FRM I601 83C Fee Rule Supporting Statement_21OCT2016

SUPPORTING STATEMENT FOR

APPLICATIONFOR WAIVER OF GROUNDS OF INADMISSIBILITY

OMB Control No.: 1615-0029

COLLECTION INSTRUMENT(S): Form No. I-601

A. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Immigration law prescribes acts, conditions, and conduct that bar foreign nationals from obtaining a visa and from being admitted to the United States. These grounds of inadmissibility are codified in section 212(a) of the Immigration and Nationality Act (the Act). Grounds of inadmissibility include health-related, criminal, security, and miscellaneous grounds (such as unlawful voting or child abduction); grounds relating to public charge, ineligibility for U.S. citizenship, Labor Certification, and documentary requirements; and grounds relating to unlawful presence and previous deportation or removal. There are also several waiver provisions incorporated into section 212 of the Act, which allows the Secretary of Homeland Security to exercise discretion in waiving certain grounds of inadmissibility on a case by case basis. The Form I-601 is the USCIS form that an individual files to request one of these waivers. This collection of information is necessary to assess a waiver of inadmissibility.

This information collection is used by applicants inadmissible to the United States but seeking lawful permanent resident status based on the family-based and employment based immigration track provided in the INA, finacé(e) status at the consulate (K nonimmigrant visa applicants), and V visa applicants (nonimmigrant category for spouses and children of lawful permanent residents). Furthermore, this information collection is used by individuals who are seeking for Temporary Protected Status (TPS).

Authority: 8 U.S.C. 1182, INA section 212; 8 CFR 212.7

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

The information collected on this form is used by U.S Citizenship and Immigration Services (USCIS) to determine whether the applicant is eligible for a waiver of inadmissibility under section 212 of the Act.

Waiver requirements depend on the ground of inadmissibility and the benefit an individual is seeking. For example, an individual who is inadmissible for fraud (INA 212(i)) must establish different eligibility criteria than one who is inadmissible for unlawful presence (INA 212(a)(9)(B)(v)). The information collected on Form I-601 enables USCIS to determine whether the applicant meets the legal requirements for each waiver required for the immigration benefit he or she is seeking.

USCIS will evaluate the information provided by the applicant together with the background check results obtained from the primary application for lawful permanent residence or TPS (upon which the I-601 application is based), and use the information to determine whether the individual meets the legal requirements for the waiver(s).

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

The use of this form currently provides the most efficient means for collecting and processing the required data. This form resides on the USCIS Web site at http://www.uscis.gov/i-601 and completed electronically, saved in Adobe Acrobat™ and printed for submission to USCIS.

In the first quarter of FY17, USCIS is scheduled to incorporate Form I-601 into the USCIS Electronic Immigration System (USCIS ELIS), a streamlined online account-based system. Respondents will be able to electronically access and complete the form and submit it to USCIS on line.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

A search of USCIS’ automated forms tracking system was accomplished and revealed no duplication. There is no similar data collected.

The information is not duplicative of other data collections that are used to grant waivers of inadmissibility, such as Form I-191, Form I-192, Form I-601A, Form I-602 or Form I-690. In the INA, Congress provided guidance outlining the types of waivers available for a given immigration benefit. Each category has its own set of requirements that must be met before a waiver of inadmissibility can be granted. To avoid confusion, USCIS continues to maintain the legacy INS waiver applications that are specific to the immigration benefit type that the individual is seeking.

In March 2013, USCIS implemented the Provisional Unlawful Presence Waiver program. This program reflects a procedural change to the processing of waivers for unlawful presence and presents an alternative to the waiver process offered through the Form I-601. However, by regulation, the provisional waiver process can only be used by certain immediate relatives seeking consular processing of their immigrant status. Additionally, the provisional unlawful presence waiver process codified at 8 CFR 212.7(e) stipulates various qualification requirements and restrictions that are different from the I-601 process. Therefore, the information collection of Form I-601A is tailored to the specific legal requirements of the I-601A process.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize burden.

This collection of information does not have an impact on small businesses or other small entities.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

If this information is not collected, USCIS would not be able to properly assess the applicant’s eligibility for the requested waiver.

The collection instrument submitted under this request is submitted on an “as needed” basis in connection with an immigration benefit request. The information provided must be current, thus previously submitted data cannot be used. If the information is not collected, USCIS will not be able to fulfill its core mission of providing immigration benefit and information services while ensuring the integrity of the immigration system. USCIS would not be able to properly assess the applicant's eligibility for waivers of grounds of inadmissibility under section 212(a) of the Act and, as a result, the applicant’s request will not be accurately adjudicated.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

• Requiring respondents to report information to the agency more often than quarterly;

• Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

• Requiring respondents to submit more than an original and two copies of any document;

• Requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than three years;

• In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

• Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

• That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

• Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

This information collection is conducted in a manner consistent with the guidelines in 5 CFR 1320.5(d)(2).

8. If applicable, provide a copy and identify the data and page number of publication in the Federal Register of the agency’s notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

On May 4, 2016, the Department of Homeland Security published a Notice of Proposed Rulemaking that contained a section regarding its information collection impacts and requesting comments for 60 days. 81 FR 26904. The comments received are addressed in the final rule that was reviewed by OMB with this supporting statement.

On October 24, 2016, the Department of Homeland Security published a Final Rule that contains a section regarding its information collection impacts. This rule is effective December 23, 2016. 81 FR 73292.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

USCIS does not provide any payment for benefit sought.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation or agency policy.

There is no assurance of confidentiality. The system of record notices associated with this information collection are the United States Citizenship and Immigration Services Benefits Information System notice, which was published in the Federal Register on September 29, 2008 at 73 FR 56596 and the Electronic Immigration System-2 Account and Case Management System of Records notice published in the Federal Register on April 5, 2011 at 78 FR 20673. The privacy impact assessments associated with this information collection are assessments concerning the USCIS Benefits Processing of Applicants other than Petitions for Naturalization, Refugee Status, and Asylum dated September 5, 2008, and the Electronic Immigration System (ELIS 2) Account and Case Management, dated May 16, 2012.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

There are questions of a sensitive nature relating to an applicant’s mental or physical condition. The Form I-601 is used to waive the medical grounds of inadmissibility under section 212(a) of the Act. It includes information concerning communicable diseases, drug abuse addiction, and mental disorders. Additionally, there are questions asked about an individual’s criminal activity and personal information such as social security number. The information is used to facilitate the adjudication of the waiver by assisting with the verification of true identity, validating immigration history and conducting required security checks that ensure the correct adjudication of benefits. This information is necessary to determine whether the grounds of inadmissibility, as set by Congress in section 212(a) of the Act, can be waived and the Form I-601 approved.

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included in Item 14.

Type of Respondent	Form Name / Form Number	No. of Respondents	No. of Responses per Respondent	Avg. Burden per Response (in hours)	Total Annual Burden (in hours)	Avg. Hourly Wage Rate*	Total Annual Respondent Cost
Primary: Individuals or Households	Application for Waiver of Grounds of Inadmissibility, Form I-601	20,194	1	1.75	35,340	$32.52	$1,149,257
Individuals or Households	Electronic Filing	6,058**	1	1.33	8,057	$32.52	$262,014
Total		20,194			43,397		$1,411,271

NOTES ON BURDEN:

* The above Average Hourly Wage Rate is the May 2015 Bureau of Labor Statistics average wage for “All Occupations” of $23.23 times the wage rate benefit multiplier of 1.4 (to account for fringe benefits) equaling $32.52. The selection of “All Occupations” (for example) was chosen as the expected respondents for this collection could be expected to be from any occupation.

**USCIS currently estimates that it would take applicants requesting a waiver for a ground of inadmissibility that chooses to request the waiver electronically an approximately 1.33 hours (1 hour and 20 minutes). USCIS currently estimates that 30% of the total number of respondents will file electronically.

USCIS has sought comments in conjunction with other information collection requests on how the burden of the following information collection requirements affects respondents.  USCIS will revise its burden estimates based on the public comments received, its own expert analysis, and informational resources.

1.  Affidavits.  This information collection also provides that a motion must state new facts and must be supported by, among others, affidavits.  An affidavit may require research and preparation by a third party as well as payment for the third party’s effort. 

           

2.  Preparers.  Some respondents may hire third parties for   form completion so there may be a burden for a preparer to assist in the form completion process. 

3.  Records.  Respondents might need to provide documentary evidence demonstrating eligibility at the time the underlying petition or application was filed.  There may be a burden associated with having to gather the required documentation

13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

• The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life); and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

• Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995; (2) to achieve regulatory compliance with requirements not associated with the information collection; (3) for reasons other than to provide information or keep records for the government; or, (4) as part of customary and usual business or private practices.

There is no cost burden to respondents for actually responding to this information collection- start-up, maintenance, and operating costs associated with completing the paperwork. There is, however, a fee charge of $930 associated with the filing of this information collection.

In addition to the time burden of this collection described in question 12 above, USCIS estimates that respondents will incur an estimated cost of $3.75 average postage cost to each respondent to submit the completed package to USCIS. Postage to mail completed package (20,194 paper-filing respondents x $3.75 average postage cost) = $75,728.

In addition, this information collection may impose some out-of-pocket costs on respondents in addition to the time burden for the form’s preparation.  Many respondents may incur expenses to obtain tax, financial, or business records, form preparation, legal services, translators, and document search and generation. USCIS estimates the average estimated cost may vary widely, from as little as $20 to $1000 per respondent.  USCIS estimates that the average cost for these activities is $490 and that an average of 75% of the total respondent population may incur this cost.  The total estimated cost to respondents would be calculated as follows:  20,194 respondents x 75% of the population x the average cost per response of $490 = $7,421,295.

As a result, the estimated total cost to respondents is approximately $7,497,023 [$75,728 + $7,421,295]. The estimated cost per respondent is $7,497,023 / 20,194 total respondents = $371.

14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a single table.

Annualized Cost Analysis:

Collecting and Processing $ 18,780,420

Total Annual Cost to Government $ 18,780,420

Government Cost

The estimated cost of the program to the Government is calculated by multiplying the estimated number of respondents 20,194 (x) $930 the suggested fee charge (which includes the suggested average hourly rate for clerical, officer, and managerial time with benefits). In addition, this figure includes the estimated overhead cost for printing, stocking, distributing and processing of this form.

15. Explain the reasons for any program changes or adjustments reporting in Items 13 or 14 of the OMB Form 83-I.

Data collection Activity/ Instrument	Program Change (hours currently on OMB Inventory)	Program Change (New)	Difference	Adjustment (hours currently on OMB Inventory)	Adjustment (New)	Difference
I-601				36,211	43,397	+7,186
Biometric Processing				--	--	--
Total(s)				36,211	43,397	+7,186

There is an increase in the estimated hour burden associated with this information collection due an anticipated increase in the number of respondents, which is based on the collection of more accurate data on the number of Form I-601 filings since the previous information collection. There is no change in the information being collected.

Data collection Activity/ Instrument	Program Change (cost currently on OMB Inventory)	Program Change (New)	Difference	Adjustment (cost currently on OMB Inventory)	Adjustment (New)	Difference
I-601				$7,657,031	$7,497,023	-$160,008
Biometric Processing				--	--	--
Total(s)				$7,657,031	$7,497,023	-$160,008

There is a decrease in the estimated cost burden associated with this information collection due to more accurate, which are based on the collection of more accurate data on the number of Form I-601 filings since the previous information collection. There is no change in the information being collected.

16. For collections of information whose results will be published, outline plans for tabulation, and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

This information collection will not be published for statistical purposes.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

USCIS will display the expiration date for OMB approval of this information collection.

18. Explain each exception to the certification statement identified in Item 19, “Certification for Paperwork Reduction Act Submission,” of OMB 83-I.

USCIS does not request an exception to the certification of this information collection.

B. Collections of Information Employing Statistical Methods.

There is no statistical methodology involved with this collection.

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