr. 20, 2026) (stating, “you can use myUSCIS anytime and on any device”). See also USCIS, USCIS website, E-Verify Now Optimized for Mobile Devices, https://www.uscis.gov/archive/uscis-website-e-verify-now-optimized-for-mobile-devices (last updated Feb. 29, 2016).
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111. 见本序言第四部分C节。
111. See Part IV, Section C of this preamble.
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112. 美国国土安全部(DHS),美国公民及移民服务局(USCIS),绩效与质量办公室。ELIS,CLAIMS,GLOBAL,C4,查询于2026年1月,PAER编号0020170。
112. DHS, USCIS, Office of Performance and Quality. ELIS, CLAIMS, GLOBAL, C4 queried Jan. 2026, PAER #0020170.
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113. 参见,例如,8 CFR 1003.0(e)(3)(规定由移民事务执行办公室(EOIR)管理一项项目,用于认可组织并认证代表人,以在移民法院、移民上诉委员会及美国国土安全部(DHS)或仅国土安全部面前进行代理)。
113. See, e.g.,8 CFR 1003.0(e)(3) (providing that EOIR administer a program to recognize organizations and accredit representatives to provide representation before the Immigration Courts, the Board, and DHS, or DHS alone).
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114. 美国司法部(DOJ),移民事务执行办公室(EOIR),《律师及完全认证代表人注册程序说明》,https://www.justice.gov/eoir/page/file/1132791(2024年5月)。
114. DOJ, EOIR, Attorneys and Fully Accredited Representatives Registration Process Instructions, https://www.justice.gov/eoir/page/file/1132791 (May 2024).
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115. 见美国众议院司法委员会,《联邦上诉程序规则》,第25.1条(2024年12月1日),https://www.uscourts.gov/file/78321/download。另见PACER,《各地法院站点》,https://pacer.uscourts.gov/file-case/court-cmecf-lookup(最后访问于2025年12月17日)(附有各联邦法院各自CM/ECF站点的链接)。
115. See House of Representatives, Committee on the Judiciary, Federal Rules of Appellate Procedure, Rule 25.1 (Dec. 1, 2024), https://www.uscourts.gov/file/78321/download. See also PACER, Individual Court Sites, https://pacer.uscourts.gov/file-case/court-cmecf-lookup (last visited Dec. 17, 2025) (with links to all Federal courts' individual CM/ECF sites).
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116. 一些州司法管辖区要求律师以电子方式提交文件或在线注册,包括阿拉巴马州(阿拉巴马州律师协会,《AlaFile注册现已强制实行!!》(2011年4月19日),https://www.alabar.org/news/alafile-registration-is-now-mandatory/);加利福尼亚州(加利福尼亚州最高法院通过电子提交规则修正案(2025年8月13日),https://courts.ca.gov/news/california-supreme-court-adopts-amendments-e-filing-rules);马里兰州(马里兰州电子法院,《律师常见问题解答》,https://mdcourts.gov/mdec/faq-attorneys(最后访问于2025年12月17日));得克萨斯州(得克萨斯州司法部门,第三上诉法院,《电子提交,律师》,http://www.txcourts.gov/3rdcoa/practice-before-the-court/electronic-filing/attorneys/(最后访问于2026年2月12日));以及威斯康星州(《电子提交规则》,威斯康星州法规801.18(2016年4月28日),https://www.wicourts.gov/ecourts/efilecircuit/docs/eFilingrule.pdf)。
116. Some State jurisdictions require attorneys to file documents electronically or register online, including in Alabama (Alabama Bar Association, AlaFile Registration is Now Mandatory!! (Apr. 19, 2011), https://www.alabar.org/news/alafile-registration-is-now-mandatory/); California (California Supreme Court Adopts Amendments to E-Filing Rules (Aug. 13, 2025), https://courts.ca.gov/news/california-supreme-court-adopts-amendments-e-filing-rules); Maryland (Maryland Electronic Courts, FAQs For Attorneys, https://mdcourts.gov/mdec/faq-attorneys (last visited Dec. 17, 2025)); Texas (Texas Judicial Branch, Third Court of Appeals, Electronic Filing, Attorneys, http://www.txcourts.gov/3rdcoa/practice-before-the-court/electronic-filing/attorneys/ (last visited Feb. 12, 2026)) ; and Wisconsin (Electronic Filing Rule, Wisconsin Statutes 801.18 (Apr. 28, 2016), https://www.wicourts.gov/ecourts/efilecircuit/docs/eFilingrule.pdf).
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117. 参见,例如,美国公民及移民服务局(USCIS),I-140表,《外籍工人移民申请书》,https://www.uscis.gov/i-140(最后更新于2026年1月9日);另见美国国土安全部(DHS)、美国公民及移民服务局(USCIS),I-129表,《非移民工人申请书》,https://www.uscis.gov/i-129(最后更新于2026年2月10日)。
117. See, e.g., USCIS, Form I-140, Immigrant Petition for Alien Workers, https://www.uscis.gov/i-140 (last updated Jan. 9, 2026); see also DHS, USCIS, Form I-129, Petition for a Nonimmigrant Worker, https://www.uscis.gov/i-129 (last updated Feb. 10, 2026).
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118. 美国国税局,《W-2表和W-3表一般说明(2026年)》(2026年1月29日),https://www.irs.gov/pub/irs-pdf/iw2w3.pdf。
118. Internal Revenue Service, General Instructions for Forms W-2 and W-3 (2026) (Jan. 29, 2026), https://www.irs.gov/pub/irs-pdf/iw2w3.pdf.
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119. 企业的在线申报要求因州而异。有些州要求所有企业在线申报,而另一些州则在企业达到雇员人数或收入门槛后才强制要求在线申报。具有在线申报要求的州包括马萨诸塞州(马萨诸塞州税务局,《电子申报信息》,https://www.mass.gov/guides/dor-e-file-information(最后更新于2024年10月25日))、密歇根州(密歇根州财政部,《电子申报对密歇根州营业税(MBT)是否强制要求?》,https://www.michigan.gov/taxes/0,4676,7-238-43519_46621_47458_69295-337087-,00.html(最后访问于2025年12月17日))、密苏里州(密苏里州税务局,《企业税电子申报常见问题解答》,https://dor.mo.gov/faq/business/telefile.php(最后访问于2025年12月17日))、纽约州(纽约州税务和财政厅,《对企业纳税人的电子申报强制要求》,https://www.tax.ny.gov/bus/efile/elf_busn_mandate.htm(最后更新于2025年3月23日))以及俄勒冈州(俄勒冈州税务局,《iWire》,https://www.oregon.gov/DOR/programs/businesses/pages/iwire.aspx(最后访问于2025年12月17日))。
119. Online filing requirements for businesses vary by state. Some States require all businesses to file online, while others have mandatory online filing once a business reaches an employee or income threshold. States with online filing requirements include Massachusetts (Massachusetts Department of Revenue, DOR E-File Information, https://www.mass.gov/guides/dor-e-file-information (last updated Oct. 25, 2024) ), Michigan (Michigan Department of Treasury, Is E-File mandatory for Michigan Business Tax (MBT)?, https://www.michigan.gov/taxes/0,4676,7-238-43519_46621_47458_69295-337087-,00.html (last visited Dec. 17, 2025) ), Missouri (Missouri Department of Revenue, Business Tax Electronic Filing FAQs, https://dor.mo.gov/faq/business/telefile.php (last visited Dec. 17, 2025) ), New York (New York State Department of Taxation and Finance, Electronic filing mandate for business taxpayers, https://www.tax.ny.gov/bus/efile/elf_busn_mandate.htm (last updated Mar. 23, 2025) ), and Oregon (Oregon Department of Revenue, iWire, https://www.oregon.gov/DOR/programs/businesses/pages/iwire.aspx (last visited Dec. 17, 2025) ).
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120. 美国教育部,《教育统计摘要:2020年》,第7章,表701.60,https://nces.ed.gov/programs/digest/d22/tables/dt22_701.60.asp(最后访问于2025年12月17日)。
120. U.S. Department of Education, Digest of Education Statistics: 2020, ch. 7, Table 701.60, https://nces.ed.gov/programs/digest/d22/tables/dt22_701.60.asp (last visited Dec. 17, 2025) .
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121. 美国图书馆协会,《2023年公共图书馆技术调查:摘要报告》,第4页(2024年),https://www.ala.org/sites/default/files/2024-07/PLA_Tech_Survey_Report_2024.pdf。
121. American Library Association, 2023 Public Library Technology Survey: Summary Report, p. 4 (2024), https://www.ala.org/sites/default/files/2024-07/PLA_Tech_Survey_Report_2024.pdf.
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122. 凯西·罗莎编,美国图书馆协会,《美国图书馆现状2015》,第10至11页(2015年4月),http://www.ala.org/news/sites/ala.org.news/files/content/0415_StateAmLib_0.pdf。
122. Kathy Rosa ed., American Library Association, The State of America's Libraries 2015 10-11 (Apr. 2015), http://www.ala.org/news/sites/ala.org.news/files/content/0415_StateAmLib_0.pdf.
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123. 美国图书馆协会,《2023年公共图书馆技术调查:摘要报告》,第7页(2024年),https://www.ala.org/sites/default/files/2024-07/PLA_Tech_Survey_Report_2024.pdf。
123. American Library Association, 2023 Public Library Technology Survey: Summary Report, p. 7 (2024), https://www.ala.org/sites/default/files/2024-07/PLA_Tech_Survey_Report_2024.pdf.
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124. 参见美国农业部(USDA)网页,《农村发展,电信项目》,https://www.rd.usda.gov/programs-services/all-programs/telecom-programs(最后访问于2026年2月17日);另见《联邦法规汇编》第7编第1739部分(社区连接补助计划)。
124. See U.S. Department of Agriculture (USDA) web page, Rural Development, Telecom Programs, https://www.rd.usda.gov/programs-services/all-programs/telecom-programs (last visited Feb. 17, 2026); see also7 CFR 1739 (Community Connect Grant Program).
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125. 桑尼·珀杜,美国农业部,《农业与农村繁荣工作组致美国总统的报告》,第2页(2017年10月21日),https://www.usda.gov/sites/default/files/documents/rural-prosperity-report.pdf。
125. Sonny Perdue, USDA, Report to the President of the United States from the Task Force on Agriculture and Rural Prosperity, p. 2 (Oct. 21, 2017), https://www.usda.gov/sites/default/files/documents/rural-prosperity-report.pdf.
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126. 同上,第26页。
126. Id. at 26.
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127. 同上,第17页。
127. Id. at 17.
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128. 通用服务管理公司,https://www.usac.org(最后访问于2025年12月17日)。
128. Universal Service Administrative Co., https://www.usac.org (last visited Dec. 17, 2025).
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129. 通用服务管理公司,《通用服务常见问题解答》,https://www.usac.org/about/universal-service/faqs/general/(最后访问于2025年12月17日)。
129. Universal Service Administrative Co., Universal Service FAQs, https://www.usac.org/about/universal-service/faqs/general/ (last visited Dec. 17, 2025).
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130. 参见本序言第四部分A.7节,其中讨论了对拥有法律代理的人员及实体获得互联网接入的预期情况。
130. See Part IV, Section A.7 of this preamble discussing expectations of internet access for those with legal representation and entities.
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131. 参见I-936表说明,《应提交的证据》。
131. See Instructions for Form I-936, What Evidence to Submit.
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132. 参见美国公民及移民服务局(USCIS),《所有表格》,https://www.uscis.gov/forms(最后访问日期:2025年12月18日)。
132. See USCIS, All Forms, https://www.uscis.gov/forms (last visited Dec. 18, 2025).
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133. 参见I-936表格说明。
133. See Instructions for Form I-936.
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134. 参见I-936表格第2部分第1题(“我希望就以下表格申请豁免电子提交要求”)。
134. See Form I-936, Part 2, Question 1. (“I want to request a waiver of the e-filing requirements for the following form”).
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135. 参见I-936表格说明,应提交的证据。
135. See Instructions for Form I-936, What Evidence to Submit.
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136. 在本规则全文中,凡序言中提及必须在线提交的请求,此类表述均不包括获得豁免者,而豁免适用于所有须在线提交的请求。
136. Throughout this rule, where the preamble references a request that must be filed online, such characterization excludes those who receive waivers, which are available for all requests that must be filed online.
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137. 对于以邮寄方式送达的情形,美国公民及移民服务局(USCIS)另加3天。见8 CFR 103.8(b)。
137. USCIS allows for 3 additional days in cases of service by mail. 8 CFR 103.8(b).
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138. 参见I-936表格说明,谁可以提交I-936表格。
138. See Instructions for Form I-936, Who May File Form I-936.
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139. 参见,例如,8 CFR 216.6(a)(1)(ii)(规定附条件永久居民投资者的配偶及每个子女,若未被列入该投资者解除条件的申请中,须各自提交解除条件的申请)。
139. See, e.g.,8 CFR 216.6(a)(1)(ii) (specifying a spouse and each child of a conditional resident immigrant investor must submit his or her own petition to remove conditions when they are not included on the immigrant investor's petition to remove conditions).
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140. 美国公民及移民服务局(USCIS),《根据〈信息自由法〉或〈隐私法〉申请记录》,https://www.uscis.gov/records/request-records-through-the-freedom-of-information-act-or-privacy-act(最后更新日期:2026年1月27日)。
140. USCIS, Request Records through the Freedom of Information Act or Privacy Act, https://www.uscis.gov/records/request-records-through-the-freedom-of-information-act-or-privacy-act (last updated Jan. 27, 2026).
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141. 美国公民及移民服务局(USCIS),《根据〈信息自由法〉或〈隐私法〉申请记录》,https://www.uscis.gov/records/request-records-through-the-freedom-of-information-act-or-privacy-act(最后更新日期:2026年1月27日)。
141. USCIS, Request Records through the Freedom of Information Act or Privacy Act, https://www.uscis.gov/records/request-records-through-the-freedom-of-information-act-or-privacy-act (last updated Jan. 27, 2026).
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142. 参见美国公民及移民服务局(USCIS)G-1055表格,“费用表”,https://www.uscis.gov/g-1055(2025年10月28日版)。
142. See USCIS, Form G-1055, “Fee Schedule,” https://www.uscis.gov/g-1055 (Oct. 28, 2025 ed.).
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143. 管理和预算办公室(OMB),A-4号通告,“监管分析”,第44页(2003年9月17日),https://trumpwhitehouse.archives.gov/sites/whitehouse.gov/files/omb/circulars/A4/a-4.pdf。
143. OMB, Circular A-4, “Regulatory Analysis,” p. 44 (Sep. 17, 2003), https://trumpwhitehouse.archives.gov/sites/whitehouse.gov/files/omb/circulars/A4/a-4.pdf.
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144. 在美国公民及移民服务局(USCIS)目前提供的100多种表格中,有22种可通过引导式在线提交或PDFi方式进行电子提交。
144. Of the total over 100 currently available USCIS forms, 22 forms are available for e-filing, through guided online filing or PDFi.
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145. I-134A表格,《成为经济担保人的在线申请及经济担保声明》。自2025年1月起,美国公民及移民服务局(USCIS)已暂停接受该表格。I-589表格,《庇护申请及暂缓递解令申请》。I-765表格,《就业授权申请》。I-821表格,《临时保护身份申请》。
145. Form I-134A, Online Request to be a Supporter and Declaration of Financial Support. USCIS has paused acceptance of this form since January 2025. Form I-589, Application for Asylum and for Withholding of Removal. Form I-765, Application for Employment Authorization. Form I-821, Application for Temporary Protected Status.
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146. 来源:美国公民及移民服务局(USCIS)受理与文件制作办公室内部受理数据(2026年2月)。
146. Source: USCIS Office of Intake and Document Production internal receipt data (February 2026).
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147. 计算方法:5,973,727 × (100/96) × 0.04 = 248,905。国土安全部(DHS)之所以乘以100/96,是因为5,973,727代表受影响总人口的96%。将该96%的数值乘以100/96可换算出100%的总人口数,再将该总人口数乘以0.04,即可得出其中4%的数量,结果为248,905。
147. Calculation: 5,973,727 × (100/96) × 0.04 = 248,905. DHS multiplies by 100/96 because 5,973,727 represents 96% of the total affected population. Multiplying by 100/96 converts this 96% value back to the full 100% total population, and then multiplying by 0.04 takes 4% of that total, which equals 248,905.
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148. 美国公民及移民服务局(USCIS)的大多数纸质提交材料包含多页内容及辅助文件,尺寸大于标准信封,且重量通常超过1盎司。申请人通常还会选择使用追踪、送达确认及更快捷的投递服务。优先邮件可作为介于普通邮件与特快邮件之间的一个合理参照。有关优先邮件统一费率,参见https://www.usps.com/ship/priority-mail.htm#flatrate(最后访问日期:2026年1月29日)。
148. Most USCIS paper submissions include multiple pages, supporting documents, are larger than standard envelopes, and often weigh over 1 oz. Filers also commonly choose tracking, delivery confirmation, and faster deliver. Priority mail could be a good proxy between first class mail and express mail. See https://www.usps.com/ship/priority-mail.htm#flatrate for the priority mail flat rate (last visited Jan. 29, 2026).
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149. 来源:美国公民及移民服务局(USCIS)受理与文件制作办公室内部数据库,2025财年受理拒收总量数据,查询日期为2026年1月。
149. Source: USCIS Office of Intake and Document Production internal database, Total Intake Rejections in FY2025 data queried January 2026.
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150. 来源:美国公民及移民服务局(USCIS)受理与文件制作办公室内部数据库,2025财年因PDFi导致的受理拒收总量数据,查询日期为2026年1月。在目前因缺陷而被拒收的1,005,297份纸质申请材料中,国土安全部(DHS)估计即便通过PDFi提交,仍有8,774份会因系统或申请人在提交前未更正的问题而被拒收。
150. Source: USCIS Office of Intake and Document Production internal database, Total Intake Rejections by PDFi in FY2025 data queried January 2026. Of the 1,005,297 paper-based filings currently rejected for deficiencies, DHS estimates that 8,774 would still be rejected even if filed via PDFi, due to issues that the system or filer does not correct before submission.
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151. 国土安全部(DHS)指出,当美国公民及移民服务局(USCIS)禁止使用支票或汇票支付申请费后,约96%的申请人成功使用自动清算所或信用卡支付方式完成缴费。这是反映申请人在此前由传统支付方式向新系统过渡期间,有多少比例的人无法或不愿配合的最新且唯一的实证估计数据。对于强制电子提交,国土安全部(DHS)将此4%的豁免比例视为对未来强制电子提交要求下可能需要豁免的申请人比例的一个合理、保守的估计。讨论见第V.B.3节。
151. DHS notes that when USCIS prohibited payment of filing fees using checks or money orders, about 96 percent of requestors successfully paid using the automated clearing house or credit card payment form. This is the most recent and only empirical estimate reflecting the share of requestors who were unable or unwilling to comply with a prior transition from legacy payment methods to a new system. For mandatory e-filing DHS treats this 4 percent waiver rate as a reasonable, conservative estimate of how many requestors may need exemptions from a future mandatory e-filing requirement. Discussed in section V.B.3.
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152. 美国公民及移民服务局(USCIS)绩效与质量办公室,METRICSMART系统,NPD,C3,ELIS PAER#20271,查询日期为2026年1月。
152. USCIS Office of Performance and Quality, METRICSMART, NPD, C3, ELIS PAER#20271 queried January 2026.
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153. 计算方法:第V.3节(248,905人)中受影响人数 × 0.94 × 25美元 = 5,849,275美元。
153. Calculation: Affected population from Section V.3 (248,905) × 0.94 × $25 = $5,849,275.
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154. 填写弃权表格的时间成本机会成本= 47.36美元 × 248,905 × 0.5 = 5,893,704美元。邮资成本= 11.95美元 × 248,905 = 2,974,415美元。
154. Opportunity cost of time burden to file waiver form= $47.36 × 248,905 × 0.5 = $5,893,704. Postage costs= $11.95 × 248,905 = $2,974,415.
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155. Ray、Kim和Morris,《在线用户的转换成本:其性质与形成》,第23卷,《信息系统研究》,第197-213页(2012年)。
155. Ray, Kim, and Morris, Online Users' Switching Costs: Their Nature and Formation. Vol. 23 Information Systems Research. PP. 197-213 (2012).
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156. Schaupp、Carter和McBride,《电子申报的采用:美国纳税人意向研究》,第26卷,《计算机与人类行为》,第636-644页(2010年)。
156. Schaupp, Carter, and McBride, E-file adoption: A study of U.S. taxpayers' intentions, Vol. 26, Computers in Human Behavior pp. 636-644 (2010).
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157. 参见第III.B.3节表4和表5。
157. See Section III.B.3. Table 4 and Table 5.
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158. 根据表12:估计纸质申请收据所占百分比为((6,622,296 *(100/96))/10,785,100)* 100 = 64%(四舍五入)。不合格电子申报收据所占百分比为(675,593/10,785,100)* 100 = 6%(四舍五入)。因此,64% − 6% = 58%的总收据可转换为电子申报。假设253,244,458美元为58%纸质收据的人工成本,则58%的人工成本为253,244,458美元 *(58/64)= 229,502,790美元。按96%的合规率计算,估计年度人工成本节省为229,502,790美元 * 0.96 = 2.2亿美元(四舍五入)。
158. From Table 12: Percentage of estimated paper filed receipts is ((6,622,296 * (100/96))/10,785,100) * 100 = 64% (rounded). Percentage of ineligible e-filing receipts is (675,593/10,785,100) * 100 = 6% (rounded). Therefore, 64% − 6% = 58% of total receipts can be switched to e-filing. Assuming $253,244,458 is labor cost of 58% of paper receipts then the labor cost of 58% would be $253,244,458 * (58/64) = $229,502,790. Applying 96% compliance rate, the estimated annual labor cost saving is $229,502,790 * 0.96 = $220 million (rounded).
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159. 采用与人工成本节省相同的方法,10,864,781美元 *(58/64)= 9,846,208美元。按96%的合规率计算,估计年度人工成本节省为9,846,208美元 * 0.96 = 950万美元(四舍五入)
159. Same methodology as labor cost savings, $10,864,781 * (58/64) = $9,846,208. Applying 96% compliance rate, the estimated annual labor cost saving is $9,846,208 * 0.96 = $9.5 million (rounded)
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160. 联邦公报第81卷第6194页,第6287页(说明国土安全部(DHS)在可能的范围内遵循行政管理和预算局(OMB)A-25号通告)。
160. 81 FR 6194, 6287 (explaining that DHS follows OMB Circular A-25 to the extent possible).
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161. 小企业是指任何独立拥有和经营、在其经营领域不占主导地位,并根据《小企业法》(15 U.S.C.632)符合小企业资格的企业。
161. A small business is defined as any independently owned and operated business not dominant in its field of operation that qualifies as a small business per the Small Business Act, 15 U.S.C.632.
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162. “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。参见2 U.S.C. 1502(1)、658(5)、(6)。
162. The term “Federal mandate” means a Federal intergovernmental mandate or a Federal private sector mandate. See 2 U.S.C. 1502(1), 658(5), (6).
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163. 参见美国劳工部(DOL)劳工统计局(BLS),《所有城市消费者消费者价格指数(CPI-U)历史数据:美国城市平均数,所有项目,按月》,历史CPI-U数据,2025年9月(XLSX)(数据库),https://www.bls.gov/cpi/tables/supplemental-files/home.htm,(最后更新于2026年1月13日)。通货膨胀百分比计算方法:(1)计算参考年份(1995年)和当前年份(2024年)的月平均CPI-U;(2)用当前年份CPI-U减去参考年份CPI-U;(3)将参考年份CPI-U与当前年份CPI-U之差除以参考年份CPI-U;(4)乘以100 = [(2024年月平均CPI-U − 1995年月平均CPI-U)÷(1995年月平均CPI-U)] × 100 = [(313.689 − 152.383)÷ 152.383] = (161.306 ÷ 152.383) = 1.059 × 100 = 105.86% = 106%(四舍五入)。
163. See DOL, BLS, Historical Consumer Price Index for All Urban Consumers (CPI-U): U.S. city average, all items, by month, Historical CPI-U, September 2025 (XLSX) (database), https://www.bls.gov/cpi/tables/supplemental-files/home.htm, (last updated Jan. 13, 2026). Calculation of inflation percentage: (1) Calculate the average monthly CPI-U for the reference year (1995) and the current year (2024); (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 2024 − Average monthly CPI-U for 1995) ÷ (Average monthly CPI-U for 1995)] × 100 = [(313.689 − 152.383) ÷ 152.383] = (161.306 ÷ 152.383) = 1.059 × 100 = 105.86 percent = 106 percent (rounded).
通货膨胀调整值计算:将111%的通货膨胀百分比转换为通货膨胀系数 = 1 + 106/100 = 2.06。1995年美元价值1亿美元 × 2.06 = 2024年美元价值2.06亿美元。
Calculation of inflation-adjusted value: Convert 111% inflation percentage to an inflation factor = 1 + 106/100 = 2.06. $100 million in 1995 dollars × 2.06 = $206 million in 2024 dollars.
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164. 《指导手册》载有国土安全部(DHS)实施《国家环境政策法》(NEPA)的程序,发布于2014年11月6日,https://www.dhs.gov/ocrso/eed/epb/nepa(最后更新于2025年7月29日)。
164. The Instruction Manual contains DHS's procedures for implementing NEPA and was issued on November 6, 2014, https://www.dhs.gov/ocrso/eed/epb/nepa (last updated July 29, 2025).
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165. 参见《指导手册》附录A,表1。
165. See Instruction Manual, Appendix A, Table 1.
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166. 参见《指导手册》第V.B(2)(a)至(c)节。
166. See Instruction Manual at V.B(2)(a) through (c).
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167. 参见5 CFR 1320.5(a)(2)(规定除非提前获得行政管理和预算局(OMB)对拟议信息收集的批准,否则机构不得在采用或修订信息收集之前进行或赞助该信息收集)。然而,如前所述,根据本规则,一旦OMB批准I-936表格,美国公民及移民服务局(USCIS)即可宣布,凡已开放电子申报180天的申请类型,必须在60天内改为电子申报。
167. See 5 CFR 1320.5(a)(2) (providing that an agency shall not conduct or sponsor a collection of information unless, in advance of the adoption or revision of the collection of information OMB has approved the proposed collection of information). However, as previously stated, immediately upon approval of the Form I-936 by OMB, under this rule, USCIS may announce that a request that has been available for e-filing for 180 days must be e-filed in 60 days.
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计费代码 9111-97-P
BILLING CODE 9111-97-P
计费代码 9111-97-C
BILLING CODE 9111-97-C
[联邦公报文件编号2026-16313,归档于26年8月10日上午8:45]
[FR Doc. 2026-16313 Filed 8-10-26; 8:45 am]