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Code · REGISTER · 2007-10-04 · Federal Bureau of Investigation, Department of Justice · Notices

Notices. Notice

82,267 words·~374 min read·/register/2007/10/04/07-4952

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BILLING CODE 4410-15-M DEPARTMENT OF JUSTICE [AAG/A Order No. 033-2007] Privacy Act of 1974; System of Records AGENCY: Federal Bureau of Investigation, Department of Justice. ACTION: Notice. SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and Office of Management and Budget
(OMB)Circular A-130, notice is hereby given that the Department of Justice, Federal Bureau of Investigation (FBI), proposes to establish a new system of records entitled “Law Enforcement National Data Exchange (N-DEx),” DOJ/FBI-020. DATES: The Privacy Act requires that the public be given 30 days in which to comment on any new or amended uses of information in a system of records. In addition, OMB, which has oversight responsibilities under the Act, and the Congress must be given 40 days in which to review major changes to Privacy Act systems. Therefore, the public, OMB, and the Congress are invited to submit written comments on this new Privacy Act system of records. Comments must be received by November 13, 2007. The system of records will be effective November 13, 2007 unless comments are received that result in a contrary determination. ADDRESSES: Comments may be sent to Joo Chung, Counsel, Privacy and Civil Liberties Office, Office of the Deputy Attorney General, 950 Pennsylvania Ave., NW., Washington, DC 20530, or facsimile 202-616-9627. FOR FURTHER INFORMATION CONTACT: Elizabeth Withnell, Assistant General Counsel, Privacy and Civil Liberties Unit, Office of the General Counsel, Federal Bureau of Investigation, 202-324-3396. SUPPLEMENTARY INFORMATION: The Department of Justice
(DOJ)and its component agency, the FBI, have identified improved information sharing with the entire law enforcement community as a key goal and the focus of the Department's Law Enforcement Information Sharing Program (LEISP). The Law Enforcement National Data Exchange (N-DEx) Program is at the heart of the LEISP and will improve information sharing for law enforcement purposes. The N-DEx, operated under the aegis of the FBI's Criminal Justice Information Services
(CJIS)Division, is a scalable information sharing network that will provide the capability to make potential linkages between crime incidents, criminal investigations, arrests, bookings, incarcerations, and parole and/or probation information in order to help solve, deter and prevent crimes and, in the process, enhance homeland security. The N-DEx will be populated by data that is already collected by law enforcement agencies at the Federal, State, local and tribal levels in fulfilling their functions, such as incident, offense and case reports. The N-DEx, however, will facilitate the combination of this data in one secure repository in order to be reviewed for connections, trends or similarities that will help facilitate the deterrence, prevention and resolution of crimes. Each data contributor will provide information subject to conditions elaborated in a memorandum of understanding or based on Federal law that are expected to reserve ultimate control and disposition of the data to the contributing agencies. Although the N-DEx will facilitate comparisons of seemingly disparate data, the information may not be used as a basis for action or disseminated beyond the recipient without that recipient first obtaining permission of the record owner/contributor. This permission policy, which may be waived only where there is an actual or potential threat of terrorism, immediate danger of death or serious physical injury to any person or imminent harm to national security, will help ensure that information maintained in the system is verified and updated as necessary. These rules will be enforced through strong and consistent audit procedures. All data contributors will be responsible for ensuring that information they share is relevant, timely, complete, and accurate and periodic updates will be required in order to enhance data and system integrity. System access will be based on a user's job function in his or her respective agency and will also be conditioned on access limits prescribed by the data contributor, which can range from unrestricted sharing to highly restricted access. Because the N-DEx contains criminal law enforcement information, the Attorney General is proposing to exempt this system from certain portions of the Privacy Act, as permitted by law, to protect sensitive information contained in this system and to prevent the compromise of ongoing law enforcement investigations and sources and methods. As required by the Privacy Act, a proposed rule is being published concurrently with this notice to seek public comment on the proposal to exempt this system. In addition, in accordance with Privacy Act requirements (5 U.S.C. 552a(r)), the Department of Justice has provided a report on this new system of records to OMB and the Congress. A description of the N-DEx system of records appears below. Dated: September 25, 2007. Lee J. Lofthus, Assistant Attorney General for Administration. JUSTICE/FBI-020 System Name: Law Enforcement National Data Exchange (N-DEx). Security Classification: Sensitive But Unclassified. System Location: Records will be located at the Federal Bureau of Investigation (FBI), Criminal Justice Information Services
(CJIS)Division, 1000 Custer Hollow Road, Clarksburg, WV 26306, and at appropriate locations for system back-up and continuity of operations purposes. Categories of Individuals Covered by the System: The N-DEx will cover any individual who is identified in a law enforcement report concerning a crime incident or criminal investigation. These individuals include, but are not limited to: Subjects; suspects; associates; victims; persons of interest; witnesses; and/or any individual named in an arrest, booking, parole and/or probation report. Categories of Records in the System: The N-DEx will contain information collected by criminal justice agencies that is needed for the performance of their legally authorized, required function. The records in the system consist of incident, offense and case reports as well as arrest, booking, incarceration, and parole and/or probation information from Federal, State, local and tribal law enforcement entities. Identifying information in this system will include, but not be limited to: Name(s); sex; race; citizenship; date and place of birth; address(es); telephone number(s); social security number(s) or other unique identifiers; physical description (including height, weight, hair color, eye color, gender); occupation and vehicle identifiers. Data from the FBI's CJIS Division, including the National Crime Information Center (NCIC), the Interstate Identification Index (III), and Integrated Automated Fingerprint Identification System (IAFIS), will be made available to the system for queries, but the N-DEx will not contain copies of these databases. The information contributed by Federal, State, local and tribal law enforcement entities will be formatted using the National Information Exchange Model (NIEM), a single standard Extensible Markup Language
(XML)foundation for exchanging information between agencies, in order to facilitate information sharing. Authority for Maintenance of the System: The system is established and maintained in accordance with 28 U.S.C. 533, 534; 28 CFR 0.85 and 28 CFR part 20. Purpose(s): The purpose of the N-DEx system is to enhance the interconnectivity of criminal justice databases in order to improve the sharing of multiple levels of criminal justice data to further criminal justice objectives for crime analysis, law enforcement administration, and strategic/tactical operations in investigating, reporting, solving, and preventing crime, and, thereby, improving homeland security. The N-DEx system will allow Federal, State, local and tribal law enforcement agencies to compare and/or link criminal incidents and/or investigations occurring in their own jurisdictions with those in other jurisdictions throughout the country. Routine Uses of Records Maintained in the System, Including categories of Users and the Purposes of such uses: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FBI as a routine use pursuant to 5 U.S.C. 552a(b)(3), to the extent such disclosures are compatible with the purpose for which the information was collected, in accordance with any blanket routine uses established for FBI record systems. For current blanket routine uses, see Blanket Routine Uses
(BRU)Applicable to More Than One FBI Privacy Act System of Records, Justice/FBI-BRU, published in the **Federal Register** at 66 FR 33558 (June 22, 2001) and amended at 70 FR 7513 (Feb. 14, 2005). Routine uses are not meant to be mutually exclusive and may overlap in some cases. In addition, the FBI may disclose relevant system records as follows: A. To any criminal, civil, or regulatory law enforcement authority (whether Federal, State, local, territorial, tribal, or foreign) where the information is relevant to the recipient entity's law enforcement or homeland security responsibilities. B. To a Federal, State, local, joint, tribal, foreign, international, or other public agency/organization, or to any person or entity in either the public or private sector, domestic or foreign, where such disclosure may facilitate the apprehension of fugitives, the location of missing persons, the location and/or return of stolen property or similar criminal justice objectives. C. To any person or entity in either the public or private sector, domestic or foreign, if deemed by the FBI to be reasonably necessary to elicit information or cooperation from the recipient for use in furthering the purposes of the system. D. To appropriate agencies, entities, and persons when
(1)The Department of Justice suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
(2)the Department of Justice has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft, or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and
(3)the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department of Justice's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. E. To those agencies, entities and persons the FBI may consider necessary or appropriate incident to the ensuring the continuity of government functions in the event of any actual or potential significant disruption of normal operations. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not Applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Most information is maintained in electronic form and stored in computer memory, on disk storage, on computer tape, or other computer media. However, some information may also be maintained by the contributing agency in hard copy (paper) or other form. RETRIEVABILITY: Information will be retrieved by linkages based on identifying data collected on involved persons, places and things, and other non-specific descriptions of circumstances to identify events with a common modus operandi. This could include individual names or other personal identifiers. SAFEGUARDS: System records are maintained in limited access space in FBI controlled facilities and offices. Computerized data is password protected. All FBI personnel are required to pass an extensive background investigation. The information is accessed only by authorized DOJ personnel or by non-DOJ personnel properly authorized to assist in the conduct of an agency function related to these records. Authorized system users will have adequate physical security and built in controls to protect against unauthorized personnel gaining access to the equipment and/or the information stored in it. RETENTION AND DISPOSAL: The information within the N-DEx system will be contributed by Federal, State, local, and tribal law enforcement entities. All entities will be responsible for ensuring the relevance and currency of the information they contribute to the system and will have control and responsibility for the disposition of their own records through a process that will be documented by a memorandum of understanding or based upon Federal law. Those portions of the N-DEx that constitute Federal records will be subject to retention schedules for those documents that have been approved by the National Archives and Records Administration (NARA). In addition, N-DEx, itself, will result in the creation of metadata or an audit log that reflects any correlation between any of the submitted records, as well as information about user activity. A schedule for disposition of this metadata will be submitted to NARA for approval. SYSTEM MANAGER(S) AND ADDRESS: Director, Federal Bureau of Investigation, 935 Pennsylvania Ave., NW., Washington, DC 20535-0001. NOTIFICATION PROCEDURES: Same as Record Access Procedures. RECORD ACCESS PROCEDURES: Because this system contains law enforcement records, the records in this system have been exempted from notification, access, and amendment to the extent permitted by subsection
(j)of the Privacy Act. An individual who is the subject of one or more records in this system may be notified of records that are not exempt from notification and, accordingly, may access those records that are not exempt from disclosure. A request for access to a non-exempt record shall be made in writing with the envelope and the letter clearly marked “Privacy Act Request.” Requests should include full name and complete address and be signed. To verify the signature it must be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. Other identifying data that will assist in making a proper search of the system may also be submitted. Requests for access must be addressed to the Record/Information Dissemination Section, Federal Bureau of Investigation, 935 Pennsylvania Avenue, NW., Washington, DC 20535-0001. A determination on notification and access, in the sole prerogative of the FBI, will be made at the time a request is received. CONTESTING RECORD PROCEDURES: To contest or amend information maintained in the system, an individual should direct his/her request to the address provided above, stating clearly and concisely what information is being contested, the reasons for contesting it, and the proposed amendment to the information sought. Some information may be exempt from contesting record procedures as described in the section titled “Exemptions Claimed for the System.” An individual who is the subject of one or more records in this system may contest and pursue amendment of those records that are not exempt. A determination whether a record may be subject to amendment will be made at the time a request is received. RECORD SOURCE CATEGORIES: Information contained in the N-DEx system is obtained from Federal, State, local, and tribal criminal justice agencies. EXEMPTIONS CLAIMED FOR THE SYSTEM: The Attorney General has exempted this system from subsection (c)(3) and (4); (d)(1), (2),
(3)and (4); (e)(1), (2), (3),
(5)and (8); and
(g)of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c), and (e), and are published in today's **Federal Register** . [FR Doc. E7-19461 Filed 10-3-07; 8:45 am] BILLING CODE 4410-02-P DEPARTMENT OF LABOR Office of the Secretary Submission for OMB Review: Comment Request September 28, 2007. The Department of Labor
(DOL)hereby announces the submission the following public information collection request
(ICR)to the Office of Management and Budget
(OMB)for review and approval in accordance with the Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. chapter 35). A copy of this ICR, with applicable supporting documentation; including among other things a description of the likely respondents, proposed frequency of response, and estimated total burden may be obtained from the *RegInfo.gov* Web site at *http://www.reginfo.gov/public/do/PRAMain* or by contacting Darrin King on 202-693-4129 (this is not a toll-free number) / e-mail: *king.darrin@dol.gov* . Comments should be sent to Office of Information and Regulatory Affairs, Attn: John Kraemer, OMB Desk Officer for the Mine Safety and Health Administration (MSHA), Office of Management and Budget, 725 17th Street, NW., Room 10235, Washington, DC 20503, Telephone: 202-395-4816 / Fax: 202-395-6974 (these are not toll-free numbers), e-mail: *John_Kraemer@omb.eop.gov* within 30 days from the date of this publication in the **Federal Register** . In order to ensure the appropriate consideration, comments should reference the applicable OMB Control Number (see below). The OMB is particularly interested in comments which: • Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; • Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; • Enhance the quality, utility, and clarity of the information to be collected; and • 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. *Agency:* Mine Safety and Health Administration. *Type of Review:* Extension without change of currently approved collection. *Title:* Application for Waiver of Surface Facilities Requirements. *OMB Number:* 1219-0024. *Estimated Number of Respondents:* 843. *Estimated Total Annual Burden Hours:* 322. *Estimated Total Annual Cost Burden:* $0. *Affected Public:* Private Sector: Business or other for-profit (Mines). *Description:* Title 30 Code of Federal Regulations (CFR). §§ 71.400 through 71.402 and 75.1712-1 through 75.1712-3 require coal mine operators to provide bathing facilities, clothing change rooms, and sanitary flush toilet facilities in a location that is convenient for use of the miners. If the operator is unable to meet any or all of the requirements, he/she may apply for a waiver. Title 30 CFR 71.403, 71.404, 75.1712-4 and 75.1712-5 provide procedures by which an operator may apply for and be granted a waiver. Applications are filed with the District Manager for the district in which the mine is located and must contain the name and address of the mine operator, name and location of the mine, and a detailed statement of the grounds upon which the waiver is requested. The information is used to determine if the conditions at a mine make it impractical for the mine operator to provide the required sanitary facilities. The mine operator submits the request for a waiver to the MSHA district in which the mine is located. The district uses this information in determining if the conditions at a mine justify granting the waiver. If the waiver is granted, the information serves as written documentation that the mine operator is not required to comply with the applicable part(s) of the standard(s) covered by the waiver. *Agency:* Mine Safety and Health Administration. *Type of Review:* Extension without change of currently approved collection. *Title:* Representative of Miners, Notification of Legal Identity, and Notification of Commencement of Operations and Closing of Mines. *OMB Number:* 1219-0042. *Estimated Number of Respondents:* 4,945. *Estimated Total Annual Burden Hours:* 2,347. *Estimated Total Annual Cost Burden:* $3,550. *Affected Public:* Private Sector: Business or other for-profit (Mines). *Description:* Identification of the miner representative, notification of mine owner and operator legal identity and notification of commencement of operations and closing of mines provide information to help ensure the health and safety of mine workers by identifying responsibility for mining operations. *Agency:* Mine Safety and Health Administration. *Type of Review:* Extension without change of currently approved collection. *Title:* Record of Results of Examinations of Self-Rescuers (Underground Coal Mines). *OMB Number:* 1219-0044. *Estimated Number of Respondents:* 719. *Estimated Total Annual Burden Hours:* 124,375. *Estimated Total Annual Cost Burden:* $0. *Affected Public:* Private Sector: Business or other for-profit (Mines). *Description:* Title 30 CFR 75.1714-3(b), (c), (d), and
(e)require that self-rescuers be examined regularly at intervals not to exceed 90 days by a qualified person who certifies by date and signature that the tests were conducted. A record must be made when a self-rescue device is removed from service and when corrective action is taken as a result of the examination. The records are used as an enforcement tool to insure that the devices have been examined and are maintained in operable and usable condition. *Agency:* Mine Safety and Health Administration. *Type of Review:* Extension without change of currently approved collection. *Title:* Escape and Evaluation Plans 30 CFR 57.11053. *OMB Number:* 1219-0046. *Estimated Number of Respondents:* 242. *Estimated Total Annual Burden Hours:* 4,114. *Estimated Total Annual Cost Burden:* $0. *Affected Public:* Private Sector: Business or other for-profit (Mines) *Description:* Title 30 CFR 57.11053 requires the development of an escape and evacuation plan specifically addressing the unique conditions of each underground metal and nonmetal mine. Section 57.11053 also requires that revisions be made as mining progresses. The plan must be available to the inspector and conspicuously posted at locations convenient to all persons on the surface and underground. The mine operator and representatives of the Mine Safety and Health Administration
(MSHA)are required to jointly review the plan at least once every six months. The information is prepared by the mine operator for use by miners, MSHA, and persons involved in rescue operations. The information allows miners and rescue personnel to be aware of the emergency escape route for a particular working place. *Agency:* Mine Safety and Health Administration. *Type of Review:* New collection of information. *Title:* Qualification/Certification Program Request for MSHA Individual Identification Number (MIIN). *OMB Number:* 1219-0NEW. *Estimated Number of Respondents:* 40,000. *Estimated Total Annual Burden Hours:* 3,332. *Estimated Total Annual Cost Burden:* $11,439. *Affected Public:* Private Sector: Business or other for-profit (Mines). *Description:* MSHA issues certifications, qualifications and approvals (licenses) to the nation's miners to conduct specific mine-related work. In an effort to reduce the use of Social Security Numbers as identifiers, MSHA will issue Individual Identification Numbers, or MIIN, where identification is required by MSHA for miners. Darrin A. King, Acting Departmental Clearance Officer. [FR Doc. E7-19575 Filed 10-3-07; 8:45 am] BILLING CODE 4510-43-P DEPARTMENT OF LABOR Bureau of Labor Statistics Proposed Collection, Comment Request ACTION: Notice. SUMMARY: The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a pre-clearance consultation program to provide the general public and Federal agencies with an opportunity to comment on proposed and/or continuing collections of information in accordance with the Paperwork Reduction Act of 1995 (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This program helps to ensure that requested data can be provided in the desired format, reporting burden (time and financial resources) is minimized, collection instruments are clearly understood, and the impact of collection requirements on respondents can be properly assessed. The Bureau of Labor Statistics
(BLS)is soliciting comments concerning the proposed extension of the “Census of Fatal Occupational Injuries.” A copy of the proposed information collection request
(ICR)can be obtained by contacting the individual listed below in the Addresses section of this notice. DATES: Written comments must be submitted to the office listed in the Addresses section of this notice on or before December 3, 2007. ADDRESSES: Send comments to Amy A. Hobby, BLS Clearance Officer, Division of Management Systems, Bureau of Labor Statistics, Room 4080, 2 Massachusetts Avenue, NE., Washington, DC 20212, telephone number 202-691-7628 (this is not a toll free number). FOR FURTHER INFORMATION CONTACT: Amy A. Hobby, BLS Clearance Officer, telephone number 202-691-7628. (See ADDRESSES section.) SUPPLEMENTARY INFORMATION: I. Background The Bureau of Labor Statistics
(BLS)was delegated responsibility by the Secretary of Labor for implementing Section 24(a) of the Occupational Safety and Health Act of 1970. This section states that “the Secretary shall compile accurate statistics on work injuries and illnesses which shall include all disabling, serious, or significant injuries and illnesses * * *”. Prior to the implementation of the Census of Fatal Occupational Injuries (CFOI), the BLS generated estimates of occupational fatalities for private sector employers from a sample survey of about 280,000 establishments. Studies showed that occupational fatalities were underreported in those estimates as well as in those compiled by regulatory, vital statistics, and workers' compensation systems. Estimates prior to CFOI varied widely, ranging from 3,000 to 10,000 fatal work injuries annually. In addition, information needed to develop prevention strategies were often missing from these earlier programs. In the late 1980s, the National Academy of Sciences study, *Counting Injuries and Illnesses in the Workplace* , and another report, *Keystone National Policy Dialogue on Work-Related Illness and Injury Recordkeeping* , emphasized the need for the BLS to compile a complete roster of work-related fatalities because of concern over the accuracy of using a sample survey to estimate the incidence of occupational fatalities. These studies also recommended the use of all available data sources to compile detailed information for fatality prevention efforts. The BLS tested the feasibility of collecting fatality data in this manner in 1989 and 1990. The resulting CFOI was implemented in 32 States in 1991. National data covering all 50 States and the District of Columbia have been compiled and published for 1992-2006, approximately eight months after each calendar year. The CFOI compiles comprehensive, accurate, and timely information on work-injury fatalities needed to develop effective prevention strategies. The system collects information concerning the incident, demographic information on the deceased, and characteristics of the employer. Data are used to: —Develop employee safety training programs; —Develop and assess the effectiveness of safety standards; and —Conduct research for developing prevention strategies. In addition, States use the data to publish State reports, to identify State-specific hazards, to allocate resources for promoting safety in the workplace, and to evaluate the quality of work life in the State. II. Current Action Office of Management and Budget clearance is being sought for the Census of Fatal Occupational Injuries. In 2006, 5,703 workers lost their lives as a result of injuries received on the job. This official systematic, verifiable count mutes controversy over the various counts from different sources. The CFOI count has been adopted by the National Safety Council and other organizations as the sole source of a comprehensive count of fatal work injuries for the U.S. If this information were not collected, the confusion over the number and patterns in fatal occupational injuries would continue, thus hampering prevention efforts. By providing timely occupational fatality data, the CFOI program provides safety and health managers the information necessary to respond to emerging workplace hazards. During 2006, the BLS Washington staff responded to almost 1,400 requests for CFOI data from various organizations. (This figure excludes requests received by the States for State-specific data.) In addition, the CFOI page of the BLS Web site averaged about 5,000 users per month in 2006. Washington staff also responded to numerous requests from safety organizations for staff members to participate in safety conferences and seminars. The CFOI research file, made available to safety and health groups, is being used by 15 organizations. Study topics include fatalities by worker demographic category (young workers, older workers, Hispanic workers); by occupation or industry (construction workers, police officers, landscaping workers, workers in oil and gas extraction); by event (heat-related fatalities, fatalities from workplace violence, suicides, falls from ladders); or other research such as safety and health program effectiveness and the impact of fatality risk on wages. (A current list of research articles and reports that include CFOI data can be found in the BLS Report 2587, dated September 2007, Appendix I. Copies of this report are available upon request.) III. Desired Focus of Comments The Bureau of Labor Statistics is particularly interested in comments that: • Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; • Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; • Enhance the quality, utility, and clarity of the information to be collected; and • 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 submissions of responses. *Type of Review:* Extension of a currently approved collection. *Agency:* Bureau of Labor Statistics. *Title:* Census of Fatal Occupational Injuries. *OMB Number:* 1220-0133. *Affected Public:* Federal government; Individuals or households; Private sector (Business or other for-profits, Not-for-profit institutions, Farms); State, local or tribal governments. *Frequency:* On occasion. Form Total respondents Total responses Average time per response (minutes) Estimated total burden (hours) BLS CFOI-1 1,720 1,720 20 574 Source Document Letter 229 22,000 8.7 3,190 Totals 1,949 23,720 3,764 *Total Burden Cost (capital/startup):* $0. *Total Burden Cost (operating/maintenance):* $0. Comments submitted in response to this notice will be summarized and/or included in the request for Office of Management and Budget approval of the information collection request; they also will become a matter of public record. Signed at Washington, DC, this 28th day of September, 2007. Cathy Kazanowski, Chief, Division of Management Systems, Bureau of Labor Statistics. [FR Doc. E7-19600 Filed 10-3-07; 8:45 am] BILLING CODE 4510-24-P NATIONAL SCIENCE FOUNDATION Notice of Permits Issued Under the Antarctic Conservation Act of 1978 AGENCY: National Science Foundation. ACTION: Notice of permits issued under the Antarctic Conservation of 1978, Public Law 95-541. SUMMARY: The National Science Foundation
(NSF)is required to publish notice of permits issued under the Antarctic Conservation Act of 1978. This is the required notice. FOR FURTHER INFORMATION CONTACT: Nadene G. Kennedy, Permit Office, Office of Polar Programs, Rm. 755, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. SUPPLEMENTARY INFORMATION: On August 31, 2007, the National Science Foundation published a notice in the **Federal Register** of a permit applications received. Permits were issued on October 1, 2007 to: Andrea Polli, Permit No. 2008-001. Robert A. Garrott, Permit No. 2008-016. Nadene G. Kennedy, Permit Officer. [FR Doc. E7-19611 Filed 10-3-07; 8:45 am] BILLING CODE 7555-01-P NATIONAL SCIENCE FOUNDATION Notice of Permits Issued Under the Antarctic Conservation Act of 1978 AGENCY: National Science Foundation. ACTION: Notice of permits issued under the Antarctic Conservation of 1978, Public Law 95-541. SUMMARY: The National Science Foundation
(NSF)is required to publish notice of permits issued under the Antarctic Conservation Act of 1978. This is the required notice. FOR FURTHER INFORMATION CONTACT: Nadene G. Kennedy, Permit Office, Office of Polar Programs, Rm. 755, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. SUPPLEMENTARY INFORMATION: On August 27, 2007, the National Science Foundation published a notice in the **Federal Register** of a permit application received. A permit was issued on September 28, 2007 to: Mahlon C. Kennicutt, Permit No. 2008-014. Nadene G. Kennedy, Permit Officer. [FR Doc. E7-19622 Filed 10-3-07; 8:45 am] BILLING CODE 7555-01-P NUCLEAR REGULATORY COMMISSION [Docket No. 50-286] Entergy Nuclear Operations, Inc., Entergy Nuclear Indian Point 3, LLC, Indian Point Nuclear Generating Unit No. 3.; Revision to Existing Exemptions 1.0 Background Entergy Nuclear Operations, Inc. (ENO or the licensee) is the holder of Facility Operating License No. DPR-64, which authorizes operation of the Indian Point Nuclear Generating Unit No. 3 (IP3). The license provides, among other things, that the facility is subject to all rules, regulations, and orders of the Nuclear Regulatory Commission (NRC or the Commission) now or hereafter in effect. The facility consists of a pressurized-water reactor located in Westchester County, New York. 2.0 Request/Action Title 10 of the Code of Federal Regulations (10 CFR), Part 50, § 50.48, requires that nuclear power plants that were licensed before January 1, 1979, of which IP3 is one, must satisfy the requirements of 10 CFR Part 50, Appendix R, Section III.G. Subsection III.G.2 addresses fire protection features for ensuring that one of the redundant trains necessary to achieve and maintain hot shutdown conditions remains free of fire damage in the event of a fire. Subsection III.G.2.c provides use of a 1-hour fire barrier, in addition to installed fire detection and automatic fire suppression in the area, as one means for complying with this fire protection requirement. In an NRC letter and safety evaluation
(SE)dated February 2, 1984, the NRC granted the licensee exemptions from the requirements of Appendix R, Section III.G.2, for Fire Area ETN-4 (Fire Zones 7A, 60A and 73A) to the extent that redundant safe-shutdown trains are not separated by more than 20 feet without intervening combustibles or fire hazards, and that redundant safe-shutdown trains are not separated by 1-hour rated fire barrier in an area protected by automatic fire detection and suppression systems. The exemption was based on the minimum of 12′ spatial separation between the redundant trains, minimal fire hazards in the area, the use of asbestos-jacketed flame-retardant cables, and the installed automatic fire detection and cable tray suppression systems. Following a comprehensive reassessment of the IP3 Appendix R compliance basis, the licensee identified the need for additional separation measures and installed 1-hour rated fire wraps on several redundant safe-shutdown raceways in Fire Area ETN-4 (Fire Zones 7A, 60A and 73A). By SE dated January 7, 1987, the NRC accepted the use of 1-hour rated fire barriers in the above fire area and confirmed continued validity of the exemption granted by the February 2, 1984 SE. IP3 used the Hemyc fire barrier system to provide the 1-hour rated fire barriers. In the January 7, 1987 SE, the NRC also approved an exemption from Appendix R, Section III.G.2, separation requirements for Fire Area PAB-2 (Fire Zone 1) to the extent that redundant safe-shutdown trains are not separated by more than 20 feet without intervening combustibles or fire hazards, and that an automatic suppression system has not been provided. The basis for this exemption included the partial spatial separation between the redundant safe-shutdown trains, the low fire loading in the area, and the existing fire protection features including an automatic fire detection system, manual hose stations and portable extinguishers, a partial-height non-combustible barrier designed to protect redundant equipment against radiant heat from a fire, and a 1-hour rated Hemyc cable wrap around the normal power feed to the redundant Component Cooling Water
(CCW)Pump 33. Testing by the NRC in 2005 identified Hemyc electrical raceway fire barrier system (ERFBS) as a potential nonconforming barrier, potentially not capable of providing a 1-hour fire rating, and Information Notice
(IN)2005-07, “Results of HEMYC Electrical Raceway Fire Barrier System Full Scale Fire Testing,” and Generic Letter
(GL)2006-03, “Potentially Nonconforming Hemyc and MT Fire Barrier Configurations,” were issued to licensees to inform them of the issue and to collect information regarding Hemyc fire barrier installations. In response to GL 2006-03, ENO informed the NRC that they had declared the Hemyc ERFBS at IP3 inoperable and implemented temporary compensatory measures including an hourly fire watch and verification that fire detection systems are operable in the affected fire areas until compliance is restored for the Hemyc ERFBS. In a letter dated July 24, 2006, ENO stated they would modify the installed Hemyc ERFBS based on the test results. This would provide at least a 24-minute rated fire barrier for cable tray configurations, and a 30-minute rating for conduit and box configurations, between redundant trains of safe-shutdown equipment and cables, which is less than the previously approved 1-hour fire barrier. ENO asserted that in light of the minimal fire hazards and the existing fire protection features in the affected fire areas, this configuration continues to satisfy the basis for an exemption in accordance with 10 CFR 50.12. In summary, by letter dated July 24, 2006, and supplemental letters dated April 30, May 23, and August 16, 2007, responding to the NRC staff's request for additional information, ENO submitted a request for revision of existing exemptions for the Upper and Lower Electrical Tunnels (Fire Area ETN-4, Fire Zones 7A and 60A, respectively), and the Upper Penetration Area (Fire Area ETN-4, Fire Zone 73A), to the extent that 24-minute rated fire barriers are used to protect redundant safe-shutdown trains located in the above fire areas in lieu of the previously approved 1-hour rated fire barriers per the January 7, 1987 SE. For the 41′ Elevation CCW Pump Area (Fire Area PAB-2, Fire Zone 1) ENO is requesting a revision of the existing exemptions to the extent that a 30-minute rated fire barrier is provided to protect redundant safe shutdown trains located in the same fire area. 3.0 Discussion Pursuant to 10 CFR 50.12, the Commission may, upon application by any interested person or upon its own initiative, grant exemptions from the requirements of 10 CFR Part 50 when
(1)the exemptions are authorized by law, will not present an undue risk to public health or safety, and are consistent with the common defense and security; and
(2)when special circumstances are present. One of these special circumstances, described in 10 CFR 50.12(a)(2)(ii), is that the application of the regulation is not necessary to achieve the underlying purpose of the rule. The underlying purpose of Subsection III.G.2 of 10 CFR 50, Appendix R, is to ensure that one of the redundant trains necessary to achieve and maintain hot shutdown conditions remains free of fire damage in the event of a fire. The provisions of III.G.2.c through the use of a 1-hour fire barrier with fire detectors and an automatic fire suppression system is one acceptable way to comply with this fire protection requirement. The NRC staff reviewed the licensee's evaluation in support of the subject exemption revision request for a 24-minute rated fire barrier for ETN-4, and 30-minute rated fire barrier for PAB-2, in lieu of a 1-hour rated barrier, and concluded that given the existing fire protection features in the affected fire zones, ENO continues to meet the underlying purpose of 10 CFR Part 50, Appendix R, Subsection III.G.2 for the cable tray, conduit and junction box configurations. The following technical evaluation provides the basis for this conclusion. 3.1 Fire Hazards The licensee stated that the fire hazards and ignition sources in both Fire Areas ETN-4 and PAB-2 remain materially unchanged from those described in the SEs dated February 2, 1984, and January 7, 1987. For Fire Area ETN-4, the ignition sources consist of limited transient combustibles (in all fire zones), and several instrument cabinets and a 3kVA 480V/120V instrument power transformer in Fire Zone 73A. The current IP3 Fire Hazard Analysis calculated the fire severity in Fire Area ETN-4 to be less than 60 minutes, with asbestos-jacketed flame-retardant cable insulation being the predominant combustible. The licensee states that the asbestos-jacketed cable would not constitute a significant component of the fuel source due to the flame-retardant nature of the cable. Based on a November 22, 1982, letter that included results of testing of asbestos-jacked cable, NRC staff concludes that the ignition sources in the area are unlikely to cause fire propagation along the cables to a significant degree, and therefore, it is reasonable to exclude the asbestos-jacketed cable from being considered a hazard within the area. For the 41′ Elevation CCW Pump Area (PAB-2, Fire Zone 1), the current IP3 Fire Hazard Analysis indicated a fire severity of less than 10 minutes. Combustibles are predominantly attributed to the CCW pump bearing lubricating oil and transient materials. 3.2 Rated Fire Wraps The licensee has performed an engineering evaluation to compare the details of the NRC-sponsored Hemyc fire test configurations as reported in NRC IN 2005-07, “Results of Hemyc Electrical Raceway Fire Barrier System Full Scale Fire Testing,” with the details of the installed Hemyc ERFBS at IP3. The evaluation established that the configurations are comparable in most cases. Where differences were noted, minor enhancements to the ERFBS supports and installation of additional over-banding on certain enclosures will be performed to upgrade the configurations. Based on these upgrades, the licensee expected the Hemyc ERFBS at IP3 to provide at least 24 minutes of protection for cable tray configuration, and 30 minutes for conduit and box-type configurations, as demonstrated by comparison to relevant NRC-tested configurations. The following are comparisons between the IP3 Hemyc installations and NRC-sponsored test configurations: 4-Inch Conduit Configuration The Hemyc-wrapped 4-Inch Conduit Configuration installed in Fire Area ETN-4 (Fire Zones 60A and 73A) and Fire Area PAB-2 (Fire Zone 1) is comparable to Configuration 1A in NRC Test 1. These are 4″ conduits protected by a direct-attached 2″-thick Hemyc blanket wrap. Tests performed by both NRC and industry indicated that this configuration provides at least 30 minutes of protection from an exposed fire using the American Society for Testing and Materials
(ASTM)standard E-119 time-temperature profile. Box-Type Configuration The Hemyc-wrapped Box-Type Configuration installed in Fire Area ETN-4 (Fire Zone 73A) is comparable to Configuration 2G in NRC Test 2, except for the lack of the stainless steel over-banding. These enclosures are protected by a direct-attached 2″-thick Hemyc blanket wrap. Both NRC and industry-sponsored tests indicated that box-type configurations provided at least 30 minutes of thermal protection when tested in accordance with ASTM E-119. However, to more closely reflect Configuration 2G, the licensee is committed to install over-banding on the Box-Type Configuration at IP3. Cable Tray Configuration The Hemyc-wrapped Cable Tray Configuration installed in Fire Area ETN-4 (Fire Zones 7A and 73A) is comparable to Configuration 2B and 2D of NRC Test 2. These cable trays are protected by a 1-1/2″-thick Hemyc blanket wrap with a nominal 2″ air gap between the protected cable tray and the blanket. Fire tests conducted by both NRC and industry indicated that these Hemyc-wrapped cable tray configurations will provide at least 24 minutes of thermal protection in accordance with the ASTM E-119 time-temperature profile. Based on the above, the NRC staff concludes that the licensee has adequately demonstrated a 30-minute rated fire wrap for the 4-Inch Conduit Configuration and Box-Type Configuration. The Cable Tray Configuration has been adequately demonstrated to provide a 24-minute rated fire wrap. 3.3 Existing Fire Protection Features Fire Area ETN-4 contains the Upper and Lower Electrical Tunnels (Fire Zones 7A and 60A, respectively) and the Upper Penetration Area (Fire Zone 73A). This area is separated from other plant areas by 3-hour rated fire barriers. Automatic fire detection systems and automatic cable tray fire suppression systems are installed in the area. Manual fire suppression features including accessible fire hose stations and portable fire extinguishers are also provided. Fire Area PAB-2 contains the 41′ Elevation CCW Pump Area (Fire Zone 1). This fire area is separated from other fire areas by 3-hour rated fire barriers. There is a portion of open grating from this area to the 55′ elevation above. However, the open grating is located approximately 9 feet to the east of the CCW pumps; therefore, there is no potential for combustible liquids to drip directly onto the CCW pumps area. Furthermore, the area on the 55′ elevation only houses components such as the CCW heat exchangers, boric acid transfer pump, air receivers, and various compressed air and gas tanks that normally contain minimal combustible liquids. Automatic fire detection systems and manual fire suppression features in the form of accessible fire hose stations and portable fire extinguishers are provided in this fire zone. In addition, a 7′ partial height, noncombustible barrier is installed around the redundant 33 CCW Pump to shield this pump from radiant heat in the event of a fire in the other CCW pumps area. 3.4 Enhanced Administrative Controls of Hot Work and Transient Combustibles The licensee stated that administrative controls of hot work and transient combustibles have improved since the previous exemptions. IP3 administrative procedures now designated Fire Areas ETN-4 and PAB-2 as “Level 2” combustible control areas, which constrain transient combustibles to “moderate” quantities as follows: □ 100 pounds of fire retardant treated lumber, or □ 25 pounds of loose ordinary combustibles or plastics, or □ 5 gallons of combustible liquids stored in approved containers, or □ One pint of flammable liquids stored in approved containers, or □ One 20 ounce flammable aerosol can. Any planned introduction of transient combustibles that is more than the allowable amount will require prior review and approval by a Fire Protection Engineer. In addition, any planned hot work in Fire Areas ETN-4 and PAB-2 will also require prior review and approval by a Fire Protection Engineer. The review will determine if additional protective or compensatory measures is required. 3.5 Evaluation 10 CFR Part 50, Appendix R, Section II states that a licensee's fire protection program shall extend the concept of defense-in-depth
(DID)to fire protection with the following objectives: 1. To prevent fires from starting, 2. To detect rapidly, control, and extinguish promptly those fires that do occur, and 3. To provide protection for structures, systems, and components important to safety so that a fire that is not promptly extinguished by the fire suppression activities will not prevent the safe shutdown of the plant. The NRC staff has evaluated the elements of DID used for fire protection at IP3, applicable to the fire zones under review. The staff was concerned about the introduction of additional ignition sources and transient combustibles into the affected areas. However, the concern is addressed by existing administrative controls at IP3 which effectively limit transient combustibles to a level that would not significantly challenge the existing fire protection features in the affected areas. The administrative control procedures at IP3 ensure that transient combustibles, which may exceed the allowable limit, will not be introduced into the affected fire zones without prior evaluation by a qualified Fire Protection Engineer, and without appropriate additional compensatory measures. The three CCW pumps make up the ignition sources in the 41′ Elevation CCW Pump Area (Fire Zone 1). Each of these pumps contain a small amount of lubricating oil, with a combined fire severity of less than 10 minutes. As such, a significant fire is not expected to develop in this fire zone. The Upper Electrical Tunnel, Fire Zone 60A, contains no fixed ignition sources, and the combustible load consists of primarily asbestos-jacketed cables. Therefore, based upon consideration of the limited fire ignition sources and fire hazards in the affected areas, and the existing administrative controls of hot works and transient combustibles at IP3, the staff concludes that objective one of DID is adequately met. Based on the evaluation of fire detection and suppression systems provided in the affected fire zones, the NRC staff determined that any postulated fire is expected to be promptly detected by the available automatic fire detection systems in Fire Area ETN-4 (Fire Zone 60A) and Fire Area PAB-2 (Fire Zone 1). Fire Zone 60A is provided with an automatic cable tray fire suppression system, as well as manual suppression equipment. Fire Zone 1 is provided with manual fire suppression only. The available fire detection and suppression equipment in these fire zones ensure that a postulated fire will not be left unchallenged. In addition, since Fire Zone 1 and 60A contain low combustible loading, the NRC staff concluded that the reduction in the level of DID due to the lack of an areawide automatic fire suppression system in these fire zones does not affect the prompt detection and suppression capability of DID objective 2. With the proposed additional protection of electrical raceway supports and installation of over-banding on Hemyc box configurations, the modified fire barrier configurations are expected to afford at least 24 minutes for cable tray configurations and 30 minutes of protection for conduit and box configurations. Since the Hemyc ERFBS is expected to provide only 24 or 30 minutes of protection for redundant components and cables in the event of a fire, the NRC staff was concerned about the fire loading in Fire Area ETN-4 (Fire Zone 60A). However, in light of the properties of the asbestos-jacketed cables and the installed fire detection and automatic and manual suppression systems in the area, the staff determined that a credible fire in Fire Zone 60A will be limited in severity and would not challenge the 24- or 30-minute barriers. For Fire Area PAB-2 (Fire Zone 1), the NRC staff also concluded that the 30-minute fire barrier rating is adequate in protecting the redundant safe shutdown equipment due to the lack of significant combustible loading in the area, the partial fire wall which localizes a postulated fire from affecting redundant equipment, and the available fire detection and manual suppression systems. Based on the limited ignition sources and administrative controls satisfying DID objective 1, in conjunction with installed fire detection and suppression features which adequately satisfy DID objective 2, the NRC staff concluded that the minimal combustibles in the areas and existing active/passive fire protection features can compensate for the reduction in DID of objectives 3 and would not impact IP3 post-fire safe-shutdown capability. 3.6 Authorized by Law This exemption would allow use of a fire barrier expected to provide less than 1 hour of fire protection. As stated in Section 3.0 above, 10 CFR 50.12 allows the NRC to grant exemptions from the requirements of 10 CFR Part 50. The NRC staff has determined that granting of the licensee's proposed exemption will not result in a violation of the Atomic Energy Act of 1954, as amended, or the Commission's regulations. Therefore, the exemption is authorized by law. 3.7 No Undue Risk to Public Health and Safety The underlying purpose of Subsection III.G.2 of 10 CFR Part 50, Appendix R, is to ensure that one of the redundant trains necessary to achieve and maintain hot shutdown conditions remains free of fire damage in the event of a fire. Based on the existing fire barriers, fire detectors, automatic and manual fire suppression equipment, administrative controls, the fire hazard analysis, the Hemyc configuration, and the absence of significant combustible loads and ignition sources, the NRC staff judges that application of Subsection III.G.2 of 10 CFR Part 50, Appendix R, for these Fire Areas is not necessary to achieve the underlying purpose of this regulation. No new accident precursors are created by allowing use of a fire barrier expected to provide less than 1 hour of fire protection and the probability of postulated accidents is not increased. Similarly, the consequences of postulated accidents are not increased. Therefore, there is no undue risk (since risk is probability multiplied by consequences) to public health and safety. 3.8 Consistent With Common Defense and Security The proposed exemption would allow use of a fire barrier expected to provide less than 1 hour of fire protection based on the existing fire barriers, fire detectors, automatic and manual fire suppression equipment, administrative controls, the fire hazard analysis, the Hemyc configuration, and the absence of significant combustible loads and ignition sources. This change to the plant requirements for the specific configuration in this fire zone has no relation to security issues. Therefore, the common defense and security is not impacted by this exemption. 3.9 Special Circumstances One of the special circumstances, described in 10 CFR 50.12(a)(2)(ii), is that the application of the regulation is not necessary to achieve the underlying purpose of the rule. The underlying purpose of Subsection III.G.2 of 10 CFR Part 50, Appendix R, is to ensure that one of the redundant trains necessary to achieve and maintain hot shutdown conditions remains free of fire damage in the event of a fire. For Fire Area ETN-4 (Fire Zones 7A, 60A, and 73A) and Fire Area PAB-2 (Fire Zone 1), the NRC staff finds that the existing configuration described herein will ensure that a redundant train necessary to achieve and maintain safe shutdown of the plant will remain free of fire damage in the event of a fire in these fire zones. Based upon consideration of the information in the licensee's Fire Hazards Analysis, administrative controls for transient combustibles and ignition sources, previously-granted exemptions for this fire zone, and the considerations noted above, the NRC staff concludes that this exemption meets the underlying purpose of the rule. 4.0 Conclusion Accordingly, the Commission has determined that, pursuant to 10 CFR 50.12(a), the exemption is authorized by law, will not present an undue risk to the public health and safety, and is consistent with the common defense and security. In addition, a special circumstance is present such that the application of the regulation in these particular circumstances is not necessary to achieve the underlying purpose of the rule. Therefore, the Commission hereby grants ENO an exemption from the requirement of Section III.G.2 of 10 CFR Part 50, Appendix R, for Fire Area ETN-4 (Fire Zones 7A, 60A, and 73A) and Fire Area PAB-2 (Fire Zone 1) at IP3, provided that the existing Hemyc ERFBS in these areas are modified to achieve at least a 24-minute fire resistance rating for cable tray configuration and 30-minute fire resistance rating for conduits and box configurations, consistent with the licensees comparison to the NRC's tested configurations as documented in Entergy Engineering Report IP-RPT-06-00062, Revision 0, “Comparison of IP3 Hemyc Electrical Raceway Fire Barrier System to NRC Hemyc Fire Test Results,” which meet ASTM-E-119 temperature rise acceptance criteria. The modifications, as committed in Entergy Letter NL-07-061, dated May 23, 2007, will include: Complete modification (including supporting engineering evaluation) to install stainless steel over-banding (as described), additional protection of the electrical raceway supports, and protection of certain metallic penetration items, associated with the existing Hemyc ERFBS located outside containment at Indian Point 3. [This is a clarification of commitment 3 (licensee reference number COM-07-00034) made in Entergy Letter NL-06-060 dated June 8, 2006.] The licensee is also committed to keep fire protection compensatory measures in place at IP3 until the aforementioned modifications are completed. The scheduled completion date of these modifications is December 1, 2008. The acceptance of this exemption is also based on the licensee's stated availability of administrative control procedures that control hot work and limit transient combustibles in the affected areas. Pursuant to 10 CFR 51.32, the Commission has determined that the granting of this exemption will not have a significant effect on the quality of the human environment (72 FR 55254). This exemption is effective upon issuance. Dated at Rockville, Maryland, this 28th day of September 2007. For the Nuclear Regulatory Commission. Catherine Haney, Director, Division of Operating Reactor Licensing, Office of Nuclear Reactor Regulation. [FR Doc. E7-19663 Filed 10-3-07; 8:45 am] BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION [Docket No. STN 50-456] Exelon Generation Company, LLC; Braidwood Station, Unit 1; Exemption 1.0 Background Exelon Generation Company, LLC (Exelon, the licensee) is the holder of Facility Operating License No. NPF-72, which authorizes operation of Braidwood Station, Unit 1. The license provides, among other things, that the facility is subject to all rules, regulations, and orders of the Nuclear Regulatory Commission (NRC, the Commission) now or hereafter in effect. The facility consists of two pressurized-water reactors located in Will County in Illinois. 2.0 Request/Action Title 10 of the *Code of Federal Regulations* (10 CFR), Part 50, section 50.46, “Acceptance criteria for emergency core cooling systems for light-water nuclear power reactors,” requires, in part, “that each boiling or pressurized light-water nuclear power reactor fueled with uranium oxide pellets within cylindrical Zircaloy or ZIRLO cladding must be provided with an emergency core cooling system
(ECCS)that must be designed so that its calculated cooling performance following postulated loss-of-coolant accidents conforms to the criteria set forth in paragraph
(b)of this section.” 10 CFR Part 50, Appendix K, “ECCS Evaluation Models,” requires, among other items, that the rate of energy release, hydrogen generation, and cladding oxidation from the metal/water reaction shall be calculated using the Baker-Just equation. 10 CFR 50.46 and 10 CFR Part 50, Appendix K make no provisions for use of fuel rods clad in a material other than Zircaloy or ZIRLO. The Braidwood, Unit 1 core consists of a combination of Westinghouse-designed VANTAGE 5 and VANTAGE+ fuel assemblies. Each fuel assembly has 264 fuel rods arranged in a 17 by 17 array. The licensee intends to insert up to eight fuel assemblies containing AREVA NP Inc. (AREVA) modified Advanced Mark-BW(A) (Advanced Mark-BW(A)) fuel. These assemblies will be placed in nonlimiting locations of the core during Cycles 15, 16, and 17. The Advanced Mark-BW(A) fuel assemblies are similar in design to the Advanced Mark-BW fuel assemblies using the approved M5 alloy for the cladding, structural tubing, and grids. The Advanced Mark-BW fuel design was approved in a topical report BAW-10239(P)-A, entitled “Advanced Mark-BW Fuel Assembly Mechanical Design Topical Report” (Advanced Mark-BW Topical Report). The licensee requested an exemption from the requirements of 10 CFR 50.46 and 10 CFR Part 50, Appendix K to allow the use of fuel rods clad with AREVA's M5 alloy. The M5 alloys are proprietary alloys and chemically different from Zircaloy or ZIRLO fuel cladding materials which are approved for use. Therefore, a plant specific exemption from these regulations is required to support the use of the eight Advanced Mark-BW(A) fuel assemblies for Braidwood Station, Unit 1. In summary, the licensee has requested an exemption from the requirements of 10 CFR 50.46 and 10 CFR Part 50, Appendix K, to allow the use of fuel assemblies containing Advanced Mark-BW(A) fuel design. 3.0 Discussion Pursuant to 10 CFR 50.12, the Commission may, upon application by any interested person or upon its own initiative, grant exemptions from the requirements of 10 CFR Part 50 when
(1)The exemptions are authorized by law, will not present an undue risk to public health or safety, and are consistent with the common defense and security; and
(2)when special circumstances are present. These circumstances include the special circumstances that application of the regulation in 10 CFR 50.46 and 10 CFR Part 50, Appendix K is not necessary to achieve the underlying purpose of the rule. Authorized by Law This exemption would allow the licensee to load fuel assemblies containing Advanced Mark-BW(A) fuel at Braidwood Station, Unit 1. As stated above, 10 CFR 50.12 allows the NRC to grant exemptions from the requirements of 10 CFR 50.46 and 10 CFR Part 50, Appendix K. The NRC staff has determined that granting of the licensee's proposed exemption will not result in a violation of the Atomic Energy Act of 1954, as amended, or the Commission's regulations. Therefore, the exemption is authorized by law. No Undue Risk to Public Health and Safety The underlying purposes of 10 CFR 50.45 is to establish acceptance criteria for ECCS performance. Previously, the approved Advanced Mark-BW Topical Report demonstrated the acceptability of the M5 cladding under loss of coolant accident
(LOCA)conditions. The unique features of the proposed fuel assemblies were evaluated for effects on the LOCA analysis. The results showed that the assemblies would not adversely affect the ECCS performance. Since the eight Advanced Mark-BW(A) fuel assemblies will be located at non-limiting core locations, the NRC concludes that the LOCA safety analyses will remain bounding for these assemblies at Braidwood Station, Unit 1. Paragraph I.A.5 of 10 CFR Part 50, Appendix K states that the rates of energy, hydrogen concentration, and cladding oxidation from the metal-water reaction shall be calculated using the Baker-Just equation. Since the Baker-Just equation presumes the use of Zircaloy clad fuel, strict application of the rule would not permit use of the equation for the advanced zirconium-based and M5 alloys for determining acceptable fuel performance. The underlying intent of this portion of 10 CFR Part 50, Appendix K, however, is to ensure that analysis of fuel response to LOCAs is conservatively calculated. The approved Advanced Mark-BW Topical Report show that due to the similarities in the chemical composition of the M5 alloys and Zircaloy, the application of the Baker-Just equation in the analysis of the M5 clad fuel rods will continue to conservatively bound all post-LOCA scenarios. Thus, application of 10 CFR Part 50, Appendix K, Paragraph I.A.5 is not necessary for the licensee to achieve its underlying purpose in these circumstances. Based on the above, no new accident precursors are created by using the proposed Advanced Mark-BW(A) fuel assemblies at Braidwood Station, Unit 1, thus, the probability of postulated accidents is not increased. Also, based on the above, the consequences of postulated accidents are not increased. Therefore, there is no undue risk to public health and safety. Consistent With Common Defense and Security The proposed exemption would allow the use of Advanced Mark-BW(A) fuel assemblies at Braidwood Station, Unit 1. This change to the operation of the plant has no relation to security issues. Therefore, the common defense and security is not impacted by this exemption. Special Circumstances Special circumstances, in accordance with 10 CFR 50.12, are present whenever application of the regulation in the particular circumstances would not serve the underlying purpose of the rule, or is not necessary to achieve the underlying purpose of the rule. The underlying purpose of 10 CFR 50.46 is to establish acceptance criteria for ECCS performance. Since the eight Advanced Mark-BW(A) fuel assemblies will be located at non-limiting core locations, the NRC concludes that the LOCA safety analyses will remain bounding for these assemblies at Braidwood Station, Unit 1. The underlying purpose of 10 CFR Part 50, Appendix K is to ensure that analysis of fuel response to LOCAs is conservatively calculated. The approved Advanced Mark-BW Topical Report show that due to the similarities in the chemical composition of the M5 alloys and Zircaloy, the application of the Baker-Just equation in the analysis of the M5 clad fuel rods will continue to conservatively bound all post-LOCA scenarios. Thus, application of 10 CFR Part 50, Appendix K is not necessary for the licensee to achieve its underlying purpose in these circumstances. Therefore, since the underlying purpose of 10 CFR 50.46 and 10 CFR Part 50, Appendix K is achieved, the special circumstances required by 10 CFR 50.12 for the granting of an exemption from 10 CFR 50.46 and 10 CFR Part 50, Appendix K exist. 4.0 Conclusion Accordingly, the Commission has determined that, pursuant to 10 CFR 50.12, the exemption is authorized by law, will not present an undue risk to the public health and safety, and is consistent with the common defense and security. Also, special circumstances are present. Therefore, the Commission hereby grants Exelon, an exemption from the requirements of 10 CFR 50.46 “that each boiling or pressurized light-water nuclear power reactor fueled with uranium oxide pellets within cylindrical Zircaloy or ZIRLO cladding must be provided with an emergency core cooling system
(ECCS)that must be designed so that its calculated cooling performance following postulated loss-of-coolant accidents conforms to the criteria set forth in paragraph
(b)of this section,” and 10 CFR Part 50, Appendix K that the rate of energy release, hydrogen generation, and cladding oxidation from the metal/water reaction shall be calculated using the Baker-Just equation for Braidwood Station, Unit 1. Pursuant to 10 CFR 51.32, the Commission has determined that the granting of this exemption will not have a significant effect on the quality of the human environment (72 FR 52585). This exemption is effective upon issuance. Dated at Rockville, Maryland, this 27th day of September 2007. For the Nuclear Regulatory Commission. Tim McGinty, Acting Director, Division of Operating Reactor Licensing, Office of Nuclear Reactor Regulation. [FR Doc. E7-19666 Filed 10-3-07; 8:45 am] BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION Advisory Committee on Nuclear Waste and Materials; Meeting Notice The Advisory Committee on Nuclear Waste and Materials (ACNW&M) will hold its 183rd meeting on October 16-18, 2007, Room T-2B3, 11545 Rockville Pike, Rockville, Maryland. Tuesday, October 16, 2007 *8:30 a.m.-8:35 a.m.: Opening Remarks by the ACNW&M Chairman* (Open)—The Chairman will make opening remarks regarding the conduct of today's sessions. ACNW&M Working Group Meeting on Preclosure Seismic Analysis Evaluation at the Proposed Yucca Mountain, Nevada, Repository Purpose The purpose of this Working Group Meeting is to understand the regulatory framework, and associated acceptance criteria, to be used by the staff in their analysis of pre-closure seismic hazards at the proposed Yucca Mountain repository site. This information will be compared with the processes used to determine seismic safety at other types of NRC-licensed nuclear facilities (e.g., nuclear power plants, independent spent fuel storage installations, and fuel fabrication facilities). *8:35 a.m.-8:45 a.m.: Greetings and Introductions* (Open)—Dr. William Hinze, the cognizant ACNW&M Member for this meeting topic will provide an overview of the expected goals for the Working Group Meeting, the planned technical sessions, and introduce the invited panelists and speakers. *8:45 a.m.-9 a.m.: Overview of the Development of NRC's Seismic Regulations* (Open)—The Committee will hear an overview by an ACNW&M staff member on the development of NRC's Seismic Regulations. *9 a.m.-9:30 a.m.: Current Seismic Design Requirements for Nuclear Power Plants (Open)* —The Committee will be briefed by a representative of the NRC Office of Nuclear Reactor Regulation on the current seismic design requirements for nuclear power plants. *9:30 a.m.-9:45 a.m.: Pre-Closure Seismic Design Requirements for the Yucca Mountain HLW Repository* (Open)—The Committee will be briefed by a representative of the NRC Office of Nuclear Material Safety and Safeguards
(NMSS)on the pre-closure seismic design requirements for the Yucca Mountain HLW repository. *9:45 a.m.-10 a.m.: Interim Staff Guidance, “Review Methodology for Seismically Initiated Event Sequences”—DHLWRS-ISG-01* (Open)—The Committee will be briefed by a representative of the Office of NMSS on the interim staff guidance, “Review Methodology for Seismically Initiated Event Sequences.” *10 a.m.-10:30 a.m.: American Society of Civil Engineers Standard ASCE/SEI 43-0-5* (Open)—The speaker is yet to be determined. This topic may be removed or modified. *10:45 a.m.-11:15 a.m.: Current Seismic Design Requirements for MOX Facilities* (Open)—The Committee will be briefed by a representative of the Center for Nuclear Waste Regulatory Analyses on the current seismic design requirements for MOX facilities. *11:15 a.m.-12:15 p.m.: Stakeholders and Public Comments*
(Open)*1:30 p.m.-2:30 p.m.: Roundtable Discussion* (Open)—Scheduled participants are expected to include representatives from Nuclear Waste Technical Review Board (NWTRB) and NRC Office of Nuclear Regulatory Research. *2:30 p.m.-2:45 p.m.: Closing Remarks* (Open)—By Dr. William J. Hinze. *3 p.m.-5 p.m.: GE-Hitachi Nuclear Energy (GE-H) Spent Nuclear Fuel
(SNF)Recycling Processes* (Open)—The Committee will hear presentations from representatives of GE-H regarding an overview of their advanced SNF recycling processes. Wednesday, October 17, 2007 *8 a.m.-8:05 a.m.: Opening Remarks by the ACNW&M Chairman* (Open)—The Chairman will make opening remarks regarding the conduct of today's sessions. *8:05 a.m.-12:30 p.m.: NRC's Total-System Performance Assessment
(TPA)Code for Review of Performance Assessment of the Yucca Mountain Site* (Open)—NRC staff representatives from the Office of NMSS will brief the Committee on the newly released version of the staff's TPA code (Version 5.1). This updated tool will support the staff's review of an impending license application for the proposed Yucca Mountain repository site. *1:30 p.m.-3 p.m.: Draft Proposed Rule/Guidance on Preventing Legacy Sites* (Open/Closed)—NRC staff representatives from the Office of Federal and State Materials and Environmental Management Program
(FSME)will brief the Committee on NRC's proposed rulemaking and guidance for prevention of decommissioning legacy sites. Note: A portion of this session may be closed to discuss pre-decisional documents pursuant to 5 U.S.C. 552b(c)(9)(B) *3 p.m.-4 p.m.: Preparation for Meeting with NRC Commissioners* (Open)—The Committee will discuss and approve the viewgraphs for the ACNW&M briefing to the NRC Commissioners, scheduled for Wednesday, November 14, 2007. Thursday, October 18, 2007 *8:30 a.m.-8:35 a.m.: Opening Remarks by the ACNW&M Chairman* (Open)—The Chairman will make opening remarks regarding the conduct of today's sessions. *8:35 a.m.-9:35 a.m.: Mallinckrodt Site Decommissioning Plan* (Open)—The Committee will be briefed by representatives of the NRC staff from the Office of FSME on decommissioning of the Mallinckrodt Chemical, Inc. site, in St. Louis, Missouri. *9:35 a.m.-10:35 a.m.: Vendor's Views on the Transportation-Aging-Disposal
(TAD)Performance Specifications* (Open)—A representative from Holtec International, a commercial vendor, will brief the Committee on their views on the TAD Performance Specifications, possible challenges the vendor may be facing, and suggestions for expediting NRC approval of a TAD license application. *10:35 a.m.-12 p.m.: Discussion of ACNW&M Letter Reports* (Open)—The Committee will discuss potential and proposed ACNW&M letter reports. *1 p.m.-2:30 p.m.: Revision of NUREG-1854, NRC Staff Guidance for Activities Related to U.S. Department of Energy Waste Determinations—Draft Final Report for Interim Use* (Open)—NRC staff representatives from the Office of FSME will brief the Committee on how the public comments on the draft guidance were resolved. *2:30 p.m.-4:30 p.m.: Discussion of Proposed and Potential ACNW&M Letter Reports* (Open)—The Committee will continue discussion of proposed ACNW&M letter reports. *4:30 p.m.-5 p.m.: Miscellaneous* (Open)—The Committee will discuss matters related to the conduct of ACNW&M activities and specific issues that were not completed during previous meetings, as time and availability of information permit. Discussions may include content of future letters and scope of future Committee Meetings. Procedures for the conduct of and participation in ACNW&M meetings were published in the **Federal Register** on September 26, 2007 (72 FR 54693). In accordance with those procedures, oral or written views may be presented by members of the public. Electronic recordings will be permitted only during those portions of the meeting that are open to the public. Persons desiring to make oral statements should notify Dr. Antonio F. Dias (Telephone 301-415-6805), between 8:15 a.m. and 5 p.m. (ET), as far in advance as practicable so that appropriate arrangements can be made to schedule the necessary time during the meeting for such statements. Use of still, motion picture, and television cameras during the meeting may be limited to selected portions of the meeting as determined by the ACNW&M Chairman. Information regarding the time to be set aside for taking pictures may be obtained by contacting the ACNW&M office prior to the meeting. In view of the possibility that the schedule for ACNW&M meetings may be adjusted by the Chairman as necessary to facilitate the conduct of the meeting, persons planning to attend should notify Dr. Dias as to their particular needs. In accordance with Subsection 10(d) Public Law 92-463, I have determined that it may be necessary to close a portion of this meeting noted above to discuss pre-decisional documents pursuant to 5 U.S.C. 552b(c)(9)(B). Further information regarding topics to be discussed, whether the meeting has been canceled or rescheduled, as well as the Chairman's ruling on requests for the opportunity to present oral statements and the time allotted therefore can be obtained by contacting Dr. Dias. ACNW&M meeting agenda, meeting transcripts, and letter reports are available through the NRC Public Document Room at *pdr@nrc.gov* , or by calling the PDR at 1-800-397-4209, or from the Publicly Available Records System
(PARS)component of NRC's document system (ADAMS) which is accessible from the NRC Web site at *http://www.nrc.gov/reading-rm/adams.html* or *http://www.nrc.gov/reading-rm/doc-collections/acnw* (ACNW&M schedules and agendas). Video teleconferencing service is available for observing open sessions of ACNW&M meetings. Those wishing to use this service for observing ACNW&M meetings should contact Mr. Theron Brown, ACRS/ACNW&M Audio Visual Assistant (301-415-8066), between 7:30 a.m. and 3:45 p.m., (ET), at least 10 days before the meeting to ensure the availability of this service. Individuals or organizations requesting this service will be responsible for telephone line charges and for providing the equipment and facilities that they use to establish the video teleconferencing link. The availability of video teleconferencing services is not guaranteed. Dated: September 28, 2007. Annette L. Vietti-Cook, Secretary of the Commission. [FR Doc. E7-19618 Filed 10-3-07; 8:45 am] BILLING CODE 7590-01-P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request *Upon Written Request, Copies Available From:* Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213 *Extension:* Form N-8F, SEC File No. 270-136, OMB Control No. 3235-0157 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for extension of the previously approved collection of information discussed below. Form N-8F (17 CFR 274.218) is the form prescribed for use by registered investment companies in certain circumstances to request orders of the Commission declaring that the registration of that investment company cease to be in effect. The form requests, from investment companies seeking a deregistration order, information about
(i)the investment company's identity,
(ii)the investment company's distributions,
(iii)the investment company's assets and liabilities,
(iv)the events leading to the request to deregister, and
(v)the conclusion of business. The information is needed by the Commission to determine whether an order of deregistration is appropriate. The Form takes approximately 3 hours on average to complete. It is estimated that approximately 251 investment companies file Form N-8F annually, so that the total annual burden for the form is estimated to be 753 hours. The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act and is not derived from a comprehensive or even a representative survey or study. The collection of information on Form N-8F is not mandatory. The information provided on Form N-8F is not kept confidential. An Agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. General comments regarding the above information should be directed to the following persons:
(i)Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503, or e-mail to: *Alexander_T._Hunt@omb.eop.gov* ; and
(ii)R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia, 22312; or send an e-mail to: *PRA_Mailbox@sec.gov* . Comments must be submitted to OMB within 30 days of this notice. Dated: September 27, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19546 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request *Upon Written Request, Copy Available From:* Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213 *Extension:* Form S-6, SEC File No. 270-181, OMB Control No. 3235-0184 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) (“Paperwork Reduction Act”), the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for extension of the previously approved collection of information discussed below. The title for the collection of information is “Form S-6 (17 CFR 239.16), for Registration under the Securities Act of 1933 of Securities of Unit Investment Trusts Registered on Form N-8B-2 (17 CFR 274.13).” Unit investment trusts offering their securities to the public are required by two separate statutes to file registration statements with the Commission. They are required to register their securities under the Securities Act of 1933 (15 U.S.C. 77a *et seq.* ) (“Securities Act”), and to register as investment companies under the Investment Company Act of 1940 (15 U.S.C. 80a-1 *et seq.* ) (“Investment Company Act”). Form S-6 is used for registration under the Securities Act of the securities of any unit investment trust that is registered under the Investment Company Act on Form N-8B-2. 1 A separate registration statement under the Securities Act must be filed for each series of units issued by the trust. Form S-6 consists of, among other things, a prospectus, certain written consents, an undertaking to file supplementary information, and certain exhibits containing financial and other information required in the registration statement but not required to appear in the prospectus. 1 Form N-8B-2 is the form used by unit investment trusts to register as investment companies under the Investment Company Act (except for unit investment trusts that are insurance company separate accounts issuing variable annuity or variable life insurance contracts, which instead register on Form N-4 and Form N-6, respectively). The form requires that certain material information about the trust, its sponsor, its trustees, and its operation be disclosed. The registration on Form N-8B-2 is a one-time filing that applies to the first series of the unit investment trust as well as any subsequent series that is issued by the sponsor. Section 10(a)(3) of the Securities Act (15 U.S.C. 77j(a)(3)) provides, in pertinent part, that when a prospectus is used more than nine months after the effective date of the registration statement, the information contained therein shall be as of a date not more than sixteen months prior to such use. As a result, most unit investment trusts that are registered under the Investment Company Act on Form N-8B-2 update their registration statements on Form S-6 on an annual basis so that their sponsors may continue to maintain a secondary market in the units. The purpose of the registration statement on Form S-6 is to provide disclosure of financial and other information that investors may use to make informed decisions regarding the merits of the securities offered for sale. To that end, unit investment trusts that are registered under the Investment Company Act on Form N-8B-2 must furnish to investors a prospectus containing pertinent information set forth in the registration statement. The Commission reviews registration statements filed on Form S-6 to ensure adequate disclosure is made to investors. The Commission estimates that each year unit investment trusts file approximately 1,353 Forms S-6. It is estimated that preparing Form S-6 requires a unit investment trust to spend approximately 35 hours so that the total burden of preparing Form S-6 for all affected unit investment trusts is 47,355 hours. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. The collection of information on Form S-6 is mandatory. The information provided on Form S-6 is not kept confidential. An Agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Please direct general comments regarding the above information to the following persons:
(i)Desk Officer for the Securities and Exchange Commission, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or e-mail to: *Alexander_T._Hunt@omb.eop.gov* ; and
(ii)R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia, 22312; or send an e-mail to: *PRA_Mailbox@sec.gov* . Comments must be submitted to OMB within 30 days of this notice. Dated: September 27, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19547 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request *Upon Written Request, Copies Available From:* Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213 *Existing Collection; New OMB Control No.:* Rule 0-4, SEC File No. 270-569, OMB Control No. 3235-xxxx Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for approval of the collection of information discussed below. Rule 0-4 (17 CFR 275.0-4) under the Investment Advisers Act of 1940 (“Act” or “Advisers Act”) (15 U.S.C. 80b-1 *et seq.* ) entitled “General Requirements of Papers and Applications,” prescribes general instructions for filing an application seeking exemptive relief with the Commission. Rule 0-4 currently requires that every application for an order for which a form is not specifically prescribed and which is executed by a corporation, partnership or other company and filed with the Commission contain a statement of the applicable provisions of the articles of incorporation, bylaws or similar documents, relating to the right of the person signing and filing such application to take such action on behalf of the applicant, and a statement that all such requirements have been complied with and that the person signing and filing the application is fully authorized to do so. If such authorization is dependent on resolutions of stockholders, directors, or other bodies, such resolutions must be attached as an exhibit to or quoted in the application. Any amendment to the application must contain a similar statement as to the applicability of the original statement of authorization. When any application or amendment is signed by an agent or attorney, rule 0-4 requires that the power of attorney evidencing his authority to sign shall state the basis for the agent's authority and shall be filed with the Commission. Every application subject to rule 0-4 must be verified by the person executing the application by providing a notarized signature in substantially the form specified in the rule. Each application subject to rule 0-4 must state the reasons why the applicant is deemed to be entitled to the action requested with a reference to the provisions of the Act and rules thereunder, the name and address of each applicant, and the name and address of any person to whom any questions regarding the application should be directed. Rule 0-4 requires that a proposed notice of the proceeding initiated by the filing of the application accompany each application as an exhibit and, if necessary, be modified to reflect any amendment to the application. The requirements of rule 0-4 are designed to provide Commission staff with the necessary information to assess whether granting the orders of exemption are necessary and appropriate in the public interest and consistent with the protection of investors and the intended purposes of the Act. Applicants for orders under the Advisers Act can include registered investment advisers, affiliated persons of registered investment advisers, and entities seeking to avoid investment adviser status, among others. Commission staff estimates that it receives approximately 9 applications per year submitted under rule 0-4 of the Act. Although each application typically is submitted on behalf of multiple applicants, the applicants in the vast majority of cases are related entities and are treated as a single respondent for purposes of this analysis. Most of the work of preparing an application is performed by outside counsel and, therefore, imposes no hourly burden on respondents. The cost outside counsel charges applicants depends on the complexity of the issues covered by the application and the time required. Based on conversations with applicants and attorneys, the cost ranges from approximately $7,000 for preparing a well-precedented, routine application to approximately $80,000 to prepare a complex or novel application. We estimate that the Commission receives 2 of the most time-consuming applications annually, 4 applications of medium difficulty, and 3 of the least difficult applications subject to rule 0-4. This distribution gives a total estimated annual cost burden to applicants of filing all applications of $355,000 [(2×$80,000) + (4×$43,500) + (3×$7,000)]. The estimates of annual burden hours and costs are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms. The requirements of this collection of information are required to obtain or retain benefits. Responses will not be kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid control number. General comments regarding the above information should be directed to the following persons:
(i)Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or e-mail to: *Alexander_T._Hunt@omb.eop.gov* ; and
(ii)R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312, or send an e-mail to: *PRA_Mailbox@sec.gov* . Comments must be submitted to OMB within 30 days of this notice. Dated: September 27, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19548 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request *Upon Written Request, Copies Available From:* Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213 *Existing Collection; New OMB Control No.:* Rule 607, SEC File No. 270-568, OMB Control No. 3235-xxxx Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for approval of the collection of information discussed below. Rule 607 under Regulation E (17 CFR 230.607) entitled, “Sales material to be filed,” requires sales material used in connection with securities offerings under Regulation E (17 CFR 230.601 to 610a) to be filed with the Commission at least five days (excluding weekends and holidays) prior to its use. 1 Regulation E allows the exemption of securities issued by a small business investment company (“SBIC”) which is registered under the Investment Company Act of 1940 (“Investment Company Act”) (15 U.S.C. 80a-1 *et seq.* ) or a closed-end investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act from registration under the Securities Act of 1933 (“Securities Act”) (15 U.S.C. 77a *et seq.* ), so long as the aggregate offering price of all securities of the issuer that may be sold within a 12-month period does not exceed $5,000,000 and certain other conditions are met. Commission staff reviews sales material filed under rule 607 for materially misleading statements and omissions. The requirements of rule 607 are designed for investor protection. 1 Sales material includes advertisements, articles or other communications to be published in newspapers, magazines, or other periodicals; radio and television scripts; and letters, circulars or other written communications proposed to be sent given or otherwise communicated to more than ten persons. Respondents to this collection of information include SBICs and BDCs making an offering of securities pursuant to Regulation E. Each respondent's reporting burden under rule 607 relates to the burden associated with filing its sales material electronically. The burden of filing electronically, however, is negligible and there have been no filings made under this rule, so this collection of information does not impose any burden on the industry. However, we are requesting one annual response and an annual burden of one hour for administrative purposes. The estimate of average burden hours is made solely for purposes of the Paperwork Reduction Act and is not derived from a quantitative, comprehensive, or even representative survey or study of the burdens associated with Commission rules and forms. The requirements of this collection of information are mandatory. Responses will not be kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid control number. General comments regarding the above information should be directed to the following persons:
(i)Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or e-mail to: *Alexander_T._Hunt@omb.eop.gov* ; and
(ii)R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312, or send an e-mail to: *PRA_Mailbox@sec.gov* . Comments must be submitted to OMB within 30 days of this notice. Dated: September 27, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19549 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. IC-28006] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 September 28, 2007. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of September 2007. A copy of each application may be obtained for a fee at the SEC's Public Reference Branch (tel. 202-551-5850). An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on October 23, 2007, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus at
(202)551-6810, SEC, Division of Investment Management, Office of Investment Company Regulation, 100 F Street, NE., Washington, DC 20549-4041. Ameritor Investment Fund [File No. 811-747] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On July 24, 2007, applicant was liquidated, at which time applicant's liabilities exceeded its assets. Expenses of $6,775 incurred in connection with the liquidation were paid by applicant and Ameritor Financial Corporation, applicant's investment adviser. *Filing Dates:* The application was filed on July 24, 2007, and amended on September 14, 2007. *Applicant's Address:* 4400 MacArthur Blvd., NW., Suite 301, Washington, DC 20007. UC Co Investment Fund LLC [File No. 811-21599] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On December 15, 2004, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $1,035 incurred in connection with the liquidation were paid by UC Co Advisors LLC, applicant's investment adviser. *Filing Dates:* The application was filed on January 13, 2005, and amended on April 28, 2005 and September 18, 2007. *Applicant's Address:* c/o Skadden, Arps, Slate, Meagher & Flom LLP, Four Times Sq., New York, NY 10036. Dryden Municipal Series Fund [File No. 811-4023] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On December 15, 2006, each of applicant's series transferred its assets to Dryden National Municipals Fund, Inc., based on net asset value. Expenses of $1,002,000 incurred in connection with the reorganization were paid by applicant's series. *Filing Date:* The application was filed on September 4, 2007. *Applicant's Address:* Gateway Center Three, 100 Mulberry St., Newark, NJ 07102-4077. Van Kampen Trust for Investment Grade Florida Municipals [File No. 811-6538] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On June 8, 2007, applicant transferred its assets to Van Kampen Trust for Investment Grade Municipals, based on net asset value. Applicant's preferred shares were converted into preferred shares of the acquiring fund at a ratio of one-to-one. Expenses of $548,000 incurred in connection with the reorganization were paid by applicant, the acquiring fund and Van Kampen Asset Management, applicant's investment adviser. *Filing Date:* The application was filed on September 5, 2007. *Applicant's Address:* 522 Fifth Ave., New York, NY 10036. Asset Management Fund Large Cap Equity Institutional Fund, Inc. [File No. 811-620] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On January 8, 2007, applicant transferred its assets to Large Cap Equity Fund, a portfolio of Asset Management Fund, based on net asset value. Expenses of $229,000 incurred in connection with the reorganization were paid by applicant. *Filing Date:* The application was filed on August 31, 2007. *Applicant's Address:* 675 Third Ave., Suite 1130, New York, NY 10017. ACM Municipal Securities Income Fund, Inc. [File No. 811-7510] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On May 18, 2007, applicant transferred its assets to AllianceBernstein National Municipal Income Fund, Inc., based on net asset value. Each holder of applicant's preferred shares received corresponding preferred shares of the acquiring fund having an aggregate liquidation preference and value equal to the aggregate liquidation preference and value of the respective class of applicant's preferred stock. Expenses of $215,405 incurred in connection with the reorganization were paid by applicant. *Filing Dates:* The application was filed on July 24, 2007 and amended on September 17, 2007. *Applicant's Address:* 1345 Avenue of the Americas, New York, NY 10105. The Tocqueville Alexis Trust [File No. 811-8428] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On October 31, 2006, applicant transferred its assets to The Tocqueville Fund, a series of The Tocqueville Trust, based on net asset value. Expenses of $170,265 incurred in connection with the reorganization were paid by Tocqueville Asset Management L.P., applicant's investment adviser. *Filing Date:* The application was filed on August 20, 2007. *Applicant's Address:* 40 W 57th St., 19th Floor, New York, NY 10019. Franklin Templeton High Yield Trust [File No. 811-21358] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. *Filing Date:* The application was filed on August 20, 2007. *Applicant's Address:* One Franklin Parkway, San Mateo, CA 94403-1906. Value Line U.S. Multinational Company Fund, Inc. [File No. 811-7311] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On May 16, 2003, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $10,157 incurred in connection with the liquidation were paid by applicant. *Filing Dates:* The application was filed on July 17, 2007 and amended on September 5, 2007. *Applicant's Address:* 220 East 42nd St., New York, NY 10017. Advantage Advisers Troon Fund, L.L.C. [File No. 811-8003] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On August 22, 2007, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $189,970 incurred in connection with the liquidation were paid by applicant. *Filing Dates:* The application was filed on August 23, 2007, and amended on September 20, 2007. *Applicant's Address:* c/o Oppenheimer & Co. Inc., 200 Park Ave., 24th Floor, New York, NY 10116. Excelsior Directional Hedge Fund of Funds NewSub, LLC [File No. 811-22055] *Summary:* Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering of its securities. *Filing Dates:* The application was filed on April 26, 2007, and amended on September 18, 2007. *Applicant's Address:* c/o U.S. Trust Hedge Fund Management, Inc., 225 High Ridge Rd., Stamford, CT 06905. Federated Capital Income Fund, Inc. [File No. 811-5114] *Summary:* Applicant seeks an order declaring that it has ceased to be an investment company. On May 26, 2003, applicant transferred its assets to Federated Capital Income Fund, a portfolio of Federated Income Securities Trust, based on net asset value. Applicant paid $103,804 in expenses incurred in connection with the reorganization. *Filing Dates:* The application was filed on April 17, 2007, and amended on April 18, 2007, September 14, 2007 and September 17, 2007. *Applicant's Address:* 5800 Corporate Dr., Pittsburgh, PA 15237-7000. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19579 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 28008; 812-13232] Fidelity Rutland Square Trust, et al. ; Notice of Application September 28, 2007. AGENCY: Securities and Exchange Commission (“Commission”). ACTION: Notice of application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (“Act”) for an exemption from sections 12(d)(1)(A) and
(B)of the Act, and under sections 6(c) and 17(b) of the Act for an exemption from section 17(a) of the Act. Summary of the Application: Applicants request an order to permit certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies. Applicants: Fidelity Management & Research Company (“FMR”), Fidelity Management Trust Company (“FMTC”), Strategic Advisers, Inc. (“SAI”) (collectively, the “Adviser”); Fidelity Distributors Corporation (“FDC”) and National Financial Services LLC (“NFS”) (collectively, the “Distributor”); and Fidelity Rutland Square Trust (the “Trust”). Filing Dates: The application was filed on September 6, 2005, and amended on September 27, 2007. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on October 23, 2007, and should be accompanied by proof of service on applicants in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. ADDRESSES: Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090; Applicants, 82 Devonshire Street, Boston, MA 02109. FOR FURTHER INFORMATION CONTACT: Christine Y. Greenlees, Senior Counsel, at
(202)551-6879, or Michael W. Mundt, Assistant Director, at
(202)551-6821 (Office of Investment Company Regulation, Division of Investment Management). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained for a fee at the Commission's Public Reference Desk, 100 F Street, NE., Washington, DC 20549-0102 (telephone
(202)551-5850). Applicants' Representations 1. The Trust is a statutory trust organized under the laws of the state of Delaware and is registered under the Act as an open-end management investment company. The Trust currently offers three series that intend to rely on the relief requested by the application: PAS Small Cap Fund of Funds, PAS International Fund of Funds, and PAS U.S. Opportunity Fund of Funds (“PAS Funds,” and each a “Fund of Funds”). 1 Each PAS Fund operates as a fund of funds and has its own distinct investment objectives, policies and restrictions. 1 Applicants request that the order extend to each registered open-end management investment company or series thereof that is part of the same group of investment companies, as defined in section 12(d)(1)(G)(ii) of the Act as the Trust (each included in the term “Fund of Funds”) and advised by the Adviser or any investment adviser controlling, controlled by, or under common control with the Adviser (each included in the term “Adviser”). Each existing registered open-end management investment company that currently intends to rely on the order is named as an applicant. Any other existing or future registered open-end management investment company that subsequently relies on the order will do so only in accordance with the terms and conditions of the application. 2. SAI currently serves as the investment adviser to each PAS Fund. FMR and SAI are investment advisers registered under the Investment Advisers Act of 1940 (the “Advisers Act”). FMTC is a “bank” within the meaning of section 202(a)(2) of the Advisers Act and, accordingly, is exempt from registration under the Advisers Act. Any future Adviser will be registered under the Advisers Act or exempt from registration. Each of FMR, FMTC, and SAI is a direct or indirect subsidiary of FMR Corp., a Massachusetts corporation. FDC and NFS are broker-dealers registered under the Securities Exchange Act of 1934 (“Exchange Act”). Each of FDC and NFS is a direct or indirect subsidiary of FMR Corp. FDC is currently the distributor of the PAS Funds. 3. Applicants request relief to permit:
(a)A Fund of Funds to acquire shares of registered open-end management investment companies that are not part of the same “group of investment companies” (as defined in section 12(d)(1)(G)(ii) of the Act) as the Fund of Funds (the “Non-Affiliated Investment Companies”) and unit investment trusts (“UITs”) that are not part of the same group of investment companies as the Fund of Funds (“Non-Affiliated Trusts,” and together with the Non-Affiliated Investment Companies, the “Non-Affiliated Underlying Funds”);
(b)the Non-Affiliated Underlying Funds, their principal underwriter and brokers and dealers registered under the Exchange Act (“Brokers”) to sell such shares to the Fund of Funds;
(c)a Fund of Funds to acquire shares of certain other registered open-end management investment companies advised by the Adviser or series thereof and that are part of the same “group of investment companies” (as defined in section 12(d)(1)(G)(ii) of the Act) as the Fund of Funds (“Affiliated Underlying Funds,” and together with the Non-Affiliated Underlying Funds, the “Underlying Funds”); and
(d)the Affiliated Underlying Funds, their principal underwriter and Brokers to sell such shares to the Fund of Funds. 2 Certain of the Non-Affiliated Underlying Funds may be registered under the Act as either UITs or open-end management investment companies and have received exemptive relief to permit their shares to be listed and traded on a national securities exchange at negotiated prices (“ETFs”). Each Fund of Funds also may invest in stocks, bonds, money market instruments and other securities and financial instruments that are consistent with its investment objective. 2 With regard to purchases of shares of Non-Affiliated Underlying Funds, the requested order would apply to purchases made by a Fund of Funds only to the extent that the Fund of Funds could not rely on the provisions of section 12(d)(1)(F) of the Act. Applicants' Legal Analysis A. Section 12(d)(1) 1. Section 12(d)(1)(A) of the Act prohibits a registered investment company from acquiring shares of an investment company if the securities represent more than 3% of the total outstanding voting stock of the acquired company, more than 5% of the total assets of the acquiring company, or, together with the securities of any other investment companies, more than 10% of the total assets of the acquiring company. Section 12(d)(1)(B) of the Act prohibits a registered open-end investment company, its principal underwriter and any broker or dealer from selling the shares of the investment company to another investment company if the sale will cause the acquiring company to own more than 3% of the acquired company's voting stock, or if the sale will cause more than 10% of the acquired company's voting stock to be owned by investment companies generally. 2. Section 12(d)(1)(J) of the Act provides that the Commission may exempt any person, security, or transaction, or any class or classes of persons, securities or transactions, from any provision of section 12(d)(1) if the exemption is consistent with the public interest and the protection of investors. Applicants seek an exemption under section 12(d)(1)(J) of the Act to permit the Funds of Funds to acquire shares of the Underlying Funds and to permit the Underlying Funds, their principal underwriter and Brokers to sell shares to the Funds of Funds beyond the limits set forth in sections 12(d)(1)(A) and
(B)of the Act. 3. Applicants state that the proposed arrangement will not give rise to the policy concerns underlying sections 12(d)(1)(A) and (B), which include concerns about undue influence by a fund of funds over underlying funds, excessive layering of fees, and overly complex fund structures. Accordingly, applicants believe that the requested exemption is consistent with the public interest and the protection of investors. 4. Applicants state that the proposed arrangement will not result in undue influence by a Fund of Funds or its affiliated persons over the Non-Affiliated Underlying Funds. The concern about undue influence does not arise in connection with a Fund of Funds' investment in the Affiliated Underlying Funds, since they are part of the same group of investment companies. To limit the control that a Fund of Funds may have over a Non-Affiliated Underlying Fund, applicants propose a condition prohibiting:
(a)The Adviser and any person controlling, controlled by or under common control with the Adviser, any investment company or issuer that would be an investment company but for section 3(c)(1) or section 3(c)(7) of the Act, advised or sponsored by the Adviser or any person controlling, controlled by or under common control with the Adviser (collectively, the “Group”), and
(b)any investment adviser to a Fund of Funds within the meaning of section 2(a)(20)(B) of the Act (“Subadviser”), any person controlling, controlled by or under common control with the Subadviser, and any investment company or issuer that would be an investment company but for section 3(c)(1) or 3(c)(7) of the Act (or portion of such investment company or issuer) advised or sponsored by the Subadviser or any person controlling, controlled by or under common control with the Subadviser (collectively, the “Subadviser Group”) from controlling (individually or in the aggregate) a Non-Affiliated Underlying Fund within the meaning of section 2(a)(9) of the Act. 5. Applicants further state that condition 2 below precludes a Fund of Funds and its Adviser, Subadviser, promoter, principal underwriter and any person controlling, controlled by or under common control with any of these entities (each, a “Fund Affiliate”) from causing any existing or potential investment by the Fund of Funds in a Non-Affiliated Underlying Fund to influence the terms of any services or transactions between the Fund of Funds or a Fund Affiliate and the Non-Affiliated Underlying Fund or its investment adviser(s), sponsor, promoter, principal underwriter and any person controlling, controlled by or under common control with any of these entities (each, a “Non-Affiliated Fund Affiliate”). Non-Affiliated Underlying Funds will be prohibited from purchasing a security in an offering of securities during the existence of any underwriting or selling syndicate of which a principal underwriter is an officer, director, member of an advisory board, Adviser, Subadviser, or employee of the Fund of Funds, or a person of which any such officer, director, member of an advisory board, Adviser, Subadviser, or employee is an affiliated person (each, an “Underwriting Affiliate,” except any person whose relationship to the Non-Affiliated Underlying Fund is covered by section 10(f) of the Act is not an Underwriting Affiliate). An offering of securities during the existence of an underwriting or selling syndicate of which a principal underwriter is an Underwriting Affiliate is an “Affiliated Underwriting.” 6. Applicants also propose a condition that once an investment by a Fund of Funds in the securities of a Non-Affiliated Investment Company exceeds the limit in section 12(d)(1)(A)(i) of the Act, the board of directors or trustees of the Non-Affiliated Investment Company, including a majority of the independent directors or trustees, will determine that any consideration paid by the Non-Affiliated Investment Company to the Fund of Funds or a Fund Affiliate Service Provider 3 in connection with any services or transactions:
(a)Is fair and reasonable in relation to the nature and quality of the services and benefits received by the Non-Affiliated Investment Company;
(b)is within the range of consideration that the Non-Affiliated Investment Company would be required to pay to another unaffiliated entity in connection with the same services or transactions; and
(c)does not involve overreaching on the part of any person concerned. 3 A “Fund Affiliate Service Provider” is the Adviser, any Subadviser, promoter or principal underwriter of the Fund of Funds, and any person controlling, controlled by or under common control with any of these entities, provided that
(i)such person would reasonably be expected to be in a position to provide services of a securities-related nature (that is, investment advisory, brokerage, distribution, transfer agency, administration, participant recordkeeping or shareholder services) to a Non-Affiliated Underlying Fund, or
(ii)if such person is not described by clause (i), to the actual knowledge of the Adviser, any Subadviser, promoter or principal underwriter of the Fund of Funds, such person currently has or is reasonably expected to begin having a material business relationship with a Non-Affiliated Underlying Fund. 7. To further assure that a Non-Affiliated Investment Company understands the implications of an investment by a Fund of Funds under the requested order, prior to a Fund of Funds' investment in a Non-Affiliated Investment Company in excess of the limit in section 12(d)(1)(A)(i) of the Act, the Fund of Funds and Non-Affiliated Investment Company will execute an agreement stating, without limitation, that their boards of directors or trustees and their investment advisers understand the terms and conditions of the order and agree to fulfill their responsibilities under the order (“Participation Agreement”). Applicants note that a Non-Affiliated Underlying Fund (other than an ETF whose shares are purchased by a Fund of Funds in the secondary market) will retain the right to reject an investment from a Fund of Funds. 4 4 A Non-Affiliated Investment Company (including an ETF) would retain its right to reject any initial investment by a Fund of Funds in excess of the limits in section 12(d)(1)(A)(i) of the Act by declining to execute the Participation Agreement with the Fund of Funds. 8. Applicants do not believe that the proposed arrangement will involve excessive layering of fees. With respect to investment advisory fees, applicants state that, prior to approving any investment advisory contract under section 15 of the Act, the board of trustees of the Fund of Funds (the “Board”), including a majority of the trustees who are not “interested persons,” as defined in section 2(a)(19) of the Act (the “Independent Trustees”), will find that the investment advisory fees charged under the Fund of Fund's investment advisory contract are based on services provided that are in addition to, rather than duplicative of, services provided pursuant to any Underlying Fund's advisory contract(s). Applicants further state that the Adviser or Distributor will waive fees otherwise payable to it by a Fund of Funds in an amount at least equal to any compensation (including fees received pursuant to any plan adopted by a Non-Affiliated Investment Company under rule 12b-1 under the Act) received from a Non-Affiliated Underlying Fund by the Adviser, or an affiliated person of the Adviser, other than any advisory fees paid to the Adviser or its affiliated person by the Non-Affiliated Investment Company, in connection with the investment by the Fund of Funds in the Non-Affiliated Underlying Fund. Applicants also state that any sales charges and/or service fees, as defined in Rule 2830 of the Conduct Rules of the NASD (“NASD Conduct Rule 2830”), charged with respect to shares of a Fund of Funds will not exceed the limits applicable to a funds of funds set forth in NASD Conduct Rule 2830. 9. Applicants state that the proposed arrangement will not create an overly complex fund structure. Applicants note that an Underlying Fund will be prohibited from acquiring securities of any investment company or company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section 12(d)(1)(A), except in certain circumstances identified in condition 10 below. Applicants also represent that a Fund of Funds' prospectus and sales literature will contain concise, “plain English” disclosure designed to inform investors about the unique characteristics of the proposed arrangement, including its expense structure and the additional expenses of investing in Underlying Funds. 5 5 Each Fund of Funds also will comply with the disclosure requirements concerning the aggregate expenses of investing in Underlying Funds set forth in Investment Company Act Release No. 27399 (June 20, 2006). B. Section 17(a) 10. Section 17(a) of the Act generally prohibits sales or purchases of securities between a registered investment company and any affiliated person of the company. Section 2(a)(3) of the Act defines an “affiliated person” of another person to include:
(a)Any person directly or indirectly owning, controlling, or holding with power to vote, 5% or more of the outstanding voting securities of the other person;
(b)any person 5% or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote by the other person; and
(c)any person directly or indirectly controlling, controlled by, or under common control with the other person. 11. Applicants state that if a Funds of Funds and an Affiliated Underlying Fund were deemed to be under common control, they would be affiliated persons of each another. Applicants also state that a Funds of Funds and an Underlying Fund might be deemed to be affiliated persons of one another if a Fund of Funds acquires 5% or more of an Underlying Fund's outstanding voting securities. In light of these possible affiliations, section 17(a) could prevent an Underlying Fund from selling shares to and redeeming shares from a Fund of Funds. 6 6 Applicants note that a Fund of Funds investing in ETFs generally would purchase and sell shares of an ETF through secondary market transactions at market prices rather than through principal transactions with the Underlying Fund. Applicants would not rely on the requested relief from section 17(a) for such secondary market transactions. To the extent that a Fund of Funds purchases or redeems shares from an ETF that is an affiliated person of the Fund of Funds in exchange for a basket of specified securities as described in the application for the exemptive order upon which the ETF relies, applicants also request relief from section 17(a) for those transactions. 12. Section 17(b) of the Act authorizes the Commission to grant an order permitting a transaction otherwise prohibited by section 17(a) if it finds that
(a)The terms of the proposed transaction are fair and reasonable and do not involve overreaching on the part of any person concerned;
(b)the proposed transaction is consistent with the policies of each registered investment company involved; and
(c)the proposed transaction is consistent with the general purposes of the Act. Section 6(c) of the Act permits the Commission to exempt any person or transactions from any provision of the Act if such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of the Act. 13. Applicants submit that the proposed transactions satisfy the standards for relief under sections 17(b) and 6(c) of the Act as the terms are fair and reasonable and do not involve overreaching. 7 Applicants note that the terms upon which an Underlying Fund will sell its shares to or purchase its shares from a Fund of Funds will be based on the net asset value of each Underlying Fund. Applicants state that the proposed arrangement will be consistent with the policies of each Fund of Funds and Underlying Fund, and with the general purposes of the Act. 7 Applicants acknowledge that receipt of any compensation by
(a)An affiliated person of a Fund of Funds, or an affiliated person of such person, for the purchase by the Fund of Funds of shares of an Underlying Fund or
(b)an affiliated person of an Underlying Fund, or an affiliated person of such person, for the sale by the Underlying Fund of its shares to a Fund of Funds is subject to section 17(e) of the Act. The Participation Agreement also will include this acknowledgement. Applicants' Conditions Applicants agree that any order granting the requested relief will be subject to the following conditions: 1. The members of the Group will not control (individually or in the aggregate) a Non-Affiliated Underlying Fund within the meaning of section 2(a)(9) of the Act. The members of the Subadviser Group will not control (individually or in the aggregate) a Non-Affiliated Underlying Fund within the meaning of section 2(a)(9) of the Act. If, as a result of a decrease in the outstanding voting securities of a Non-Affiliated Underlying Fund, the Group or the Subadviser Group, each in the aggregate, becomes a holder of more than 25% of the outstanding voting securities of a Non-Affiliated Underlying Fund, it will vote its shares of the Non-Affiliated Underlying Fund in the same proportion as the vote of all other holders of the Non-Affiliated Underlying Fund's shares. This condition will not apply to the Subadviser Group with respect to a Non-Affiliated Underlying Fund for which the Subadviser or a person controlling, controlled by, or under common control with the Subadviser, acts as the investment adviser within the meaning section 2(a)(20)(A) of the Act (in the case of a Non-Affiliated Investment Company) or as the sponsor (in the case of a Non-Affiliated Trust). 2. No Fund of Funds or Fund Affiliate will cause any existing or potential investment by the Fund of Funds in a Non-Affiliated Underlying Fund to influence the terms of any services or transactions between the Fund of Funds or a Fund Affiliate and the Non-Affiliated Underlying Fund or a Non-Affiliated Fund Affiliate. 3. The Board of the Fund of Funds, including a majority of the Independent Trustees, will adopt procedures reasonably designed to assure that the Adviser and any Subadviser are conducting the investment program of the Fund of Funds without taking into account any consideration received by the Fund of Funds or a Fund Affiliate from a Non-Affiliated Underlying Fund or a Non-Affiliated Fund Affiliate in connection with any services or transactions. 4. Once an investment by a Fund of Funds in the securities of a Non-Affiliated Investment Company exceeds the limit in section 12(d)(1)(A)(i) of the Act, the board of directors or trustees of the Non-Affiliated Investment Company, including a majority of the independent directors or trustees, will determine that any consideration paid by the Non-Affiliated Investment Company to the Fund of Funds or a Fund Affiliate Service Provider in connection with any services or transactions:
(a)Is fair and reasonable in relation to the nature and quality of the services and benefits received by the Non-Affiliated Investment Company;
(b)is within the range of consideration that the Non-Affiliated Investment Company would be required to pay to another unaffiliated entity in connection with the same services or transactions; and
(c)does not involve overreaching on the part of any person concerned. This condition does not apply with respect to any services or transactions between a Non-Affiliated Investment Company and its investment adviser(s), or any person controlling, controlled by, or under common control with such investment adviser(s). 5. No Non-Affiliated Underlying Fund will purchase a security in any Affiliated Underwriting. 6. Before investing in a Non-Affiliated Investment Company in excess of the limit in section 12(d)(1)(A)(i) of the Act, the Fund of Funds and the Non-Affiliated Investment Company will execute a Participation Agreement stating, without limitation, that their boards of directors or trustees and their investment advisers understand the terms and conditions of the order and agree to fulfill their responsibilities under the order. At the time of its investment in shares of a Non-Affiliated Investment Company in excess of the limit in section 12(d)(1)(A)(i), the Fund of Funds will notify the Non-Affiliated Investment Company of the investment. At such time, the Fund of Funds will also transmit to the Non-Affiliated Investment Company a list of the names of each Fund Affiliate Service Provider. The Fund of Funds will notify the Non-Affiliated Investment Company of any changes to the list of names as soon as reasonably practicable after a change occurs. The Non-Affiliated Investment Company and the Fund of Funds will maintain and preserve a copy of the order, the Participation Agreement, and the list with any updated information for the duration of the investment and for a period of not less than six years thereafter, the first two years in an easily accessible place. 7. Before approving any advisory contract under section 15 of the Act, the Board of the Fund of Funds, including a majority of the Independent Trustees, will find that the advisory fees charged under the advisory contract will be based on services provided that will be in addition to, rather than duplicative of, services provided under the advisory contract(s) of any Underlying Fund in which the Fund of Funds may invest. These findings and the basis upon which they are made will be recorded fully in the minute books of the appropriate Fund of Funds. 8. The Adviser or Distributor will waive fees otherwise payable to it by a Fund of Funds in an amount at least equal to any compensation (including fees received pursuant to any plan adopted by a Non-Affiliated Investment Company under rule 12b-1 under the Act) received from a Non-Affiliated Underlying Fund by the Adviser, or an affiliated person of the Adviser, other than any advisory fees paid to the Adviser or its affiliated person by the Non-Affiliated Investment Company, in connection with the investment by the Fund of Funds in the Non-Affiliated Underlying Fund. Any Subadviser will waive fees otherwise payable to the Subadviser, directly or indirectly, by the Fund of Funds in an amount at least equal to any compensation received from a Non-Affiliated Underlying Fund by the Subadviser, or an affiliated person of the Subadviser, other than any advisory fees paid to the Subadviser or its affiliated person by the Non-Affiliated Investment Company, in connection with the investment by the Fund of Funds in the Non-Affiliated Underlying Fund made at the direction of the Subadviser. In the event that the Subadviser waives fees, the benefit of the waiver will be passed through to the Fund of Funds. 9. Any sales charges and/or service fees (as defined in NASD Conduct Rule 2830) charged with respect to shares of a Fund of Funds will not exceed the limits applicable to a fund of funds set forth in NASD Conduct Rule 2830. 10. No Underlying Fund will acquire securities of any investment company or company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section 12(d)(1)(A) of the Act, except to the extent that such Underlying Fund:
(a)Receives securities of another investment company as a dividend or as a result of a plan of reorganization of a company (other than a plan devised for the purpose of evading section 12(d)(1) of the Act); or
(b)acquires (or is deemed to have acquired) securities of another investment company pursuant to exemptive relief from the Commission permitting such Underlying Fund to
(i)Acquire securities of one or more affiliated investment companies for short-term cash management purposes, or
(ii)engage in interfund borrowing and lending transactions. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19631 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. IC-28007; 812-13426] Van Eck Associates Corporation, et al.; Notice of Application September 28, 2007. AGENCY: Securities and Exchange Commission (“Commission”). ACTION: Notice of application to amend a prior order under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from sections 2(a)(32), 5(a)(1), 22(d), 22(e) and 24(d) of the Act and rule 22c-1 under the Act, under section 12(d)(1)(J) of the Act for an exemption from sections 12(d)(1)(A) and
(B)of the Act, and under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and (a)(2) of the Act. Summary of Application: Applicants request an order to amend a prior order that permits:
(a)Open-end management investment companies, whose series are based on equity securities indices (“Equity Funds”), to issue shares of limited redeemability (“Shares”);
(b)secondary market transactions in the Shares of the Equity Funds to occur at negotiated prices;
(c)dealers to sell Shares of Equity Funds to purchasers in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933 (“Securities Act”);
(d)certain affiliated persons of the Equity Funds to deposit securities into, and receive securities from, the Equity Funds in connection with the purchase and redemption of aggregations of Shares;
(e)certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the Equity Funds to acquire Shares; and
(f)under certain circumstances, the Equity Funds that track certain foreign equity securities indices to pay redemption proceeds more than seven days after the tender of Shares (the “Prior Order”). 1 Applicants seek to amend the Prior Order in order to offer additional series based on fixed income securities indices (the “New Funds” and together with the Equity Funds, the “Funds”). 1 Van Eck Associates Corporation, et al., Investment Company Act Release Nos. 27283 (Apr. 7, 2006) (notice) and 27311 (May 2, 2006) (order), subsequently amended by Van Eck Associates Corporation, et al., Investment Company Act Release Nos. 27694 (Jan. 31, 2007) (notice) and 27742 (Feb. 27, 2007) (order). Applicants: Van Eck Associates Corporation (“Adviser”), Market Vectors ETF Trust (“Trust”), and Van Eck Securities Corporation (“Distributor”). Filing Dates: The application was filed on September 25, 2007, and amended on September 28, 2007. Hearing or Notification of Hearing: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on October 23, 2007, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. Applicants, 99 Park Avenue, 8th Floor, New York, NY 10016. FOR FURTHER INFORMATION CONTACT: Julia Kim Gilmer, Branch Chief, or Michael W. Mundt, Assistant Director, at
(202)551-6821 (Division of Investment Management, Office of Investment Company Regulation). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained for a fee at the Commission's Public Reference Branch, 100 F Street, NE., Washington, DC 20549-0102 (tel. 202-551-5850). Applicants' Representations 1. The Trust is an open-end management investment company registered under the Act and organized as a Delaware statutory trust. The Trust is organized as a series fund with multiple series. The Adviser, an investment adviser registered under the Investment Advisers Act of 1940 (“Advisers Act”), will serve as investment adviser to the New Funds. The Adviser may retain sub-advisers (“Sub-Advisers”) to manage the assets of a New Fund. Any Sub-Adviser will be registered under the Advisers Act. The Distributor, a broker-dealer registered under the Securities Exchange Act of 1934 (the “Exchange Act”), will serve as the principal underwriter and distributor of each New Fund's Shares. 2. The Trust is currently permitted to offer Funds based on equity securities indices in reliance on the Prior Order. Applicants seek to amend the Prior Order to permit the Trust to offer the New Funds that, except as described in the application, would operate in a manner identical to the Equity Funds that are subject to the Prior Order. 3. Each New Fund will invest in fixed-income securities (“Portfolio Securities”) selected to correspond generally to the price and yield performance of a fixed income securities index (“Underlying Index”). 2 No entity that creates, compiles, sponsors, or maintains an Underlying Index is or will be an affiliated person, as defined in section 2(a)(3) of the Act, or an affiliated person of an affiliated person, of the Trust, the Adviser, any Sub-Adviser, the Distributor, or a promoter of a New Fund. 2 The New Funds identified in the application would have as their Underlying Indexes: the Lehman Brothers Short Managed Money Municipal Index, Lehman Brothers Intermediate Managed Money Municipal Index, Lehman Brothers Long Managed Money Municipal Index, Lehman Brothers Non-Investment Grade Municipal Index, Lehman Brothers Managed Money Municipal California Index, and the Lehman Brothers Managed Money Municipal New York Index. 4. The investment objective of each New Fund will be to provide investment results that correspond, before expenses, generally to the price and yield performance of the relevant Underlying Index. The Adviser may fully replicate a New Fund's relevant Underlying Index or use a representative sampling strategy where the New Fund will seek to hold a representative sample of the component securities of the Underlying Index. 5. Under the Prior Order, applicants stated that each Equity Fund would invest at least 95% of its total assets in the component securities of its underlying index and may invest up to 5% of its assets in money market instruments, money market funds, futures contracts, options, options on futures contracts, swap contracts, cash and cash equivalents as well as in stocks not included in its underlying index but which the Adviser believes will help the Equity Fund track its underlying index. Applicants seek to amend the Prior Order to provide that each Fund generally will invest at least 80% or 90% of its total assets, as disclosed in the relevant prospectus, in the securities that comprise the relevant Underlying Index, and at times may invest up to 20% of its total assets in certain futures, options, and swap contracts, cash and cash equivalents, as well as securities not included in its Underlying Index which the Adviser believes will help the Fund track its Underlying Index. At all times, a New Fund will hold, in the aggregate, at least 80% of its total assets in component securities and investments that have economic characteristics that are substantially identical to the economic characteristics of the component securities of its Underlying Index. Applicants expect that each New Fund will have a tracking error relative to the performance of its respective Underlying Index of less than 5 percent. 6. Applicants state that the New Funds will comply with the federal securities laws in accepting a deposit of a portfolio of securities designated by the Adviser to correspond generally to the price and yield of the New Fund's Underlying Index (“Deposit Securities”) 3 and satisfying redemptions with portfolio securities of the New Fund (“Fund Securities”), including that the Deposit Securities and Fund Securities are sold in transactions that would be exempt from registration under the Securities Act. 4 The specified Deposit Securities and Fund Securities generally will correspond pro rata, to the extent practicable, to the Portfolio Securities of a New Fund. 3 Applicants state that a cash-in-lieu amount will replace any “to-be-announced” (“TBA”) transaction that is listed as a Deposit Security or Fund Security of any New Fund. A TBA transaction is a method of trading mortgage-backed securities where the buyer and seller agree upon general trade parameters such as agency, settlement date, par amount and price. The actual pools delivered generally are determined two days prior to the settlement date. The amount of substituted cash in the case of TBA transactions will be equivalent to the value of the TBA transaction listed as a Deposit Security or Fund Security. 4 In accepting Deposit Securities and satisfying redemptions with Fund Securities that are restricted securities eligible for resale pursuant to rule 144A under the Securities Act, the New Funds will comply with the conditions of rule 144A, including in satisfying redemptions with such rule 144A eligible restricted Fund Securities. The prospectus for a New Fund will also state that an authorized participant that is not a “Qualified Institutional Buyer” as defined in rule 144A under the Securities Act, will not be able to receive, as part of a redemption, restricted securities eligible for resale under rule 144A. 7. Applicants state that the New Funds will operate in a manner identical to the operation of the existing Funds in the Prior Order, except as specifically noted by applicants (and summarized in this notice). The New Funds will comply with the terms and provisions of the Prior Order except as modified by this application. Applicants agree that any amended order granting the requested relief will be subject to the same conditions as those imposed by the Prior Order. Applicants believe that the requested relief continues to meet the necessary exemptive standards. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19630 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 28009; 812-13412] Vanguard STAR Funds, et al.; Notice of Application September 28, 2007. AGENCY: Securities and Exchange Commission (“Commission”). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from rule 12d1-2(a) under the Act. Summary of Application: Applicants request an order to permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: Vanguard STAR funds, Vanguard Chester Funds, Vanguard Trustees' Equity Fund, Vanguard Variable Insurance Funds (collectively, the “Trusts”), The Vanguard Group, Inc. (“VGI”) and Vanguard Marketing Corporation (“VMC”). Filing Dates: The application was filed on August 10, 2007, and amended on September 24 and 28, 2007. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on October 23, 2007, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. ADDRESSES: Secretary, Commission, 100 F Street, NE., Washington, DC 20549-1090; Applicants, c/o Nathan M. Will, The Vanguard Group, Inc., P.O. Box 2600, Valley Forge, PA 19482. FOR FURTHER INFORMATION CONTACT: Donna Tumminio, Law Clerk, at
(202)551-6826, or Michael W. Mundt, Assistant Director, at
(202)551-6821 (Division of Investment Management, Office of Investment Company Regulation). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained for a fee at the Commission's Public Reference Branch, 100 F Street, NE., Washington, DC 20549-0104 (telephone
(202)551-8090). Applicants' Representations 1. The Trusts are Delaware statutory trusts and are registered under the Act as open-end management investment companies. The Trusts offer separate series (“Funds”) that may invest in other registered investment companies in reliance on section 12(d)(1)(G) of the Act and rule 12d1-2 under the Act (“Underlying Funds”). Applicants propose that the Funds be permitted to invest in futures contracts, options on futures contracts, swap agreements, derivatives, and other financial instruments that may not be securities within the meaning of section 2(a)(36) of the Act (“Other Investments”), in addition to Underlying Funds. 1 1 Other Investments do not include shares of any registered investment companies that are not part of the “same group of investment companies,” as defined in section 12(d)(1)(G)(ii) of the Act, as the Trusts. Applicants request that the relief also apply to any future Fund, whether organized as an investment company or as a series thereof, which is advised by VGI or any entity controlling, controlled by or under common control with VGI and which is part of the same group of investment companies as the Funds. 2. VGI is a Pennsylvania corporation that is wholly and jointly owned by certain registered investment companies. VGI is registered as an investment adviser under the Investment Advisers Act of 1940 and as a transfer agent under the Securities Exchange Act of 1934 (“Exchange Act”). VGI provides each of the Funds with corporate management, administrative, transfer agency, and, in some cases, investment advisory services. VMC is a registered broker-dealer under the Exchange Act and is a wholly owned subsidiary of VGI. VMC provides all distribution and marketing services for the Funds. Applicants' Legal Analysis 1. Section 12(d)(1)(A) of the Act provides that no registered investment company (“acquiring company”) may acquire securities of another investment company (“acquired company”) if such securities represent more than 3% of the acquired company's outstanding voting stock or more than 5% of the acquiring company's total assets, or if such securities, together with the securities of other investment companies, represent more than 10% of the acquiring company's total assets. Section 12(d)(1)(B) of the Act provides that no registered open-end investment company may sell its securities to another investment company if the sale will cause the acquiring company to own more than 3% of the acquired company's voting stock, or cause more than 10% of the acquired company's voting stock to be owned by investment companies. 2. Section 12(d)(1)(G) of the Act provides that section 12(d)(1) will not apply to securities of an acquired company purchased by an acquiring company if:
(i)The acquiring company and acquired company are part of the same group of investment companies;
(ii)the acquiring company holds only securities of acquired companies that are part of the same group of investment companies, government securities, and short-term paper;
(iii)the aggregate sales loads and distribution-related fees of the acquiring company and the acquired company are not excessive under rules adopted pursuant to section 22(b) or section 22(c) of the Act by a securities association registered under section 15A of the Exchange Act or by the Commission; and
(iv)the acquired company has a policy that prohibits it from acquiring securities of registered open-end management investment companies or registered unit investment trusts in reliance on section 12(d)(1)(F) or
(G)of the Act. 3. Rule 12d1-2 under the Act permits a registered open-end investment company or a registered unit investment trust that relies on section 12(d)(1)(G) of the Act to acquire, in addition to securities issued by another registered investment company in the same group of investment companies, government securities, and short-term paper:
(1)Securities issued by an investment company that is not in the same group of investment companies, when the acquisition is in reliance on section 12(d)(1)(A) or 12(d)(1)(F) of the Act;
(2)securities (other than securities issued by an investment company); and
(3)securities issued by a money market fund, when the investment is in reliance on rule 12d1-1 under the Act. For the purposes of rule 12d1-2, “securities” means any security as defined in section 2(a)(36) of the Act. 4. Section 6(c) of the Act provides that the Commission may exempt any person, security, or transaction from any provisions of the Act, or from any rule under the Act, if such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policies and provisions of the Act. 5. Applicants state that the proposed arrangement would comply with the provisions of rule 12d1-2 under the Act, but for the fact that the Funds may invest a portion of their assets in Other Investments. Applicants request an order under section 6(c) of the Act for an exemption from rule 12d1-2(a) to allow the Funds to invest in Other Investments. Applicants assert that permitting the Funds to invest in Other Investments as described in the application would not raise any of the concerns that the requirements of section 12(d)(1) were designed to address. Applicants' Conditions Applicants agree that the order granting the requested relief will be subject to the following conditions: 1. Prior to approving any investment advisory agreement under section 15 of the Act, the board of trustees of the appropriate Fund, including a majority of the trustees who are not “interested persons,” as defined in section 2(a)(19) of the Act, will find that the advisory fees, if any, charged under the agreement are based on services provided that are in addition to, rather than duplicative of, services provided pursuant to any Underlying Fund's advisory agreement. Such finding, and the basis upon which the finding is made, will be recorded fully in the minute books of the appropriate Fund. 2. Applicants will comply with all provisions of rule 12d1-2 under the Act, except for paragraph (a)(2), to the extent that it restricts any Fund from investing in Other Investments as described in the application. For the Commission, by the Division of Investment Management, under delegated authority. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19639 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56555; File Nos. SR-Amex-2007-65; SR-BSE-2007-45; SR-CBOE-2007-64; SR-ISE-2007-44; SR-NYSEArca-2007-65] Self-Regulatory Organizations; American Stock Exchange LLC; Boston Stock Exchange, Inc; Chicago Board Options Exchange, Incorporated and International Securities Exchange, LLC: Notice of Filing of Proposed Rule Changes Relating to the Definition of a Complex Trade; NYSE Arca, Inc.: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade September 27, 2007. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on June 27, 2007, September 13, 2007, June 12, 2007, June 1, 2007, and July 6, 2007, the American Stock Exchange LLC (“Amex”), the Boston Stock Exchange, Inc. (“BSE”), the Chicago Board Options Exchange, Incorporated (“CBOE”), the International Securities Exchange, LLC (“ISE”), and NYSE Arca, Inc. (“NYSE Arca”) (each, an “Exchange” and, collectively, the “Exchanges”), respectively, filed with the Securities and Exchange Commission (“Commission”) the proposed rule changes as described in Items I, II and III below, which Items have been substantially prepared by the Exchanges. On July 11, 2007, NYSE Arca filed Amendment No. 1 to its proposed rule change. 3 The Commission is publishing this notice to solicit comments on the proposed rule changes, as amended, from interested persons. 1 15 U.S.C. 78s(b)(l). 2 17 CFR 240. 19b-4. 3 Amendment No. 1 to SR-NYSEArca-2007-65 effected technical corrections to the proposed rule change. I. Self-Regulatory Organizations' Statement of the Terms of Substance of the Proposed Rule Changes The Exchanges propose to amend the definition of “complex trade” set forth in their respective rules pertaining to the Intermarket Options Linkage (“Linkage”) to include stock-option trades. The text of the proposed rule changes is available at the Exchanges' Web sites, 4 the Exchanges' principal offices, and at the Commission's Public Reference Room. 4 *See http://www.amex.com, http://www.bostonstock.com, http://www.cboe.com, http://www.ise.com* , and *http://www.nyse.com* . II. Self-Regulatory Organizations' Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Changes In their filings with the Commission, each Exchange included statements concerning the purpose of, and basis for, their proposed rule changes and discussed any comments they received on the proposed rule changes. The text of these statements may be examined at the places specified in Item IV below. The Exchanges have prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organizations' Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Changes 1. Purpose Under Section 8(c)(iii)(G) of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage (“Linkage Plan”), 5 the Linkage Plan participants (“Participants”) may amend the definition of the term “complex trade” from time to time. The Participants have agreed to update the definition of “complex trade” to extend the associated trade-through liability exemption to cover certain stock-option trades. Accordingly, each of the Exchanges has submitted a proposal that would amend each of the Exchange's definition of “complex trade,” set forth in the Exchange's respective rules pertaining to the Linkage, to include the execution of a stock option order to buy or sell a stated number of units of an underlying stock or a security convertible into the underlying stock (“convertible security”) coupled with the purchase or sale of option contract(s) on the opposite side of the market representing either
(A)The same number of units of the underlying stock or convertible security, or
(B)the number of units of the underlying stock or convertible security necessary to create a delta neutral position, but in no case in a ratio greater than 8 option contracts per unit of trading of the underlying stock or convertible security established for that series by the Options Clearing Corporation. 6 5 On July 28, 2000, the Commission approved a national market system plan for the purpose of creating and operating the Linkage proposed by Amex, CBOE, and ISE. *See* Securities Exchange Act Release No. 43086 (July 28, 2000), 65 FR 48023 (August 4, 2000). Subsequently, Phlx, Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.), and BSE joined the Linkage Plan. *See* Securities Exchange Act Release Nos. 43573 (November 16, 2000), 65 FR 70851 (November 28, 2000); 43574 (November 16, 2000), 65 FR 70850 (November 28, 2000); and 49198 (February 5, 2004), 69 FR 7029 (February 12, 2004). 6 The Exchanges propose to amend their respective rules that define “complex trade” for Linkage purposes, namely Amex Rule 940(b)(3), Boston Options Exchange Rule Chapter XII, Section 1(c), CBOE Rule 6.80(4), ISE Rule 1900(3), and NYSEArca Rule 6.92(a)(4). The Phlx has filed a proposed rule change with the Commission to amend its definitions of “synthetic option” and “complex trade” to conform such definitions with the related “stock option” and “complex trade” definitions of the Exchanges. *See* SR-Phlx-2007-40. 2. Statutory Basis The Exchanges believe the proposed rule changes are consistent with the Act and the rules and regulations under the Act applicable to national securities exchanges and, in particular, the requirements of Section 6(b) of the Act. 7 Specifically, the Exchanges believe the proposed rule changes are consistent with the requirements of Section 6(b)(5) of the Act, 8 which provides that the rules of an exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. 7 15 U.S.C. 78f(b). 8 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organizations' Statement on Burden on Competition The Exchanges believe that the proposed rule changes would impose no burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organizations' Statement on Comments on the Proposed Rule Changes Received From Members, Participants or Others The Exchanges have neither solicited nor received comments on these proposals. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 days of the date of publication of this notice in the **Federal Register** or within such longer period
(i)As the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or
(ii)as to which the self-regulatory organizations consent, the Commission will:
(A)By order approve such proposed rule changes, or
(B)Institute proceedings to determine whether the proposed rule changes should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule changes are consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov* . Please include File Numbers SR-Amex-2007-65; SR-BSE-2007-45; SR-CBOE-2007-64; SR-ISE-2007-44; and SR-NYSEArca-2007-65 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Numbers SR-Amex-2007-65; SR-BSE-2007-45; SR-CBOE-2007-64; SR-ISE-2007-44; and SR-NYSEArca-2007-65. These file numbers should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submissions, all subsequent amendments, all written statements with respect to the proposed rule changes that are filed with the Commission, and all written communications relating to the proposed rule changes between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filings also will be available for inspection and copying at the principal offices of the Exchanges. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Numbers SR-Amex-2007-65; SR-BSE-2007-45; SR-CBOE-2007-64; SR-ISE-2007-44; and SR-NYSEArca-2007-65 and should be submitted on or before October 25, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 9 9 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19558 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56573; File No. SR-CHX-2007-16] Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Its Bylaws to Confirm That an Exchange Director Cannot Participate in the Determination of Any Matter Involving an Issuer of a Security Listed or To Be Listed on the Exchange, if the Director is a Director, Officer, or Employee of the Issuer September 28, 2007. I. Introduction On July 27, 2007, the Chicago Stock Exchange, Inc. (“CHX” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 a proposed rule change to amend Article II, Section 7 of its bylaws to confirm that, a CHX director cannot participate in the determination of any matter involving an issuer of a security listed or to be listed on the Exchange, if the CHX director is a director, officer, or employee of the issuer. On August 10, 2007, CHX filed an amendment to the proposed rule change. 3 The proposed rule change, as modified by Amendment No. 1, was published for comment in the **Federal Register** on August 24, 2007. 4 The Commission received no comments on the proposal. This order approves the proposed rule change. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 In Partial Amendment No. 1, the Exchange stated when a director recuses himself or herself from a decision, the Exchange would reflect that recusal in the minutes of the meeting at which the recusal occurred, in accordance with its internal written policies. 4 *See* Securities Exchange Act Release No. 56281 (August 17, 2007), 72 FR 48708. II. Description of the Proposal CHX bylaws currently prohibit a CHX director from participating in the determination of any matter in which the CHX director is personally interested. In its filing, CHX stated that the proposal would add a clarification to its bylaws by confirming certain situations when a CHX director would be deemed “personally interested” in a matter involving an issuer of a security listed or to be listed on the Exchange. Specifically, under the proposal a CHX director is deemed “personally interested” when the CHX director is a director, officer, or employee of the issuer of the security listed or to be listed on the Exchange. Further, this proposed provision is non-exclusive and the proposed changes to the bylaws specifically state that CHX would evaluate other relationships between the CHX director and the issuer on a case-by-case basis. III. Discussion After a careful review of the proposed rule change, the Commission finds that the proposed rule change is consistent with the requirements of the Act and the regulations thereunder applicable to a national securities exchange. 5 In particular, the Commission believes that the proposed rule change is consistent with Section 6(b)(5) of the Act, 6 which requires that the rules of an exchange be designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. 5 In approving the proposed rule change, the Commission notes that it has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 6 15 U.S.C. 78f(b)(4). The Commission notes that CHX's bylaws currently prohibit a CHX director from participating in the determination of any matter in which the CHX director is personally interested. However, in a matter involving an issuer of a security listed or to be listed on the Exchange, CHX's bylaws do not specify under what situations the CHX director would be deemed personally interested. The proposal would specifically state that a CHX director could not participate in a matter involving an issuer listed or to be listed on the Exchange if the CHX director is a director, officer, or employee of the issuer. As noted above, this is not an exclusive list defining all situations involving an issuer and a CHX director in which a CHX director would be deemed “personally interested” and shall not participate in a matter pursuant to CHX bylaws. Under the proposal, CHX would evaluate other relationships between a CHX director and an issuer on a case-by-case basis. Examples of other situations the Commission would expect to involve a personal interest would include, among others, when a CHX director is serving as a consultant to an issuer, is a significant shareholder of the issuer or has some other relationship with the issuer. Moreover, CHX represented that when CHX directors recuse themselves from a decision, CHX would reflect such recusals in the minutes of the meeting in which the recusal occurs, consistent with CHX's internal written policies. The Commission believes that it is good corporate practice for CHX to confirm in its bylaws certain situations when an Exchange director is deemed personally interested in a matter involving an issuer of a security listed or to be listed on CHX and to reflect recusals in the minutes of the meetings in which the recusal occurs. This will help to ensure that matters involving the listing and delisting of issuer's securities on CHX is considered in a fair and impartial manner which furthers the protection of investors and the public interest consistent with Section (6)(b)(5) of the Act. Based on the above, the Commission believes that the proposal is consistent with the requirements of the Act. IV. Conclusion *It is therefore ordered* , pursuant to Section 19(b)(2) of the Act, 7 that the proposed rule change (SR-CHX-2007-16) as modified by Amendment No. 1, be, and hereby is, approved. 7 15 U.S.C. 78s(b)(2). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 8 8 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19559 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56571; File No. SR-FINRA-2007-001] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System September 28, 2007. I. Introduction On July 31, 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a the National Association of Securities Dealers, Inc. (“NASD”)) filed with the Securities and Exchange Commission (“Commission”) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 a proposed rule change relating to reporting of order information for foreign equity securities to the Order Audit Trail System (“OATS”). The proposed rule change was published for comment in the **Federal Register** on August 9, 2007. 3 The Commission received no comments on the proposal. This order approves the proposed rule change. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 *See* Securities Exchange Act Release No. 56199 (August 3, 2007), 72 FR 44899 (the “Notice”). II. Description of the Proposal NASD Rules 6950 through 6958 (“OATS Rules”) impose obligations on member firms to record in electronic form and report to OATS on a daily basis certain information regarding orders in Nasdaq-listed equity securities originated, received, transmitted, modified, canceled, or executed by members. FINRA integrates the OATS information with quote and transaction information from a number of different sources to create a time-sequenced record of orders, quotes, and transactions. Currently, a member has recording and reporting obligations under the OATS Rules only with respect to orders in Nasdaq-listed equity securities. Beginning on February 4, 2008, members also will be required to record and report order information regarding all OTC equity securities, as defined in NASD Rule 6951. 4 The definition of “OTC equity security” encompasses essentially all foreign equity securities, except those that are listed on a U.S. national securities exchange. 4 *See* Securities Exchange Act Release No. 54585 (October 10, 2006); 71 FR 61112 (October 17, 2006) (SR-NASD-2005-101); NASD *Notice to Members* 06-70 (December 2006); *see also* Securities Exchange Act Release No. 55440 (March 9, 2007), 72 FR 12852 (March 19, 2007) (SR-NASD-2007-019). After approval of NASD-2005-101, FINRA indicated that numerous member firms and industry organizations raised issues with its staff regarding the breadth of the application of the OATS Rules to foreign equity securities, as well as issues presented by the lack of U.S. symbols for many foreign securities; the programming difficulties associated with tracking trades in foreign symbols and currencies; and the fact that, for many firms, orders for foreign securities are handled by foreign affiliates that are not currently set up to record and report OATS information. In addition, FINRA noted that many trades in foreign equity securities are routed to foreign broker-dealers and executed on a foreign stock exchange. Consequently, pursuant to the OATS Rules although FINRA would receive OATS information regarding the origination and routing of such orders, FINRA would not receive execution reports, and FINRA would not have trade report data to consolidate with the OATS data. 5 5 Trade reporting requirements under NASD Rule 6620 do not extend to a member's transactions in foreign equity securities executed on and reported to a foreign securities exchange or transactions executed over-the-counter in a foreign country that are reported to the regulator of securities markets for that country. *See* NASD Rule 6620(g); Securities Exchange Act Release No. 55745 (May 11, 2007), 72 FR 27891 (May 17, 2007) (SR-NASD-2007-030). In response to these concerns, FINRA proposed to amend Rule 6952 to exclude certain orders and transactions in foreign equity securities from the OATS recording and reporting requirements. With this change members will only have to record and report order information regarding foreign equity securities only in those instances where any resulting execution is subject to the transaction reporting requirements in Rule 6620. Members would not be required to record and submit information to FINRA for orders in a foreign equity security that do not result in a trade report to FINRA. 6 FINRA will receive order information for the same transactions for which FINRA receives trade report information. FINRA believes this change strikes the appropriate balance enabling FINRA to effectively monitor its members' compliance with their order handling requirements while avoiding overly burdensome reporting requirements. 6 See the Notice at 44900-44901 for examples of trade reporting scenarios. In addition, FINRA proposed to permit firms to use Form T to report required OATS information instead for reporting through the firm's normal OATS reporting channels in instances where a firm has a reporting obligation in a foreign equity security, but does not have a U.S. symbol assigned to it at the time of the trade. III. Discussion and Commission Findings The Commission has carefully reviewed the proposed rule change and finds that it is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities association. 7 In particular, the Commission finds that the proposed rule change is consistent with Section 15A(b)(6) of the Act, 8 which, among other things, requires that FINRA rules be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. 7 In approving this proposed rule change, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). 8 15 U.S.C. 78o-3(b)(6). The Commission believes that the proposed rule change addresses concerns unique to OATS reporting requirements for orders in foreign equity securities in a manner consistent with the Act, and strikes an appropriate balance between ensuring that FINRA can effectively monitor members' compliance with their order handling obligations and avoiding overly burdensome reporting requirements. Members will continue to be required to record and report OATS data to FINRA in those instances where a resulting execution in a foreign equity security is subject to a transaction reporting requirement pursuant to Rule 6620(g). Therefore, FINRA will receive OATS data that it can use in connection with trade reports to effectively monitor its members' activities in foreign equity securities. However, members will be relieved of the obligation to record and report OATS data to FINRA in instances where there is not a transaction reporting requirement. Further, the Commission believes that allowing members to report required OATS data for orders in a foreign equity security that has not been assigned a symbol at the time of the reportable event on Form T instead of through a member's normal OATS report channels will allow members to fulfill their trade reporting obligations and OATS obligations more efficiently while still ensuring the FINRA receives the information it requires to effectively monitor its members' trading activity in foreign equity securities. IV. Conclusion *It is therefore ordered* , pursuant to Section 19(b)(2) of the Act, 9 that the proposed rule change (SR-FINRA-2007-001), be, and hereby is, approved. It will become operative on February 4, 2008. 9 15 U.S.C. 78s(b)(2). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 10 10 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-19593 Filed 10-3-07; 8:45 am] BILLING CODE 8011-01-P DEPARTMENT OF STATE [Public Notice 5951] Bureau of Educational and Cultural Affairs
(ECA)Request for Grant Proposals: Congress-Bundestag Youth Exchange Program *Announcement Type:* New Grant. *Funding Opportunity Number:* ECA/PE/C/PY-08-08. *Catalog of Federal Domestic Assistance Number:* 19.410. *Key Dates:* *Application Deadline:* November 8, 2007. *Executive Summary:* The Office of Citizen Exchanges, Youth Programs Division (ECA/PE/C/PY), of the Department of State's Bureau of Educational and Cultural Affairs announces an open competition for the Congress-Bundestag Youth Exchange Program (CBYX). Public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 U.S.C. 501(c)(3) may submit proposals to facilitate educational exchanges between American and German high school students and young professionals. I. Funding Opportunity Description Authority Overall grant making authority for this program is contained in the Mutual Educational and Cultural Exchange Act of 1961, Public Law 87-256, as amended, also known as the Fulbright-Hays Act. The purpose of the Act is “to enable the Government of the United States to increase mutual understanding between the people of the United States and the people of other countries * * *; to strengthen the ties which unite us with other nations by demonstrating the educational and cultural interests, developments, and achievements of the people of the United States and other nations * * * and thus to assist in the development of friendly, sympathetic and peaceful relations between the United States and the other countries of the world.” The funding authority for the program above is provided through legislation. *Purpose:* The CBYX program supports the exchange of American and German young people in order to sustain and strengthen German-American friendship based on common values of democracy, and to convey lasting personal and institutional relationships to the successor generation. The primary objective of the program is to encourage American and German youth to learn about each other's society and culture through educational exchange. Additional goals for this competition include a renewed effort to promote the participants' roles as young ambassadors and the impact they can have on US-German relations, and to strengthen the linkages between U.S. Representatives and their Bundestag counterparts. The program provides a full scholarship for an academic year experience of living and studying in the host country. The Department of State, Bureau of Educational and Cultural Affairs administers the CBYX program in the United States. The program is known in Germany as the Parlamentarisches Patenschafts-Program (PPP), and is administered by the German Bundestag Administrative Office (WI4). Inaugurated in 1983 through a bilateral agreement between the U.S. Congress and the German Bundestag, each government provides funding to exchange organizations through assistance awards for the costs of participant recruitment and selection, international airfare, orientation and debriefing, and hosting support for the respective exchange participants. The U.S.-German agreement calls for an open grants competition every four years, and WI4 is holding a simultaneous open competition to select the German counterpart organizations that will manage the program in Germany. Up to five German high school exchange organizations will be partnered with five American high school exchange organizations, and one German vocational and one German young professionals exchange organization will be paired with American exchange organizations. Within the proposal narrative organizations should name their intended German partner organization and provide pertinent institutional background and support materials as appropriate, and demonstrate your ability to cooperate with foreign partners in implementing exchanges. Pending the availability of funds, organizations that are successful in this competition will be awarded grants in FY2009 for academic year 2009-10. Pending successful implementation of this program and the availability of funds in subsequent fiscal years, it is ECA's intent to renew the grants for three additional fiscal years before openly competing them again. All grants will be subject to availability of funds. Please note: At the time of publication, funds have not been appropriated to support this program. As is the case with all Bureau assistance awards, final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal Bureau procedures. According to the agreement between the State Department and the Bundestag WI4, the maximum number of participants to be exchanged in any given year is 400 Germans and 400 Americans. However, the actual number of participants exchanged each year is dependent on the amount of funding made available by the U.S. Congress and the German Bundestag. Though Congress has not yet determined the budget level for FY2009, the competition for program year 2009-10 will be based on *up to* 350 American and 360 German participants. Throughout the four-year grant cycle, representatives of both governments and the respective grantee organizations will *hold annual discussions to determine the final participant numbers for each academic year.* Participants are chosen according to procedures and criteria established by each government. In the U.S. the CBYX program has three components. 1. *High School Component:* In FY 2009 this component may provide a maximum of 250 (50 per each organization) scholarships for a one-year educational and cultural homestay experience in Germany for American high school students ages 15-18, and reciprocally, host a maximum of 285 (57 per each organization) German students in the U.S. High school exchange organizations are invited to bid on conducting merit-based competitions among American high school students in one or more of five designated regions of the United States, as follows: *Northeast:* Maine, New Hampshire, Vermont, Massachusetts, Rhode Island, Connecticut, New York, New Jersey, Ohio, Pennsylvania, Washington, DC, Delaware, Maryland. *Southeast:* Arkansas, Louisiana, Mississippi, Alabama, Kentucky, Tennessee, Virginia, West Virginia, North Carolina, South Carolina, Georgia, Florida, Puerto Rico. *Central States:* Indiana, Illinois, Michigan, Minnesota, Wisconsin, Iowa, Missouri, Nebraska. *Southwest:* Kansas, Texas, Oklahoma, Colorado, New Mexico, Utah, Arizona, Southern California* (*the northern border of this region includes the counties of Monterey, San Benito, Fresno, and Inyo). *Pacific/Northwest:* Alaska, Hawaii, Washington, Oregon, Idaho, Montana, Wyoming, Nevada, North Dakota, South Dakota, Northern California* (*the southern border of this region includes the counties of Santa Cruz, Santa Clara, Merced, Madera, and Mono). American high school exchange organizations may bid on more than one region, indicating the most preferred region(s) in priority order. Five organizations will be selected to conduct all aspects of the recruitment and selection of 50 American participants in one of the five regions. In coordination with its German partner organization, high school organizations will program 50 American and 57 German students. German students may be placed in host homes and schools throughout the U.S. Organizations that are awarded a grant will conduct advertising, recruitment, processing of applications, screening, selection, pre-departure, arrival, and re-entry orientations, and management of all administrative and logistical matters including domestic and international travel. In the host country, American and German partner organizations will coordinate arrival and re-entry orientation for the respective exchange students, placement of the students in host families and schools (nationwide), arrange program enrichment activities, conduct the recruitment, screening, including criminal background checks, selection and orientation of host-families, provide program monitoring, supervision and counseling to students and host families, and manage all administrative and logistical matters including in-country travel and health and accident insurance. For the German participants grantee organizations should secure all host family and school placements at least two weeks prior to the German students' arrival in the United States. Organizations will be required to submit to the program office a list of these placements (host families, host schools, and corresponding Congressional representatives/districts) no later than August 31 and periodically update the information throughout the year. Grantee organizations will submit to the Department of State program office, at least 60 days after departure/arrival data lists of all current American participants with U.S. addresses, names of parents and corresponding Congressional representatives/districts. 2. *Vocational Component:* This component provides scholarships to graduating American high-school seniors with a vocational specialization for a one-year professional study and training experience in their fields of interest in Germany. One organization will be selected to conduct all aspects of the nationwide selection competition in the U.S. for 25 American students and programming, including advertising, recruitment, processing of applications, screening, selection, pre-departure orientations, and management of all administrative and logistical matters including domestic and international travel. (During the selection process the grantee is encouraged to work with vocational educational offices at the state level, as well as administrators of secondary schools with vocational education curriculum.) The German partner organization chosen by the Bundestag Administrative Office will coordinate arrival and re-entry orientation for the students and their placement in host families and schools, arrange a practicum in the participants' field of study, arrange program enrichment activities, and conduct the recruitment, screening, selection and orientation of host families, provide program monitoring, supervision and counseling to students and host families, and manage all administrative and logistical matters including in-country travel and health and accident insurance. The vocational grantee organization will submit to the Department of State program office, at least 60 days after departure/arrival a data list of all current American participants with U.S. addresses, names of parents and corresponding Congressional representatives/districts. 3. *Young Professionals Component:* This component provides scholarships for a one-year professional study and training experience in the host country in business, technical, vocational, and agricultural fields to young American and German students ages 18-24. One organization will be selected to conduct all aspects of programming for 75 American and 75 German Young Professionals, including the nationwide competition for the Americans and placement of the German students in American homes and schools, advertising, recruitment, processing of applications, screening, selection and pre-departure orientations and debriefings, and management of all administrative and logistical matters including domestic and international travel. In the host country, the American and German partner organization will coordinate arrival and re-entry orientation for the students, the placement of the students in host families (or other suitable living quarters) and schools (colleges/universities), arrange a practicum in the participants' field of study, arrange program enrichment activities, and conduct the recruitment, screening, selection and orientation of host families, provide program monitoring, supervision and counseling to students and host families, and manage all administrative and logistical matters including in-country travel and health and accident insurance. In the United States, each German young professional participant will be placed in a two-or four-year college for one semester of full-time study or a minimum of 12 credit hours (which may include an English class) throughout the academic year. The organization is encouraged to seek tuition waivers and cost sharing with cooperating colleges. The organization will coordinate with each participant to assure that his/her practicum is based on a prospectus of the specific skills and functions that will be mastered and that there is a structured learning component that enables the participant to gain a perspective on the overall operation of the business. The selected organization will also coordinate a six-week Congressional internship on Capitol Hill or in the state office for up to five German young professionals. A monthly stipend for some meals, incidentals and reasonable local transportation expenses may be included in the budget, but it is anticipated that the stipend would be substantially reduced or eliminated during the second half of the program when the participants receive allowances for living expenses from the firms or agencies hosting their practicum. The current stipend range is $250 to $300 per the regional cost of living. Where possible, hosting arrangements should be found that do not require subsidization. The selected young professionals organization will be required to submit to the program office a list of the German placements in the United States (host homes and host schools and corresponding Congressional representatives/districts) no later than August 31, and periodically update the information throughout the year. The young professionals organization will submit to the Department of State program office, at least 60 days after departure/arrival data lists of all current American participants with U.S. addresses, names of parents and corresponding Congressional representatives/districts. 4. *Administrative Supplementals:* The administrative supplemental will provide funds to:
(1)One high school organization to produce and distribute the high school scholarship promotional materials and maintain the CBYX High School Scholarship application Web site, and
(2)One organization from either of the three components to maintain the Congress-Bundestag Alumni Database Web site for all CBYX participants. High School Scholarship Materials and Web Site In addition to the 20-page program narrative, interested high school organizations may submit a bid to produce and distribute the high school scholarship promotional materials and maintain the High School scholarship application Web site. The narrative for the supplemental should not exceed three pages and include a separate budget projection. For budget/line-item details please see the Project Objectives, Goals, and Implementation (POGI). The supplemental funds will be included in the final grant agreement and listed as a separate item of expenditure. The Bureau anticipates funding this activity at a level of approximately $53,200, pending availability of funds. The selected high school “administrative” organization will coordinate with all of the high school grantee organizations data/input for production of the promotional materials. Once the input is finalized the administrative organization will mass produce and distribute the materials to the high school organizations. This includes advertisement brochures, posters, and scholarship applications for recruiting American high school students, and set up/maintenance of the scholarship application Web site. The Web site advertises the same printed promotional materials and allows interested students to download applications and submit them to the respective high school organization responsible for recruiting in the students' home state. Once the high school grantee organizations receive the promotional materials from the administrative organization they will distribute the materials to a wide audience within their appointed region, including public and private secondary schools, the media, and key networks such as the American Association of Teachers of German. (Innovative methods of publicizing the program are welcome, within funding limitations. Organizations are encouraged to utilize their volunteer networks and alumni to promote the program.) Alumni Database Web Site In addition to the 20-page program narrative, interested organizations from either of the three components may submit a bid to set up and maintain the CBYX Alumni Database Web site. The narrative for the supplemental should not exceed three pages and include a separate budget projection. For budget/line-item details please see the Project Objectives, Goals, and Implementation (POGI). The supplemental funds will be included in the final grant agreement and listed as a separate item of expenditure. The Bureau anticipates funding this activity at a level of approximately $10,000, pending availability of funds. The organization selected to maintain the Congress-Bundestag Alumni Database Web site for all CBYX participants will set up and maintain a Web-based listing of CBYX participants designed to centrally harness alumni and encourage activities beyond their participation in the program. The organization select for this supplemental will coordinate participant/alumni lists will all CBYX organizations to assure students' eligibility and accuracy. II. Award Information *Type of Award:* Grant Agreement. *Fiscal Year Funds:* FY-2009. *Approximate Total Funding:* Unknown at this time, *pending* a FY-2009 *Congressional Appropriation* . However, for proposal development purposes, the total FY-2007 funding level was $3,256,000. *Approximate Number of Awards:* 7 (5 High School Component, 1 Young Professionals Component, 1 Vocational Component). *Approximate Average Award:* Unknown at this time, pending a FY-2009 Congressional Appropriation. *Anticipated Award Date:* January 2010. *Anticipated Project Completion Date:* August 2011. *Additional Information:* Final funding will be pending a FY 2009 Congressional Appropriation. However, for illustrative purposes, the current average per capita costs for each program component are: $4,545 for the high school component, $5,698 for the young professionals component, and $3,900 for the vocational component. Applicants' budget submissions should be realistic and reflect anticipated actual costs required to implement the program(s) and the varying costs specific to the German participants' hosting needs, and the American participants' programming needs. Budget submissions under this RFGP may be subject to renegotiation. The Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program and the availability of funds. Budgets should be prepared according to Tab D of the Proposal Submission Instructions (PSI). You may delete or modify line items according to program and administrative needs as described in the proposal narrative. Please include budget notes, as appropriate. High school organizations should prepare a budget to recruit/program 50 Americans and host 57 Germans; vocational organizations should prepare a budget to recruit/program 25 Americans; young professionals organizations should prepare a budget to recruit/program 75 Americans and 75 Germans. III. Eligibility Information III.1. Eligible Applicants Applications may be submitted by public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 U.S.C. 501(c)(3). III.2. Cost Sharing or Matching Funds There is no minimum or maximum percentage required for this competition. However, the Bureau encourages applicants to provide maximum levels of cost sharing and funding in support of its programs. When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved grant agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability, you must maintain written records to support all costs which are claimed as your contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with OMB Circular A-110, (Revised), Subpart C.23—Cost Sharing and Matching. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ECA's contribution will be reduced in like proportion. III.3. Other Eligibility Requirements Grants awarded to eligible organizations with less than four years of experience in conducting international exchange programs will be limited to $60,000. IV. Application and Submission Information Note: Please read the complete announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. IV.1. Contact Information To Request an Application Package Please contact the *Office of Citizen Exchanges, Youth Programs Division, ECA/PE/C/PY, Room 568* , U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547,
(202)203-7527 and
(202)203-7529, *jonessa1@state.gov* to request a Solicitation Package. Please refer to the Funding Opportunity Number ECA/PE/C/PY-08-08 when making your request. Alternatively, an electronic application package may be obtained from grants.gov. Please see section IV.3f for further information. The Solicitation Package contains the Proposal Submission Instruction
(PSI)document which consists of required application forms, and standard guidelines for proposal preparation. It also contains the Project Objectives, Goals and Implementation
(POGI)document, which provides specific information, award criteria and budget instructions tailored to this competition. Please specify *Bureau Program Officer Shalita Jones* and refer to the Funding Opportunity Number ECA/PE/C/PY-08-08 located at the top of this announcement on all other inquiries and correspondence. IV.2. To Download a Solicitation Package Via Internet The entire Solicitation Package may be downloaded from the Bureau's Web site at *http://exchanges.state.gov/education/rfgps/menu.htm* , or from the Grants.gov Web site at *http://www.grants.gov.* Please read all information before downloading. IV.3. Content and Form of Submission Applicants must follow all instructions in the Solicitation Package. The application should be submitted per the instructions under IV.3f. “Application Deadline and Methods of Submission” section below. IV.3a. You are required to have a Dun and Bradstreet Data Universal Numbering System
(DUNS)number to apply for a grant or cooperative agreement from the U.S. Government. This number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access *http://www.dunandbradstreet.com* or call 1-866-705-5711. Please ensure that your DUNS number is included in the appropriate box of the SF-424 which is part of the formal application package. IV.3b. All proposals must contain an executive summary, proposal narrative and budget. Please Refer to the Solicitation Package. It contains the mandatory Proposal Submission Instructions
(PSI)document for additional formatting and technical requirements. IV.3c. You must have nonprofit status with the IRS at the time of application. If your organization is a private nonprofit which has not received a grant or cooperative agreement from ECA in the past three years, or if your organization received nonprofit status from the IRS within the past four years, you must submit the necessary documentation to verify nonprofit status as directed in the PSI document. Failure to do so will cause your proposal to be declared technically ineligible. IV.3d. Please take into consideration the following information when preparing your proposal narrative: IV.3d.1. Adherence to All Regulations Governing the J Visa The Office of Citizen Exchanges of the Bureau of Educational and Cultural Affairs is the official program sponsor of the exchange program covered by this RFGP, and an employee of the Bureau will be the “Responsible Officer” for the program under the terms of 22 CFR part 62, which covers the administration of the Exchange Visitor Program (J visa program). Under the terms of 22 CFR part 62, organizations receiving grants under this RFGP will be third parties “cooperating with or assisting the sponsor in the conduct of the sponsor's program.” The actions of grantee program organizations shall be “imputed to the sponsor in evaluating the sponsor's compliance with” 22 CFR part 62. Therefore, the Bureau expects that any organization receiving a grant under this competition will render all assistance necessary to enable the Bureau to fully comply with 22 CFR part 62, *et seq.* The Bureau of Educational and Cultural Affairs places great emphasis on the secure and proper administration of Exchange Visitor (J visa) Programs and adherence by grantee program organizations and program participants to all regulations governing the J visa program status. Therefore, proposals should *explicitly state in writing* that the applicant is prepared to assist the Bureau in meeting all requirements governing the administration of Exchange Visitor Programs as set forth in 22 CFR part 62. If your organization has experience as a designated Exchange Visitor Program Sponsor, the applicant should discuss their record of compliance with 22 CFR part 62, *et seq.* , including the oversight of their Responsible Officers and Alternate Responsible Officers, screening and selection of program participants, provision of pre-arrival information and orientation to participants, monitoring of participants, proper maintenance and security of forms, recordkeeping, reporting and other requirements. The Office of Citizen Exchanges of ECA will be responsible for issuing DS-2019 forms to participants in this program. A copy of the complete regulations governing the administration of Exchange Visitor
(J)programs is available at *#http://exchanges.state.gov* or from: United States Department of State, Office of Exchange Coordination and Designation, ECA/EC/ECD-SA-44, Room 734, 301 4th Street, SW., Washington, DC 20547, Telephone:
(202)203-5029, FAX:
(202)453-8640. IV.3d.2. Diversity, Freedom and Democracy Guidelines Pursuant to the Bureau's authorizing legislation, programs must maintain a non-political character and should be balanced and representative of the diversity of American political, social, and cultural life. “Diversity” should be interpreted in the broadest sense and encompass differences including, but not limited to ethnicity, race, gender, religion, geographic location, socio-economic status, and disabilities. Applicants are strongly encouraged to adhere to the advancement of this principle both in program administration and in program content. Please refer to the review criteria under the 'Support for Diversity' section for specific suggestions on incorporating diversity into your proposal. Public Law 104-319 provides that “in carrying out programs of educational and cultural exchange in countries whose people do not fully enjoy freedom and democracy,” the Bureau “shall take appropriate steps to provide opportunities for participation in such programs to human rights and democracy leaders of such countries.” Public Law 106-113 requires that the governments of the countries described above do not have inappropriate influence in the selection process. Proposals should reflect advancement of these goals in their program contents, to the full extent deemed feasible. IV.3d.3. Program Monitoring and Evaluation Proposals must include a plan to monitor and evaluate the project's success, both as the activities unfold and at the end of the program. The Bureau recommends that your proposal include a draft survey questionnaire or other technique plus a description of a methodology to use to link outcomes to original project objectives. The Bureau expects that the grantee will track participants or partners and be able to respond to key evaluation questions, including satisfaction with the program, learning as a result of the program, changes in behavior as a result of the program, and effects of the program on institutions (institutions in which participants work or partner institutions). The evaluation plan should include indicators that measure gains in mutual understanding as well as substantive knowledge. Successful monitoring and evaluation depend heavily on setting clear goals and outcomes at the outset of a program. Your evaluation plan should include a description of your project's objectives, your anticipated project outcomes, and how and when you intend to measure these outcomes (performance indicators). The more that outcomes are “smart” (specific, measurable, attainable, results-oriented, and placed in a reasonable timeframe), the easier it will be to conduct the evaluation. You should also show how your project objectives link to the goals of the program described in this RFGP. Your monitoring and evaluation plan should clearly distinguish between program *outputs* and *outcomes* . *Outputs* are products and services delivered, often stated as an amount. Output information is important to show the scope or size of project activities, but it cannot substitute for information about progress towards outcomes or the results achieved. Examples of outputs include the number of people trained or the number of seminars conducted. *Outcomes* , in contrast, represent specific results a project is intended to achieve and is usually measured as an extent of change. Findings on outputs and outcomes should both be reported, but the focus should be on outcomes. We encourage you to assess the following four levels of outcomes, as they relate to the program goals set out in the RFGP (listed here in increasing order of importance): 1. Participant satisfaction with the program and exchange experience. 2. Participant learning, such as increased knowledge, aptitude, skills, and changed understanding and attitude. Learning includes both substantive (subject-specific) learning and mutual understanding. 3. Participant behavior, concrete actions to apply knowledge in work or community; greater participation and responsibility in civic organizations; interpretation and explanation of experiences and new knowledge gained; continued contacts between participants, community members, and others. 4. Institutional changes, such as increased collaboration and partnerships, policy reforms, new programming, and organizational improvements. Please note: Consideration should be given to the appropriate timing of data collection for each level of outcome. For example, satisfaction is usually captured as a short-term outcome, whereas behavior and institutional changes are normally considered longer-term outcomes. Overall, the quality of your monitoring and evaluation plan will be judged on how well it
(1)specifies intended outcomes;
(2)gives clear descriptions of how each outcome will be measured;
(3)identifies when particular outcomes will be measured; and
(4)provides a clear description of the data collection strategies for each outcome (i.e., surveys, interviews, or focus groups). (Please note that evaluation plans that deal only with the first level of outcomes [satisfaction] will be deemed less competitive under the present evaluation criteria.) Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. IV.3e. Please take the following information into consideration when preparing your budget: IV.3e.1. Applicants must submit a comprehensive budget projection for the entire program. There must be a summary budget as well as breakdowns reflecting both administrative and program budgets. Applicants may provide separate sub-budgets for each program component, phase, location, or activity to provide clarification. IV.3e.2. Please refer to the Solicitation Package for allowable costs, complete budget guidelines and formatting instructions. Note: Final budgets will be solicited from the selected grantees for FY 2009 (academic year 2009-10) no later than fall 2009. IV.3f. Application Deadline and Methods of Submission *Application Deadline Date:* November 8, 2007. *Reference Number:* ECA/PE/C/PY-08-08. *Methods of Submission:* Applications may be submitted in one of two ways:
(1)In hard-copy, via a nationally recognized overnight delivery service (i.e., DHL, Federal Express, UPS, Airborne Express, or U.S. Postal Service Express Overnight Mail, etc.), or
(2)Electronically through *http://www.grants.gov* . Along with the Project Title, all applicants must enter the above Reference Number in Box 11 on the SF-424 contained in the mandatory Proposal Submission Instructions
(PSI)of the solicitation document. IV.3f.1. Submitting Printed Applications Applications must be shipped no later than the above deadline. Delivery services used by applicants must have in-place, centralized shipping identification and tracking systems that may be accessed via the Internet and delivery people who are identifiable by commonly recognized uniforms and delivery vehicles. Proposals shipped on or before the above deadline but received at ECA more than seven days after the deadline will be ineligible for further consideration under this competition. Proposals shipped after the established deadlines are ineligible for consideration under this competition. ECA will *not* notify you upon receipt of application. It is each applicant's responsibility to ensure that each package is marked with a legible tracking number and to monitor/confirm delivery to ECA via the Internet. Delivery of proposal packages *may not* be made via local courier service or in person for this competition. Faxed documents will not be accepted at any time. Only proposals submitted as stated above will be considered. Important note: When preparing your submission please make sure to include one extra copy of the completed SF-424 form and place it in an envelope addressed to “ECA/EX/PM”. The original and 8 copies of the application should be sent to: U.S. Department of State, SA-44, Bureau of Educational and Cultural Affairs, *Ref.:* ECA/PE/C/PY-08-08, Program Management, ECA/EX/PM, Room 534, 301 4th Street, SW., Washington, DC 20547. Applicants submitting hard-copy applications must also submit the “Executive Summary” and “Proposal Narrative” sections of the proposal in text (.txt) or Microsoft Word format on a PC-formatted disk. The Bureau will provide these files electronically to the appropriate Public Affairs Section(s) at the U.S. Embassy for its review. IV.3f.2. Submitting Electronic Applications Applicants have the option of submitting proposals electronically through Grants.gov ( *http://www.grants.gov* ). Complete solicitation packages are available at Grants.gov in the “Find” portion of the system. Please follow the instructions available in the ‘Get Started' portion of the site ( *http://www.grants.gov/GetStarted* ). Several of the steps in the Grants.gov registration process could take several weeks. Therefore, applicants should check with appropriate staff within their organizations immediately after reviewing this RFGP to confirm or determine their registration status with Grants.gov. Once registered, the amount of time it can take to upload an application will vary depending on a variety of factors including the size of the application and the speed of your internet connection. Therefore, we strongly recommend that you not wait until the application deadline to begin the submission process through Grants.gov. Direct all questions regarding Grants.gov registration and submission to: Grants.gov Customer Support, Contact Center Phone: 800-518-4726, Business Hours: Monday-Friday, 7 a.m.-9 p.m. Eastern Time, E-mail: *support@grants.gov.* Applicants have until midnight (12 a.m.), Washington, DC time of the closing date to ensure that their entire application has been uploaded to the Grants.gov site. There are no exceptions to the above deadline. Applications uploaded to the site after midnight of the application deadline date will be automatically rejected by the grants.gov system, and will be technically ineligible. Applicants will receive a confirmation e-mail from grants.gov upon the successful submission of an application. ECA will not notify you upon receipt of electronic applications. It is the responsibility of all applicants submitting proposals via the Grants.gov web portal to ensure that proposals have been received by Grants.gov in their entirety, and ECA bears no responsibility for data errors resulting from transmission or conversion processes. IV.3g. Intergovernmental Review of Applications: Executive Order 12372 does not apply to this program. V. Application Review Information V.1. Review Process The Bureau will review all proposals for technical eligibility. Proposals will be deemed ineligible if they do not fully adhere to the guidelines stated herein and in the Solicitation Package. All eligible proposals will be reviewed by the program office, as well as the Public Diplomacy section overseas, where appropriate. Eligible proposals will be subject to compliance with Federal and Bureau regulations and guidelines and forwarded to Bureau grant panels for advisory review. Proposals may also be reviewed by the Office of the Legal Adviser or by other Department elements. Final funding decisions are at the discretion of the Department of State's Assistant Secretary for Educational and Cultural Affairs. Final technical authority for grants resides with the Bureau's Grants Officer. Review Criteria Technically eligible applications will be competitively reviewed according to the criteria stated below. These criteria are not rank ordered and all carry equal weight in the proposal evaluation: 1. *Quality of the Program Idea:* Proposals should exhibit originality, substance, precision, and relevance to the Bureau's mission. 2. *Program Planning:* Detailed agenda and relevant work plan should demonstrate substantive undertakings and logistical capacity. Agenda and plan should adhere to the program overview and guidelines described above. 3. *Ability To Achieve Program Objectives:* Objectives should be reasonable, feasible, and flexible. Proposals should clearly demonstrate how the institution will meet the program's objectives and plan. 4. *Multiplier Effect/Impact:* Proposed programs should strengthen long-term mutual understanding, including maximum sharing of information and establishment of long-term institutional and individual linkages. 5. *Support of Diversity:* Proposals should demonstrate substantive support of the Bureau's policy on diversity. Achievable and relevant features should be cited in both program administration (selection of participants, program venue and program evaluation) and program content (orientation and wrap-up sessions, program meetings, resource materials and follow-up activities). 6. *Institutional Capacity:* Proposed personnel and institutional resources should be adequate and appropriate to achieve the program or project's goals. 7. *Institution's Record/Ability:* Proposals should demonstrate an institutional record of successful exchange programs, including responsible fiscal management and full compliance with all reporting requirements for past Bureau grants as determined by Bureau Grants Staff. The Bureau will consider the past performance of prior recipients and the demonstrated potential of new applicants. 8. *Follow-on Activities:* Proposals should provide a plan for continued follow-on activity (without Bureau support) ensuring that Bureau supported programs are not isolated events. 9. *Project Evaluation:* Proposals should include a plan to evaluate the activity's success, both as the activities unfold and at the end of the program. A draft survey questionnaire or other technique plus description of a methodology to use to link outcomes to original project objectives is recommended. 10. *Cost-effectiveness:* The overhead and administrative components of the proposal, including salaries and honoraria, should be kept as low as possible. All other items should be necessary and appropriate. 11. *Cost-sharing:* Proposals should maximize cost-sharing through other private sector support as well as institutional direct funding contributions. 12. *Value to U.S.-Partner Country Relations:* Proposed projects should receive positive assessments by the U.S. Department of State's geographic area desk and overseas officers of program need, potential impact, and significance in the partner country(ies). VI. Award Administration Information VI.1a. Award Notices Final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal Bureau procedures. Successful applicants will receive an Assistance Award Document
(AAD)from the Bureau's Grants Office. The AAD and the original grant proposal with subsequent modifications (if applicable) shall be the only binding authorizing document between the recipient and the U.S. Government. The AAD will be signed by an authorized Grants Officer, and mailed to the recipient's responsible officer identified in the application. Unsuccessful applicants will receive notification of the results of the application review from the ECA program office coordinating this competition. VI.2. Administrative and National Policy Requirements Terms and Conditions for the Administration of ECA agreements include the following: Office of Management and Budget Circular A-122, “Cost Principles for Nonprofit Organizations.” Office of Management and Budget Circular A-21, “Cost Principles for Educational Institutions.” OMB Circular A-87, “Cost Principles for State, Local and Indian Governments”. OMB Circular No. A-110 (Revised), Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Nonprofit Organizations. OMB Circular No. A-102, Uniform Administrative Requirements for Grants-in-Aid to State and Local Governments. OMB Circular No. A-133, Audits of States, Local Government, and Non-profit Organizations Please reference the following Web sites for additional information: *http://www.whitehouse.gov/omb/grants. http://exchanges.state.gov/education/grantsdiv/terms.htm #articleI.* VI.3. Reporting Requirements You must provided ECA with a hard copy original plus one of the following reports: Mandatory:
(1)A final program and financial report no more than 90 days after the expiration of the award;
(2)Quarterly program and financial reports which should include a narrative of program activities and financial expenditures according to the proposed time line within the specified quarter, as well as issues that may have arisen and how they were handled, lessons learned, etc., (see POGI for more details). Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. (Please refer to IV. Application and Submission Instructions (IV.3.d.3) above for Program Monitoring and Evaluation information. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. All reports must be sent to the ECA Grants Officer and ECA Program Officer listed in the final assistance award document. Reports may also be sent electronically to *reports@state.gov* and copied the program officer. VII. Agency Contacts For questions about this announcement, contact Shalita Jones, Program Officer, Office of Citizen Exchanges, ECA/PE/C/PY, Room 568, ECA/PE/C/PY-08-08, U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547, telephone
(202)203-7507 and fax number
(202)203-7529, *jonessa1@state.gov.* All correspondence with the Bureau concerning this RFGP should reference the above title and number ECA/PE/C/PY-08-08. Please read the complete announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. VIII. Other Information Notice The terms and conditions published in this RFGP are binding and may not be modified by any Bureau representative. Explanatory information provided by the Bureau that contradicts published language will not be binding. Issuance of the RFGP does not constitute an award commitment on the part of the Government. The Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program and the availability of funds. Awards made will be subject to periodic reporting and evaluation requirements per section VI.3 above. Dated: September 27, 2007. C. Miller Crouch, Acting Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E7-19642 Filed 10-3-07; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF TRANSPORTATION National Highway Traffic Safety Administration [Docket No. NHTSA-2007-28734; Notice 1] DaimlerChrysler Corporation, Receipt of Petition for Decision of Inconsequential Noncompliance DaimlerChrysler Corporation
(DCC)has determined that certain model year 2007 motor vehicles that it produced between May 8, 2006 and March 16, 2007 do not comply with paragraph S4.3(d) of 49 CFR 571.110, Federal Motor Vehicle Safety Standard (FMVSS) No. 110, *Tire Selection and Rims for Motor Vehicles With a GVWR of 4,536 Kilograms (10,000 pounds) or Less.* DCC has filed an appropriate report pursuant to 49 CFR Part 573, *Defect and Noncompliance Responsibility and Reports.* Pursuant to 49 U.S.C. 30118(d) and 30120(h), DCC has petitioned for an exemption from the notification and remedy requirements of 49 U.S.C. Chapter 301 on the basis that this noncompliance is inconsequential to motor vehicle safety. This notice of receipt of DCC's petition is published under 49 U.S.C. 30118 and 30120 and does not represent any agency decision or other exercise of judgment concerning the merits of the petition. Affected are a total of approximately 3,037 model year 2007 Dodge Dakota (Dakota) pickup trucks produced between May 8, 2006 and March 16, 2007. Paragraph S4.3(d) of FMVSS No. 110 requires: Vehicles S4.3 Placard. Each vehicle, except for a trailer or incomplete vehicle, shall show the information specified in S4.3(a) through (g),* * *
(d)Tire size designation, indicated by the headings “size” or “original tire size” or “original size,” and “spare tire” or “spare,” for the tires installed at the time of the first purchase for purposes other than resale. For full size spare tires, the statement “see above” may, at the manufacturer's option replace the tire size designation. If no spare tire is provided, the word “none” must replace the tire size designation;* * * By way of background, DCC explains that model year 2006 Dakotas were equipped with five P265/65R17 tires—the four tires installed on the vehicle at time of sale and the spare tire. The vehicle placard on the 2006 model year Dakota accurately reflected the sizes of the tires. DCC further explained that they decided to equip the subsequent model year 2007 Dakota with P265/60R18 tires. However, prior to the actual launch of the MY 2007 vehicles, DCC discovered that a P265/60R18 tire would not fit properly in the spare tire location on the vehicle. Therefore, DCC decided to retain the P265/65R17 tire as the spare tire, while going forward with the decision to use P265/60R18 tires as in-service original equipment. Unfortunately, the vehicle placards affixed to the subject model year 2007 Dakotas were not revised to reflect the decision to use the P265/65R17 spare tire, therefore the vehicles do not comply with S4.3(d). DCC argues that the noncompliance, the erroneous designation of the size of the spare tire on the vehicle placard, does not have any adverse safety impact. In DCC's estimation, the P265/60R18 tire and the P265/65R17 tire are equivalent. They support this estimation by stating that the recommended cold tire inflation pressure specified on the vehicle placard—240 kPa (35 psi)—is appropriate for either P265/60R18 or P265/65R17 tires when mounted for service on the Dakota, and that the *Tire & Rim Association Handbook* confirms that the P265/65R17 spare tire supplied with the vehicles can carry more weight at 35 psi (2,124 pounds) than the P265/ 60R18 tire referred to on the erroneous vehicle placard (2,064 pounds). DCC states that all other information provided on the 2007 Dakota vehicle placard is correct. In summation, DCC states that it has corrected the problem that caused these errors so that they will not be repeated in future production and that it believes that because the noncompliance is inconsequential to motor vehicle safety that no corrective action is warranted. Interested persons are invited to submit written data, views, and arguments on this petition. Comments must refer to the docket and notice number cited at the beginning of this notice and be submitted by any of the following methods: a. *By mail addressed to:* U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. b. *By hand delivery:* U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. The Docket Section is open on weekdays from 10 a.m. to 5 p.m. except Federal Holidays. c. *Electronically:* until September 29, 2007, by logging onto the DOT Docket Management System Web site at *http://dms.dot.gov;* after September 28, 2007, by logging onto the Federal Docket Management System Web site at *http://www.regulations.gov/.* Follow the online instructions for submitting comments. Comments may also be faxed to 1-202-493-2251. The petition, supporting materials, and all comments received before the close of business on the closing date indicated below will be filed and will be considered. All comments and supporting materials received after the closing date will also be filed and will be considered to the extent possible. When the petition is granted or denied, notice of the decision will be published in the **Federal Register** pursuant to the authority indicated below. *Comment closing date:* November 5, 2007. Authority: 49 U.S.C. 30118, 30120: delegations of authority at CFR 1.50 and 501.8. Issued on: September 27, 2007. Claude H. Harris, Director, Office of Vehicle Safety Compliance. [FR Doc. E7-19602 Filed 10-3-07; 8:45 am] BILLING CODE 4910-59-P DEPARTMENT OF TRANSPORTATION National Highway Traffic Safety Administration [Docket No. NHTSA-2007-28769; Notice 1] Ford Motor Company, Receipt of Petition for Decision of Inconsequential Noncompliance Ford Motor Company
(Ford)has determined that certain motor vehicle replacement equipment that it sold prior to May 17, 2007 did not comply with paragraphs S4.1(k) and S4.1(l) of 49 CFR 571.209, Federal Motor Vehicle Safety Standard (FMVSS) No. 209 *Seat Belt Assemblies.* FORD has filed an appropriate report pursuant to 49 CFR part 573, *Defect and Noncompliance Responsibility and Reports.* Pursuant to 49 U.S.C. 30118(d) and 30120(h), FORD has petitioned for an exemption from the notification and remedy requirements of 49 U.S.C. Chapter 301 on the basis that this noncompliance is inconsequential to motor vehicle safety. This notice of receipt of FORD's petition is published under 49 U.S.C. 30118 and 30120 and does not represent any agency decision or other exercise of judgment concerning the merits of the petition. Affected are approximately 180,603 seat belt replacement assemblies for 2000-2004 model year Ford Focus passenger cars and 191,352 service seat belt assemblies for 2001-2004 model year Ford Escape multipurpose passenger vehicles. The assemblies for the Focus passenger cars were sold from July 1999 through May 17, 2007, and the assemblies for the Escape multipurpose passenger vehicles were sold from June 2000 through April 18, 2007. Paragraphs S4.1(k) and S4.1(l) of FMVSS No. 209 require:
(k)Installation instructions. A seat belt assembly, other than a seat belt assembly installed in a motor vehicle by an automobile manufacturer, shall be accompanied by an instruction sheet providing sufficient information for installing the assembly in a motor vehicle. The installation instructions shall state whether the assembly is for universal installation or for installation only in specifically stated motor vehicles, and shall include at least those items specified in SAE Recommended Practice J800c, “Motor Vehicle Seat Belt Installations,” November 1973. If the assembly is for use only in specifically stated motor vehicles, the assembly shall either be permanently and legibly marked or labeled with the following statement, or the instruction sheet shall include the following statement: This seat belt assembly is for use only in [insert specific seating position(s), e.g., “front right”] in [insert specific vehicle make(s) and model(s)].
(l)Usage and maintenance instructions. A seat belt assembly or retractor shall be accompanied by written instructions for the proper use of the assembly, stressing particularly the importance of wearing the assembly snugly and properly located on the body, and on the maintenance of the assembly and periodic inspection of all components. The instructions shall show the proper manner of threading webbing in the hardware of seat belt assemblies in which the webbing is not permanently fastened. Instructions for a nonlocking retractor shall include a caution that the webbing must be fully extended from the retractor during use of the seat belt assembly unless the retractor is attached to the free end of webbing which is not subjected to any tension during restraint of an occupant by the assembly. Instructions for Type 2a shoulder belt shall include a warning that the shoulder belt is not to be used without a lap belt. Ford explains that the subject seat belt assemblies were sold in the United States and federalized territories without the installation, usage, and maintenance instructions required by paragraphs in S4.1(k) and S4.1(l) of FMVSS 209. Ford makes the argument that the service seat belt assemblies in question are only made available to Ford authorized dealerships for their use or subsequent resale and that the Ford parts ordering process used by Ford dealers clearly identifies the correct service part required by model year, model, and seating position. By way of example, Ford further explains that an order for a driver's-side front buckle assembly for a 2002 model year Focus would be filled by the components specifically designed to be installed in that particular position in that specific vehicle. This is because Ford's service seat belt assemblies are designed to be installed properly only in their intended application. Ford additionally states that technicians at Ford dealerships that replace seat belts have access to the installation instruction information available in workshop manuals. Installers other than Ford dealership technicians also have seat belt installation information available because all workshop manual information, including seat belt replacement information, is made available to the general public on the Ford Motorcraft Web site and through aftermarket service information compilers such as Mitchell and Alldata. Ford additionally argues that a significant portion of paragraph S4.1(k) appears to address a concern with proper installation of aftermarket seat belts into vehicles that were not originally equipped with these restraints. Ford also notes that SAE J800c which is cited in the regulation involves installation of “universal type seat belt assemblies,” particularly where no seat belt had previously been installed, and that these concerns do not apply to the service seat belts. The vehicles involved in the instant petition have uniquely designed seat belt components and replacement seat belt assemblies are installed into the identical location from which the original parts were removed. Ford also states that proper seat belt usage instructions are clearly laid out in the Owner Guide that is included with each new vehicle. There are no requirements for scheduled maintenance on the seat belt assemblies in the subject vehicles. Information concerning periodic inspection for wear and function of the seat belts, as well as for their proper usage is included in the vehicle Owner Guide and this information applies as equally to service seat belt assemblies as it does to the original equipment belts. All Ford Owner Guides, including those for the 2000-2004 Focus and 2001-2004 Escape, are also available to the public, free of charge on the Ford Motorcraft Web site. Ford is not aware of any customer or field reports of service seat belt assemblies being incorrectly installed in the subject applications as a result of installation instructions not accompanying the service part. Ford also is not aware of any reports requesting installation instructions, which it believes to be indicative of the availability of this information from the sources listed above. In summation, FORD states that it has corrected the problem that caused these errors so that they will not be repeated in future production and that it believes that because the noncompliances are inconsequential to motor vehicle safety that no corrective action is warranted. Interested persons are invited to submit written data, views, and arguments on this petition. Comments must refer to the docket and notice number cited at the beginning of this notice and be submitted by any of the following methods: a. By mail addressed to: U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. b. By hand delivery to U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. The Docket Section is open on weekdays from 10 a.m. to 5 p.m. except Federal Holidays. c. Electronically: Until September 29, 2007, by logging onto the DOT Docket Management System Web site at *http://dms.dot.gov* after September 28, 2007, by logging onto the Federal Docket Management System Web site at *http://www.regulations.gov/* . Follow the online instructions for submitting comments. Comments may also be faxed to 1-202-493-2251. The petition, supporting materials, and all comments received before the close of business on the closing date indicated below will be filed and will be considered. All comments and supporting materials received after the closing date will also be filed and will be considered to the extent possible. When the petition is granted or denied, notice of the decision will be published in the **Federal Register** pursuant to the authority indicated below. *Comment closing date:* November 5, 2007. Authority: 49 U.S.C. 30118, 30120: delegations of authority at CFR 1.50 and 501.8. Issued on: September 27, 2007. Harry Thompson, Acting Director, Office of Vehicle Safety Compliance. [FR Doc. E7-19606 Filed 10-3-07; 8:45 am] BILLING CODE 4910-59-P DEPARTMENT OF TRANSPORTATION National Highway Traffic Safety Administration [Docket No. NHTSA-2007-28735; Notice 1] Mazda North American Operations, Receipt of Petition for Decision of Inconsequential Noncompliance Mazda North American Operations (Mazda) has determined that certain motor vehicle replacement equipment that it delivered prior to June 25, 2007 did not comply with paragraphs S4.1(k) and S4.1(l) of 49 CFR 571.209, Federal Motor Vehicle Safety Standard (FMVSS) No. 209, *Seat Belt Assemblies* . MAZDA has filed an appropriate report pursuant to 49 CFR part 573, *Defect and Noncompliance Responsibility and Reports* . Pursuant to 49 U.S.C. 30118(d) and 30120(h), MAZDA has petitioned for an exemption from the notification and remedy requirements of 49 U.S.C. Chapter 301 on the basis that this noncompliance is inconsequential to motor vehicle safety. This notice of receipt of MAZDA's petition is published under 49 U.S.C. 30118 and 30120 and does not represent any agency decision or other exercise of judgment concerning the merits of the petition. Affected are an unspecified quantity of seat belt replacement assemblies delivered prior to June 25, 2007. Paragraphs S4.1(k) and S4.1(l) of FMVSS No. 209 require:
(k)Installation instructions. A seat belt assembly, other than a seat belt assembly installed in a motor vehicle by an automobile manufacturer, shall be accompanied by an instruction sheet providing sufficient information for installing the assembly in a motor vehicle. The installation instructions shall state whether the assembly is for universal installation or for installation only in specifically stated motor vehicles, and shall include at least those items specified in SAE Recommended Practice J800c, “Motor Vehicle Seat Belt Installations,” November 1973. If the assembly is for use only in specifically stated motor vehicles, the assembly shall either be permanently and legibly marked or labeled with the following statement, or the instruction sheet shall include the following statement: This seat belt assembly is for use only in [insert specific seating position(s), e.g., “front right”] in [insert specific vehicle make(s) and model(s)].
(l)Usage and maintenance instructions. A seat belt assembly or retractor shall be accompanied by written instructions for the proper use of the assembly, stressing particularly the importance of wearing the assembly snugly and properly located on the body, and on the maintenance of the assembly and periodic inspection of all components. The instructions shall show the proper manner of threading webbing in the hardware of seat belt assemblies in which the webbing is not permanently fastened. Instructions for a nonlocking retractor shall include a caution that the webbing must be fully extended from the retractor during use of the seat belt assembly unless the retractor is attached to the free end of webbing which is not subjected to any tension during restraint of an occupant by the assembly. Instructions for Type 2a shoulder belt shall include a warning that the shoulder belt is not to be used without a lap belt. MAZDA explains that three possible situations apply to the subject seat belt replacement assemblies. In the first instance, the seat belt assembly instruction sheets included with the replacement assemblies appropriate for Mazda B-series pickup trucks and Mazda Navajo multipurpose passenger vehicles only identified the assemblies as applicable to the Ford Ranger pickup trucks or Ford Explorer multipurpose passenger vehicles, respectively. Although other information provided was accurate for the Mazda vehicles, the incorrect vehicle reference fails to comply with S4.1(k) of the standard. Second, replacement seat belt assemblies produced for use in the following vehicles did not include either the installation instructions or the instructions for the proper use and maintenance of the replacement seat belt assemblies. This fails to comply with both paragraph S4.1(k) and paragraph S4.1(l) of the standard: 1992-1995 MY Mazda 929, delivered from 1991 to 2007 1990-2002 MY Mazda 626, delivered from 1989 to 2007 1994-1995 MY Mazda MX-3, delivered from 1993 to 2007 1994-2007 MY Mazda MX-5, delivered from 1993 to 2007 1988-1997 MY Mazda MX-6, delivered from 1987 to 2007 1993-1995 MY Mazda RX-7, delivered from 1992 to 2007 1999-2003 MY Mazda Protege, delivered from 1998 to 2007 2001-2008 MY Mazda Tribute, delivered from 2000 to 2007 2004-2007 MY Mazda Mazda6, delivered from 2003 to 2007 2006-2007 MY Mazda 5, delivered from 2005 to 2007 2007 MY Mazda CX-9, delivered from 2006 to 2007 2007 MY Mazda B-Series Truck, delivered from 2006 to 2007 And finally, all remaining replacement seat belt assemblies produced for use in the United States and its territories did not include the instructions for the proper use and maintenance of the replacement seat belt assemblies. This fails to comply with S4.1(l) of the standard. MAZDA makes the argument that the MAZDA parts ordering system used by Mazda dealers clearly identifies the correct service seat belt components for any given model/model year seat position combination. The parts are unique to each belt and are designed to assemble properly only in their intended application. When ordering Mazda replacement seat belt parts, the dealer must refer to the Mazda parts catalog to identify the ordering part number with the information on the specific vehicle model type, location and model year. Each replacement seat belt assembly is packaged individually with a specific part number label to ensure shipping the correct parts. Then, the dealer routinely checks to confirm that the part received matches the one ordered. Given the ordering system and process, the dealers could select, order, and obtain the correct parts. Also, installation instructions for seat belts are readily available in the Mazda workshop manuals and on the Internet. Therefore, the seat belt parts can be successfully installed with the information already available even though installation instructions did not accompany the replacement seat belt assemblies. MAZDA further argues that since the instruction for proper use and maintenance is described in the owner's manual which is installed in the vehicle, incorrect usage and maintenance by the vehicle owner is highly unlikely. MAZDA is not aware of any customer or field reports of service seat belt assemblies being incorrectly installed in the subject applications as a result of installation instructions not accompanying the service part. MAZDA also stated that it is not aware of any reports requesting installation instructions, which it believed to be related to the noncompliances. Upon discovery of the subject noncompliance, MAZDA took action to ensure that all replacement seat belt assemblies shipped in the future are packaged with the required installation instructions. MAZDA has also corrected all the replacement seat belt assemblies in the inventory for shipment to dealers. In summation, MAZDA states that it has corrected the problem that caused these errors so that they will not be repeated in future production and that it believes that because the noncompliances are inconsequential to motor vehicle safety that no corrective action is warranted. Interested persons are invited to submit written data, views, and arguments on this petition. Comments must refer to the docket and notice number cited at the beginning of this notice and be submitted by any of the following methods: a. By mail addressed to: U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. b. By hand delivery to U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. The Docket Section is open on weekdays from 10 am to 5 pm except Federal Holidays. c. Electronically: until September 29, 2007, by logging onto the DOT Docket Management System Web site at *http://dms.dot.gov* ; after September 28, 2007, by logging onto the Federal Docket Management System Web site at *http://www.regulations.gov/* . Follow the online instructions for submitting comments. Comments may also be faxed to 1-202-493-2251. The petition, supporting materials, and all comments received before the close of business on the closing date indicated below will be filed and will be considered. All comments and supporting materials received after the closing date will also be filed and will be considered to the extent possible. When the petition is granted or denied, notice of the decision will be published in the **Federal Register** pursuant to the authority indicated below. *Comment closing date:* November 5, 2007. Authority: 49 U.S.C. 30118, 30120: Delegations of authority at CFR 1.50 and 501.8. Issued on: September 27, 2007. Harry Thompson, Acting Director, Office of Vehicle Safety Compliance. [FR Doc. E7-19604 Filed 10-3-07; 8:45 am] BILLING CODE 4910-59-P DEPARTMENT OF TRANSPORTATION Surface Transportation Board Notice and Request for Comments AGENCY: Surface Transportation Board, Department of Transportation. ACTION: Notice of intent to seek approval of existing collection: Waybill Sample. SUMMARY: As required by the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 *et seq.* (PRA), the Surface Transportation Board (Board) gives notice that it has submitted a request to the Office of Management and Budget
(OMB)for approval of the currently existing collection of Waybill Sample data, which is described in detail below. The Board previously published a notice about these collections in the **Federal Register** on May 21, 2007, at 72 FR 28549. That notice allowed for a 60-day public review and comment period. No comments were received. Comments may now be submitted to OMB concerning
(1)the accuracy of the Board's burden estimates;
(2)ways to enhance the quality, utility, and clarity of the information collected;
(3)ways to minimize the burden of the collection of information on the respondents, including the use of automated collection techniques or other forms of information technology, when appropriate; and
(4)whether this collection of information is necessary for the proper performance of the functions of the Board, including whether the collection has practical utility. Description of Collection *Title:* Waybill Sample. *OMB Control Number:* 2140-00. *STB Form Number:* None. *Type of Review:* Approval of existing collection. *Respondents:* Any regulated railroad that terminated at least 4,500 carloads on its line in any of the three preceding years or that terminated at least 5% of the total revenue carloads that terminated in a particular state. *Number of Respondents:* 64. *Estimated Time per Response:* 75 minutes. *Frequency:* 59 respondents report quarterly; 5 respondents report monthly. *Total Burden Hours (annually including all respondents):* 370 hours. *Total “Non-hour Burden” Cost:* No “non-hour cost” burdens associated with this collection have been identified. *Needs and Uses:* The Surface Transportation Board is, by statute, responsible for the economic regulation of common carrier rail transportation in the United States. Under 49 CFR part 1244, a railroad is required to file carload-Waybill-Sample information (Waybill Sample) for all line-haul revenue waybills terminating on its lines if, in any of the three preceding years, it terminated 4500 or more carloads, or it terminated at least 5% of the total revenue carloads that terminate in a particular state. The information in the Waybill Sample is used by the Board, other Federal and state agencies, and industry stakeholders to monitor traffic flows and rate trends in the industry, and to develop testimony in Board proceedings. The Board has authority to collect this information under 49 U.S.C. 11144, 11145, and 11901(e). DATES: Comments on this information collection should be submitted by December 3, 2007. ADDRESSES: Comments should be faxed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention: Surface Transportation Board Desk Officer, at
(202)395-6974. When submitting comments, please refer to “Paperwork Reduction Comments: Waybill Sample.” *For Further Information or To Obtain a Copy of Pertinent Regulations, Contact:* Mac Frampton at
(202)245-0317 or at *hugh.frampton@stb.dot.gov.* [Assistance for the hearing impaired is available through the Federal Information Relay Service
(FIRS)at 1-800-877-8339.] These regulations are codified at 49 CFR parts 1244.1-1244.9 and are also available on the Web through *http://www.gpoaccess.gov/cfr/index.html.* SUPPLEMENTARY INFORMATION: Under the PRA, a Federal agency conducting or sponsoring a collection of information must display a currently valid OMB control number. A collection of information, which is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c), includes agency requirements that persons submit reports, keep records, or provide information to the agency, third parties, or the public. Under section 3507(b) of the PRA, Federal agencies are required to provide, concurrent with their submitting a collection to OMB for approval, a 30-day notice and comment period through publication in the **Federal Register** concerning each proposed collection of information. Dated: October 4, 2007. Vernon A. Williams, Secretary. [FR Doc. E7-19612 Filed 10-3-07; 8:45 am] BILLING CODE 4915-01-P DEPARTMENT OF TRANSPORTATION Surface Transportation Board [STB Docket No. AB-33 (Sub-No. 209)] Union Pacific Railroad Company—Discontinuance—in Utah County, UT On September 14, 2007, Union Pacific Railroad Company
(UP)filed with the Surface Transportation Board (Board) an application for permission to discontinue service over a line of railroad known as the Elberta Line (Line). The Line consists of four end-to-end line segments consisting of the Tintic Industrial Lead from milepost 5.52 to milepost 26.00, the West Tintic Industrial Lead from milepost 26.00 to milepost 27.23, the Goshen Valley Branch from milepost 0.0 to milepost 3.80 (equation milepost 2.89 = milepost 2.98), and the Iron King Branch from milepost 0.0 to milepost 2.15, extending for a total distance of 27.57 miles in Utah County, Utah. The Line traverses U.S. Postal Service Zip Codes 84626, 84633, and 84651, and includes a station at Elberta. The Line does contain federally granted rights-of-way. 1 Any documentation in UP's possession will be made available promptly to those requesting it. The applicant's entire case for discontinuance (case-in-chief) was filed with the application. 1 The Line contains several segments of federally granted rights-of-way that are reversionary and that collectively account for approximately 50% of the property affected by the proposed discontinuance. The Line has appeared on UP's system diagram map in category 1 since July 7, 2003. The interest of railroad employees will be protected by the conditions set forth in *Oregon Short Line R. Co.)—Abandonment—Goshen,* 360 I.C.C. 91 (1979). Any interested person may file with the Board written comments concerning the proposed discontinuance or protests (including the protestant's entire opposition case) by October 29, 2007. Because this is a discontinuance proceeding, and not an abandonment, trail use/rail banking and public use requests are not appropriate. Also, only offers of financial assistance
(OFA)under 49 U.S.C. 10904 to subsidize (not purchase) the line will be entertained. Persons opposing the discontinuance who wish to participate actively and fully in the process should file a protest. Persons who oppose the discontinuance but who do not wish to participate fully in the process by submitting verified statements of witnesses containing detailed evidence should file comments. Persons seeking information concerning the filing of protests should refer to 49 CFR 1152.25. In addition, a commenting party, or protestant may provide:
(i)An OFA to subsidize rail service under 49 U.S.C. 10904 (due 120 days after the application is filed or 10 days after the application is granted by the Board, whichever occurs sooner); and
(ii)recommended provisions for protection of the interests of employees. The line sought to be discontinued will be available for subsidy for continued rail use, if the Board decides to permit the discontinuance, in accordance with applicable laws and regulations (49 U.S.C. 10904 and 49 CFR 1152.27). Each OFA must be accompanied by a $1,300 filing fee. See 49 CFR 1002.2(f)(25). No subsidy arrangement approved under 49 U.S.C. 10904 shall remain in effect for more than 1 year unless otherwise mutually agreed by the parties (49 U.S.C. 10904(f)(4)(B)). Applicant will promptly provide upon request to each interested party an estimate of the subsidy required to keep the line in operation. The carrier's representative to whom inquiries may be made concerning subsidy terms is set forth below. Any filing in response to this notice must refer to STB Docket No. AB-33 (Sub-No. 209) and must be submitted either via the Board's e-filing format or in the traditional paper format. Any person using e-filing should attach a document and otherwise comply with the instructions found on the Board's Web site at *http://www.stb.dot.gov* at the “E-FILING” link. Any person submitting a filing in the traditional paper format should send an original and 10 paper copies of the filing (and also an electronic version) with a certificate of service to: Surface Transportation Board, 395 E Street, SW., Washington, DC 20423-0001. In addition, one copy of each filing in this proceeding must be sent (and may be sent by e-mail only if service by e-mail is acceptable to the recipient) to: Mack H. Shumate, Jr., Senior General Attorney, 101 North Wacker Drive, Room 1920, Chicago, IL 60606. Except as otherwise set forth in part 1152, every document filed with the Board must be served on all parties to the discontinuance proceeding. 49 CFR 1104.12(a). Persons seeking further information concerning discontinuance procedures may contact the Board's Office of Public Services at
(202)245-0230 or refer to the full abandonment and discontinuance regulations at 49 CFR part 1152. Questions concerning environmental issues may be directed to the Board's Section of Environmental Analysis
(SEA)at
(202)245-0305. [Assistance for the hearing impaired is available through the Federal Information Relay Service
(FIRS)at 1-800-877-8339.] SEA has determined that this action is exempt from environmental reporting requirements under 49 CFR 1105.6(c) and from historic reporting requirements under 49 CFR 1105.8. Consequently, SEA concludes that this action does not require the preparation of an environmental assessment. Board decisions and notices are available on our Web site at *http://www.stb.dot.gov.* Decided: September 27, 2007. By the Board, David M. Konschnik, Director, Office of Proceedings. Vernon A. Williams, Secretary. [FR Doc. E7-19504 Filed 10-3-07; 8:45 am] BILLING CODE 4915-01-P DEPARTMENT OF THE TREASURY Internal Revenue Service [REG-209830-96] Proposed Collection; Comment Request for Regulation Project AGENCY: Internal Revenue Service (IRS), Treasury. ACTION: Notice and request for comments. SUMMARY: The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning an existing final regulation, REG-209830-96 (TD 8779), Estate and Gift Tax Marital Deduction. DATES: Written comments should be received on or before December 3, 2007 to be assured of consideration. ADDRESSES: Direct all written comments to R. Joseph Durbala, Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224. FOR FURTHER INFORMATION CONTACT: Requests for additional information or copies of the regulation should be directed to Robert Black, at
(202)622-3179, or at Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224, or through the Internet, at *Larnice.Mack@irs.gov* . SUPPLEMENTARY INFORMATION: *Title:* Estate and Gift Tax Marital Deduction. *OMB Number:* 1545-1612. *Regulation Project Number:* REG-209830-96. *Abstract:* The information requested in regulation section 20.2056(b)-7(d)(3)(ii) is necessary to provide a method for estates of decedents whose estate tax returns were due on or before February 18, 1997, to obtain an extension of time to make the qualified terminable interest property
(QTIP)election under section 2056(b)(7)(B)(v). *Current Actions:* There is no change to this existing regulation. *Type of Review:* Extension of OMB approval. *Affected Public:* Individual or households. The estimated reporting burden in this regulation is reflected in the burden of Form 843, Claim for Refund and Request for Abatement, and Forms 706 and 706-NA, United States Estate (and Generation-Skipping Transfer) Tax Return. The following paragraph applies to all of the collections of information covered by this notice: An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103. *Request for Comments:* Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. *Comments are invited on:*
(a)Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility;
(b)the accuracy of the agency's estimate of the burden of the collection of information;
(c)ways to enhance the quality, utility, and clarity of the information to be collected;
(d)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and
(e)estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information. Approved: September 26, 2007. R. Joseph Durbala, IRS Reports Clearance Officer. [FR Doc. E7-19565 Filed 10-3-07; 8:45 am] BILLING CODE 4830-01-P DEPARTMENT OF THE TREASURY Internal Revenue Service Proposed Collection; Comment Request for Revenue Procedure 127367-07 AGENCY: Internal Revenue Service (IRS), Treasury. ACTION: Notice and request for comments. SUMMARY: The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Revenue Procedure 127367-07, 9100 Relief Under Sections 897 and 1445. DATES: Written comments should be received on or before December 3, 2007 to be assured of consideration. ADDRESSES: Direct all written comments to Glenn Kirkland, Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224. FOR FURTHER INFORMATION CONTACT: Requests for copies of the revenue procedure should be directed to Allan Hopkins, at
(202)622-6665, or at Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224, or through the Internet, at *Allan.M.Hopkins@irs.gov* . SUPPLEMENTARY INFORMATION: *Title:* 9100 Relief Under Sections 897 and 1445. *OMB Number:* 1545-XXXX. *Revenue Procedure Number:* Revenue Procedure 127367-07. *Abstract:* The IRS needs certain information to determine whether a taxpayer should be granted permission to make late filings of certain statements or notices under sections 897 and 1445. the information submitted will include a statement by the taxpayer demonstrating reasonable cause for the failure to timely make the relevant filings under section 897 and 1445. *Current Actions:* This is a new revenue procedure. *Affected Public:* Business or other for-profit institutions, individuals or households, and not-for-profit institutions. *Estimated Number of Respondents:* 250. *Estimated Time Per Respondent:* 4 hours. *Estimated Total Annual Burden Hours:* 1000. The following paragraph applies to all of the collections of information covered by this notice: An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103. *Request for Comments:* Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. *Comments are invited on:*
(a)Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility;
(b)the accuracy of the agency's estimate of the burden of the collection of information;
(c)ways to enhance the quality, utility, and clarity of the information to be collected;
(d)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and
(e)estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information. Approved: September 24, 2007. R. Joseph Durbala, IRS Reports Clearance Officer. [FR Doc. E7-19567 Filed 10-3-07; 8:45 am] BILLING CODE 4830-01-P 72 192 Thursday, October 4, 2007 Rules and Regulations Part II Department of Homeland Security 8 CFR Parts 103, 204, 213a et al. Classification of Aliens as Children of United States Citizens Based on Intercountry Adoptions Under the Hague Convention; Interim Rule DEPARTMENT OF HOMELAND SECURITY 8 CFR Parts 103, 204, 213a, 299, and 322 [CIS No. 2098-00; DHS Docket No. USCIS-2007-0008] RIN 1615-AA43 Classification of Aliens as Children of United States Citizens Based on Intercountry Adoptions Under the Hague Convention AGENCY: U.S. Citizenship and Immigration Services, DHS. ACTION: Interim rule with request for comments. SUMMARY: This rule amends Department of Homeland Security (“DHS” or “the Department”) regulations relating to intercountry adoptions by U.S. citizens. First, to facilitate the ratification of the Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption, signed at The Hague on May 29, 1993 (“Convention”), the rule establishes new administrative procedures for the immigration of children who are habitually resident in Convention countries and who are adopted by U.S. citizens. Second, the rule makes other amendments to DHS regulations relating to the immigration of adopted children to reflect the changes to those provisions necessary to comply with the Convention. The Senate consented to ratification of the Convention in 2000 conditioned on the adoption of the necessary implementing regulations. Accordingly, this rule is necessary to establish the regulations necessary for the United States to ratify the Convention. DATES: *Comment date:* Written comments must be submitted on or before December 3, 2007 to assure consideration. *Effective date:* This rule is effective November 5, 2007. ADDRESSES: You may submit comments to DHS, identified by DHS Docket No. USCIS-2007-0008, by any of the following methods: • *Federal eRulemaking Portal:* *http://www.regulations.gov.* Follow the instructions for submitting comments. • *Mail:* Director, Regulatory Management Division, U.S. Citizenship and Immigration Services, Department of Homeland Security, 111 Massachusetts Avenue, NW., 3rd Floor, Washington, DC 20529. To ensure proper handling, please reference DHS Docket No. USCIS-2007-0008 on your correspondence. This mailing address may also be used for paper, disk, or CD-ROM submissions. • *Hand Delivery/Courier:* Regulatory Management Division, U.S. Citizenship and Immigration Services, Department of Homeland Security, 111 Massachusetts Avenue, NW., 3rd Floor, Washington, DC 20529. Contact Telephone Number
(202)272-8377. FOR FURTHER INFORMATION CONTACT: Michael Valverde, Chief, Children's Issues, U.S. Citizenship and Immigration Services, 111 Massachusetts Avenue, NW., 3rd floor, Washington, DC 20529, telephone
(202)272-9176. SUPPLEMENTARY INFORMATION: Table of Contents I. Public Participation II. Background A. Section 101(b)(1)(E) Adoptions B. Orphan Adoptions C. Convention Adoptions D. USCIS Forms Used for Adoption Cases III. The Purpose of This Rule IV. The Changes Made by This Rule A. Section 101(b)(1)(E) Cases B. Orphan Cases C. Convention Adoption Cases V. Regulatory Requirements A. Administrative Procedure Act (Notice and Comment) B. Regulatory Flexibility Act C. Unfunded Mandates Reform Act of 1995 D. Small Business Regulatory Enforcement Fairness Act of 1996 E. Executive Order 12866 F. Executive Order 13132 G. Executive Order 12988 Civil Justice Reform H. Paperwork Reduction Act List of Subjects in 8 CFR I. Public Participation Interested persons are invited to participate in this rulemaking by submitting written data, views, or arguments on all aspects of the rule. DHS also invites comments that relate to the economic, environmental, or federalism effects of this rule. Comments that will provide the most assistance to DHS in developing these procedures will reference a specific portion of the rule, explain the reason for any recommended change, and include data, information, or authority that support such recommended change. *Instructions:* All submissions received must include the agency name and docket number (USCIS-2007-0008) for this rulemaking. All comments received (including any personal information that may be included in the comment) will be posted without change to *http://www.regulations.gov.* *Docket:* For access to the docket to read background documents or comments received, go to *http://www.regulations.gov.* Submitted comments may also be inspected at the Regulatory Management Division, U.S. Citizenship and Immigration Services, Department of Homeland Security, 111 Massachusetts Avenue, NW., 3rd Floor, Washington, DC 20529. II. Background The Immigration and Nationality Act (“the Act”), 8 U.S.C. 1101, *et seq.* , provides three distinct provisions under which an adopted child may be considered, for immigration purposes, to be the child of his or her adoptive parents. 1 Section 101(b)(1)(E) of the Act, 8 U.S.C. 1101(b)(1)(E), relates to adoptions in general, and provides that an adopted child is considered the adoptive parent's child if certain custody and residence requirements are met. Section 101(b)(1)(F) of the Act, 8 U.S.C. 1101(b)(1)(F), facilitates the immigration of aliens who qualify as “orphans,” if they are adopted, or are coming to the United States to be adopted, by U.S. citizens. Section 101(b)(1)(G) of the Act, 8 U.S.C. 1101(b)(1)(G), added by section 302 of the Intercountry Adoption Act, Public Law 106-279, governs the immigration of children who are adopted, or are coming to the United States to be adopted, by U.S. citizens under the Convention. This background discussion provides an overview of each of these provisions. 1 The Reviser of Statutes has informally codified the Act as title 8 of the United States Code. Title 8, however, has not been enacted as positive law. For this reason, this rule will refer to each particular statutory provision by its section number in the Act itself. For ease of reference, the first reference to a particular section of the Act will include the corresponding citation in title 8, United States Code. Subsequent citations will be to the relevant section of the Act itself. A. Section 101(b)(1)(E) Adoptions The first provision of the Act relating to adopted children is section 101(b)(1)(E). Under this provision, an adopted child is the adoptive parent's child for immigration purposes, if: • The adoptive parent adopted the child before the child reached the age provided in that section, and • The child has lived with, and been under the legal custody of, the adoptive parent for at least 2 years. This two-year period of legal custody and joint residence can be satisfied by periods of legal custody and joint residence that pre-date the adoption. 8 CFR 204.2(d)(2)(vii)(C ). Until December 7, 1999, the definition in section 101(b)(1)(E) made immigration benefits available only to a child who had been adopted before the child's sixteenth birthday. Section 1(a)(1) of the Act of December 7, 1999, Public Law 106-139, however, amended section 101(b)(1)(E) to extend the benefit to a child who was adopted after the child's sixteenth birthday, but before the child's eighteenth birthday. A child qualifies under this amendment if the child is the birth sibling of another adopted child who: • Qualified for immigration under section 101(b)(1)(E) based on the child's adoption, while under the age of 16, by the same adoptive parent(s), or • Qualified for immigration under section 101(b)(1)(F) of the Act based on an approved visa petition filed by the same adoptive parent(s). Section 101(b)(1)(E) of the Act can be the basis of the approval of an immigrant visa petition filed by a U.S. citizen or an alien lawfully admitted for permanent residence on behalf of an adopted child whose adoption meets the requirements of section 101(b)(1)(E). However, section 101(b)(1)(E) also applies to adopted children in other situations. For example, under section 203(d) of the Act, 8 U.S.C. 1153(d), the child of an alien who qualifies for an immigrant visa under section 203(a) (family-based immigrants), section 203(b) (employment-based immigrants), or section 203(c) of the Act (diversity immigrants) is generally eligible for an immigrant visa in the same visa classification as the parent, if the child accompanies the parent to or follows to join the parent in the United States. An adopted child whose adoption met the requirements of section 101(b)(1)(E) of the Act is eligible to accompany or follow to join his or her parent under section 203(d). The same principle would apply in determining whether the adopted child could accompany, or follow to join, a nonimmigrant alien who is admitted as a student, temporary worker, exchange alien, or as any other nonimmigrant in a classification that permits spouses and children to come to the United States with the principal nonimmigrant alien. The current regulations for the approval of immigrant visa petitions under section 101(b)(1)(E) of the Act are found at 8 CFR 204.2(d)(2)(vii). This rule does not discuss section 101(b)(1)(E) adoptions further, since it does not revise those requirements, except to reflect the upcoming ratification of the Convention. B. Orphan Adoptions The second provision of the Act relating to adopted children is section 101(b)(1)(F) of the Act, 8 U.S.C. 1101(b)(1)(F). This provision is designed specifically to permit the immigration of alien children who qualify as “orphans,” as defined by section 101(b)(1)(F), on the basis of their adoption by United States citizens. The two year legal custody and joint residence requirements of section 101(b)(1)(E) of the Act do not apply to orphan cases. That is, if the child qualifies as an orphan, the child can immigrate immediately either upon adoption abroad or even before adoption, if the adoptive parents intend to complete the adoption in the United States. The current regulations for approval of immigrant visa petitions on behalf of alien orphans are found at 8 CFR 204.3. This rule will not discuss section 101(b)(1)(F) adoptions further, since it does not revise those requirements, except to reflect the upcoming ratification of the Convention. C. Convention Adoptions Developed under the auspices of The Hague Conference on Private International Law, the Convention was opened for signature on May 29, 1993. A copy of the Convention is available on the Hague Conference Web site at *http://www.hcch.net.* The text of the Convention is also available on the public docket for this rule at *http://www.regulations.gov,* DHS Docket No. USCIS-2007-0008. The Convention provides a framework of safeguards for protecting children and families involved in intercountry adoption. The Hague Conference on Private International Law makes available at *http://www.hcch.net* the current list of countries that have become Parties to the Convention. According to this Web site, 74 States have become Parties to the Convention. This Convention is one of the most widely-embraced and broadly-accepted conventions developed by the Hague Conference. The Convention is the first multilateral international instrument to recognize that intercountry adoption could “offer the advantage of a permanent home to a child for whom a suitable family cannot be found in his or her state of origin.” (S Treaty Doc. 105-51, at 1). Some countries involved in the multilateral negotiations on the Convention sought to prohibit intercountry adoptions even for those children eligible for adoption for whom a permanent family placement in the child's country of origin could not be arranged. On the other hand, proponents of intercountry adoption at the Hague Conference believed that the best interests of a child would not be served by arbitrarily prohibiting a child in need of a permanent family placement from being matched with an adoptive family simply because the family resided in another country. The Convention reflects a consensus that an intercountry adoption may well be in an individual child's best interests. If the Convention is in force between two countries, then any adoption of a child habitually resident in one country by a person habitually resident in the other country must comply with the requirements of the Convention. The objectives of the Convention are: • To establish safeguards to ensure that intercountry adoptions take place in the best interests of the child and with respect for the child's fundamental rights as recognized in international law; • To establish a system of cooperation among contracting States to ensure that those safeguards are respected and thereby prevent the abduction, sale of, or traffic in children; and • To secure the recognition in contracting states of adoptions made in accordance with the Convention. The Convention also requires all parties to act expeditiously in the processing of intercountry adoptions. To accomplish its goals, the Convention makes a number of significant modifications to current intercountry adoption practice, including three particularly important changes. First, the Convention mandates close coordination between the governments of contracting countries through a Central Authority in each Convention country. In its role as a coordinating body, the Central Authority is responsible for sharing information about the laws of its own and other Convention countries and for monitoring individual cases. Second, the Convention requires that each country involved make certain determinations before an adoption may proceed. The sending country must determine in advance: That the child is eligible to be adopted; that it is in the child's best interests to be adopted internationally; that the birth parents or other individuals, institutions or authorities who must, under the law of the country of origin, consent to the adoption have freely consented to the adoption in writing; and that the consent of the child, if required, has been obtained. The sending country must also prepare a background study on the child that includes the medical history of the child as well as other background information. Third, the receiving country must determine in advance: that the prospective adoptive parent(s) are eligible and suited to adopt; that they have received counseling and training, as necessary; and that the child will be eligible to enter and reside permanently in the receiving country. The receiving country must also prepare a home study on the prospective adoptive parent(s). These advance determinations and studies are designed to ensure that the child is protected and that there are no obstacles to completing the adoption. The United States signed the Convention on March 31, 1994. The Senate gave its consent to ratification on September 20, 2000. 146 Cong. Rec. S8866-8868 (daily ed. September 20, 2000). This consent was conditioned on the adoption of the necessary implementing legislation, and the completion of any steps that would enable the United States to carry out all the obligations of the Convention, as required by the implementing legislation. *Id.* at S8868, Resolution of Ratification at sections (a)(1) and (b)(1). Under article 46(2) of the Convention, the Convention will enter into force for the United States on the first day of the month that begins three months after the United States deposits the instrument of ratification. The Secretary of State will give notice in the **Federal Register** of the date on which the Convention enters into force for the United States. *See* 22 CFR 96.17. In 2000, Congress passed the implementing legislation, the Intercountry Adoption Act (IAA), Pub. L. 106-279, 114 Stat. 825. Section 302 of the IAA enacted new section 101(b)(1)(G) of the Act, to be codified as 8 U.S.C. 1101(b)(1)(G). Section 101(b)(1)(G) of the Act, which will take effect when the Convention enters into force for the United States, provides for the classification of a Convention adoptee as the child of the U.S. citizen adoptive parent(s). By its terms, the Convention applies to any adoption by a person “habitually resident” in the United States of a child “habitually resident” in another Convention country, if the child “has been, is being or is to be moved” to the United States either after the adoption or for purposes of the adoption. Convention, article 2(1). Under section 101(b)(1)(G) of the Act, however, only a married U.S. citizen whose spouse also adopts the child, or an unmarried U.S. citizen who is at least 25 years old, may file an immigrant visa petition on behalf of a Convention adoptee. For this reason, it will not be possible for anyone who is habitually resident in the United States, but who is not a United States citizen, to bring a child habitually resident in another Convention country to the United States on the basis of a Convention adoption. Classification as a child under section 101(b)(1)(G) of the Act is somewhat similar to classification as an orphan under section 101(b)(1)(F) of the Act. First, the child's adoption must be sought either by a United States citizen and the United States citizen's spouse, jointly, or by an unmarried United States citizen who is at least 25 years old. The visa petition must be filed before the child's sixteenth birthday. As with orphan cases, the two year legal custody and joint residence requirements of section 101(b)(1)(E) of the Act will not apply to Convention cases. Finally, as with orphans, a Convention adoptee may be adopted abroad, but may also be brought to the United States for the purpose of adoption. There are, however, some notable differences. First, as a matter of jurisdiction, section 204(d)(2) of the Act, as amended by section 302(b) of the IAA, makes clear that section 101(b)(1)(G) of the Act relates only to adoptions in which the adopting parent is habitually resident in the United States, and the child is habitually resident in another country that is a Party to the Convention. Second, unlike sections 101(b)(1)(E) and
(F)of the Act, section 101(b)(1)(G) applies only if the visa petition is filed before a child's sixteenth birthday, with no provision to allow the immigration of an older sibling adopted by the same parent(s). Third, the child does not have to be an “orphan,” as defined in 101(b)(1)(F) of the Act. The primary criteria for classification under section 101(b)(1)(G) of the Act are: • The child's birth parents (or parent, in the case of a child who has one sole or surviving parent because of the death or disappearance of, or the child's abandonment or desertion by, the other parent), or other persons or institutions that retain legal custody of the child, must have freely given their written irrevocable consent to the termination of their legal relationship with the child, and to the child's emigration and adoption; and • In the case of a child placed for adoption by his or her two living birth parents, the birth parents must be incapable of providing proper care for the child. The Department notes that section 101(b)(1)(G) of the Act, like sections 101(b)(1)(E) and (F), use the term “natural parents” to describe the individuals to whom an adopted child was born. Adoption professionals generally recommend using the term “birth parents,” as some birth and adoptive parents consider “natural parent” offensive or insensitive. *See, e.g.* , “Positive Adoptive Language,” (Adoptive Families of America), available online at *http://www.adoptivefamilies.com/pdf/PositiveLanguage.pdf.* Since “birth parent” and “natural parent” are synonymous, this rule uses the term “birth parent.” D. USCIS Forms Used for Adoption Cases Section 103(a)(3) of the Act, 8 U.S.C. 1103(a)(3), authorizes the Secretary of Homeland Security to prescribe the forms and other papers to be used in the administration of the Act. A U.S. citizen begins the immigration process for the citizen's alien child by filing a petition under section 204(a)(1)(A)(i) of the Act, 8 U.S.C. 1154(a)(1)(A)(i). Note that different immigrant visa petition forms are used for different types of adoption cases. The Form I-130, Petition for Alien Relative, is used for cases filed under section 101(b)(1)(E) of the Act and many other family-based petition cases. Form I-600A, Application for Advance Processing of Orphan Petition, is used for orphan cases, to give the prospective adoptive parents the option of seeking to establish their suitability as adoptive parents before they are actually matched with a specific child. Parents also have the option, under current 8 CFR 204.3, to file just a Form I-600, the Petition to Classify an Orphan as Immediate Relative. If they do so, then their suitability as adoptive parents and the child's eligibility for classification as an orphan are adjudicated in the same proceeding. USCIS intends to create two similar forms, the Form I-800A and Form I-800, for Convention adoption cases. The new Form I-800A, Application for Determination of Suitability as Adoptive Parent(s) for a Convention Adoptee, corresponds to the Form I-600A for orphan cases. The Form I-800A includes three supplements. Form I-800A Supplement 1 will be used to identify additional adult members of the prospective adoptive parent(s)'s household. A prospective adoptive parent may complete Form I-800A Supplement 2 if he or she wants to give consent under the Privacy Act of 1976 for DHS to disclose information about the prospective adoptive parent's case to the adoption service provider. Form I-800A Supplement 3 may be used to obtain an extension of the approval of a Form I-800A, if no Form I-800 has yet been filed, as well as to submit an updated or amended home study after the Form I-800A has been approved. The Form I-800, Petition to Classify Convention Adoptee as Immediate Relative, corresponds to the Form I-600 for orphan cases. Unlike the current practice for orphan cases, 8 CFR 204.3(d)(3), this rule requires a prospective adoptive parent seeking to adopt a child from a Convention country to always file the Form I-800A first. Only once the Form I-800A is approved will the prospective adoptive parents file the Form I-800. This change is consistent with the requirements of article 5 of the Convention, as discussed later in section IV(C) of this SUPPLEMENTARY INFORMATION . Note that the SUPPLEMENTARY INFORMATION section of this Preamble refers to the U.S. citizen (and his or her spouse, if any) seeking to adopt a Convention adoptee as the prospective adoptive parent(s). This term is used in the Supplementary Information because the same person (or couple) is the “applicant” at the Form I-800A stage, and the “petitioner” at the Form I-800 stage. The text of the new 8 CFR part 204, subpart C, however, uses the more precise terms, referring as appropriate to the “applicant” at the Form I-800A stage and the “petitioner” at the Form I-800 stage. Because the spouse of a married U.S. citizen must always sign the Form I-800A and Form I-800, and must also adopt the Convention adoptee, the singular terms are used to refer to both the U.S. citizen and to his or her spouse, if any. III. The Purpose of This Rule To facilitate the ratification of the Convention, this rule proposes to amend DHS regulations to provide for the adjudication of Convention adoption cases. This rule also makes amendments to the orphan provisions that govern cases under section 101(b)(1)(F) of the Act and to the regulations governing section 101(b)(1)(E) cases to reflect the new Convention procedures. IV. The Changes Made by This Rule A. Section 101(b)(1)(E) Cases Under article 2 of the Convention, the Convention applies to any adoption, or proposed adoption, if: • The child is habitually resident in one Convention country; and • The adoptive parent(s) is
(are)habitually resident in another Convention country; and • The child has immigrated, or will immigrate, to the parent's country as a result of, or for purposes of, the adoption. The only change that this rule makes to 8 CFR 204.2(d), as it relates to adopted children under section 101(b)(1)(E) of the Act, is to clarify when a child who is habitually resident in a Convention country and who is adopted by a U.S. citizen may be eligible to immigrate under section 101(b)(1)(E) of the Act, rather than under section 101(b)(1)(G) of the Act. For example, a U.S. citizen may have adopted a child from a Convention country while habitually resident in that Convention country, and without any present intention to bring the child to the United States. Some time after the adoption, the adoptive parent may decide to bring the child to the United States. In this situation, the adoption would not be subject to the Convention, since the child's immigration was not directly the result of the child's adoption by someone habitually resident in the United States. If the adoptive parent satisfies the two-year custody and residence requirement of section 101(b)(1)(E) of the Act by living with the child outside the United States, USCIS may approve the parent's Form I-130 for the child. Thus, the child will be eligible for classification under section 101(b)(1)(E) of the Act if the child meets those requirements, and it will not be necessary to comply with the requirements of section 101(b)(1)(G) of the Act. If the adoptive parent seeks to bring the child to the United States without first satisfying the two-year custody and residence requirement, however, the adoptive parent will need to comply with the Convention, the IAA, and the regulations implementing the IAA, including this interim rule and the rules promulgated by the Department of State. Similarly, the rule addresses the case of a child from a Convention country who is already in the United States, whether as a nonimmigrant, parolee, or even without inspection and admission, but whose habitual residence was in a Convention country immediately before the child came to the United States. Such a child will still be deemed under this rule to be habitually resident in the other Convention country. If the adoptive parent seeks to adopt the child in the United States, it will still be necessary to comply with the Convention. Note that article 2(1) continues to apply to the adoption of a child habitually resident in another Convention country, even if the child already “has been * * * moved to another Contracting State.” B. Orphan Cases This rule does not propose any major revisions to the processing of orphan cases that are filed under section 101(b)(1)(F) of the Act. The chief purpose of this rule is to establish procedures for Convention cases. This rule does make one change to the orphan regulations that is necessary to reflect the implementation of the Convention. As noted, once the Convention enters into force for the United States, the Convention and section 101(b)(1)(G) of the Act will govern the immigration to the United States of any child who is habitually resident in a Convention country and who is adopted, or will be adopted, by a U.S. citizen who is habitually resident in the United States. It will no longer be possible for a child who is habitually resident in a Convention country and who is, or will be, adopted by a U.S. citizen habitually resident in the United States, to immigrate under section 101(b)(1)(F) of the Act. The adoptive parents will, instead, have to use the Convention procedures under section 101(b)(1)(G) of the Act and new 8 CFR part 204, subpart C. New 8 CFR 204.3(a)(2) incorporates this principle into the current orphan regulation. If, however, the prospective adoptive parent(s) filed the Form I-600A or Form I-600 before the date on which the Convention enters into force, section 505(b)(1) of the IAA provides that the case will continue to qualify as an orphan case even after the Convention enters into force. This rule also makes minor changes to 8 CFR 204.3(a)(1) and (a)(2) to remove unnecessary language, to delete non-binding procedural requirements, and to improve readability. C. Convention Adoption Cases 1. Filing Fees In orphan cases, the prospective adoptive parent(s) pay(s) one filing fee, either upon the filing of the Form I-600A or upon the filing of the Form I-600 if no Form I-600A was filed. 8 CFR 103.7(b)(1). For cases initiated with a Form I-600A, a new filing fee was required only if the Form I-600 was filed after the Form I-600A approval period expired or if the prospective adoptive parent(s) filed more than one Form I-600, for children who were not birth siblings. Id. Convention adoption cases will not follow the traditional practice from orphan cases. A Form I-800A will be required in every case, and must be approved before the Form I-800 may be filed. This change will assist the Department in ensuring that the requirements of articles 5(a) and 17 of the Convention will be satisfied. Under articles 5(a) and 17, the receiving country must find that the prospective adoptive parent(s) is
(are)suitable and eligible to adopt before the sending country matches them for adoption. The rule retains the practice under which the Form I-800A filing fee reflects the cost of adjudicating both the Form I-800A and I-800. There will be no filing fee when the prospective adoptive parent(s) file(s) one Form I-800 after approval of a Form I-800A. As with orphan cases, the cost of adjudicating one Form I-800 is included in the Form I-800A filing fee. If the prospective adoptive parent(s) file more than one Form I-800, a separate fee will be required for the second, and any subsequent, Form I-800. If the beneficiaries of the multiple Forms I-800, however, are already siblings before the proposed adoptions, then one filing fee will cover each sibling's Form I-800. Because USCIS anticipates that the adjudication process and the workload for Convention cases will be essentially similar to orphan cases, this rule sets the filing fee at the same rate that applies for orphan cases. On February 1, 2007, DHS published the notice of proposed rulemaking, “Adjustment of the Immigration and Naturalization Benefit Application and Petition Fee Schedule” proposing a rule that would establish a comprehensive revision of USCIS filing fees. 72 FR 4888. That rule proposed a fee of $670 for filing Form I-600A, Application for Advance Processing of Orphan Petition, and Form I-600, the Petition to Classify an Orphan as Immediate Relative. DHS published the fee adjustments as a final rule on May 30, 2007, at 72 FR 29851. This rule sets the Form I-800A and I-800 filing fees at the same amount as the proposed Form I-600A and I-600 fees. 2. New Subpart C to 8 CFR Part 204 The rule re-designates the current provisions in 8 CFR part 204 as subpart A to part 204, and adds new subparts B and C to 8 CFR part 204. This rule reserves subpart B. Subpart C governs Convention adoption cases. Each specific provision is discussed below. Before dealing with the details of the provisions, however, DHS is providing a summary of how the Convention adoption process is likely to work. Under article 5 of the Convention and section 101(b)(1)(G)(i) of the Act, a U.S. citizen who wants to adopt a child habitually resident in a Convention country must first obtain a determination that he or she (and his or her spouse, if married) will provide proper care to a Convention adoptee. USCIS has the authority to make the determination that the prospective adoptive parent(s) is
(are)suitable for adoption. The most critical item of evidence in making this determination is the home study. The first step that the prospective adoptive parent(s) should take is to work with an adoption service provider to obtain a home study. The home study must recommend that USCIS should find that the prospective adoptive parent(s) is
(are)suitable for adoption. The home study preparer must be authorized under Department of State regulations at 22 CFR part 96 to complete home studies for Convention cases. He or she must also be authorized to conduct home studies under the law of the jurisdiction in which the home study is conducted. He or she must prepare the home study according to the standards specified in new 8 CFR 204.312. Moreover, if the home study preparer is not, under 22 CFR part 96, an accredited agency or temporarily accredited agency, then an accredited agency or temporarily accredited agency must review and approve the home study before it can be submitted to USCIS. This review requirement does not apply if a public domestic authority, as defined in 22 CFR 96.2, prepared the home study. Once the prospective adoptive parent(s) has
(have)obtained a favorable home study, the next step is to file Form I-800A with USCIS. In addition to the home study, the prospective adoptive parent(s) would submit proof of citizenship, marital status, age (if not married) and other evidence as described in new 8 CFR 204.310. In addition to the Form I-800A filing fee, the prospective adoptive parent(s) would also submit the standard biometrics fee for the applicant, his or her spouse, and for each adult member of the household. The definition of “adult member of the household” is discussed more fully in the discussion of new 8 CFR 204.301. USCIS would then arrange for the collection of fingerprints and other biometric information from these individuals. Once the fingerprint results are received, USCIS will weigh the evidence to determine whether to approve the Form I-800A. USCIS will approve it if the prospective adoptive parent(s) has
(have)established, based on the evidence of record, that any child whom the prospective adoptive parent(s) may adopt will receive proper care. If USCIS denies the Form I-800A, the prospective adoptive parent(s) may appeal the denial to the Administrative Appeals Office, except in a narrow class of cases, discussed later in this rule, in which no appeal is permitted. If USCIS approves the Form I-800A, the prospective adoptive parent(s) may arrange for the submission of the approval notice, the home study and other supporting evidence, to the Central Authority of the Convention country in which they hope to adopt a child. Note that the Convention permits the governmental entity that a Convention country designates as the Central Authority to delegate some Central Authority functions to other governmental or non-governmental entities. In this Preamble and in the rule itself, “Central Authority” refers not only to the country's designated Central Authority, but also to any individual or entity delegated Central Authority functions. If the Central Authority proposes a child for an adoption placement, the Central Authority will prepare a report addressing the factors that make the child eligible for adoption as a Convention adoptee. Once the prospective adoptive parent(s) have received this report and have decided to accept the placement, they would file Form I-800, with the report and other evidence specified in new 8 CFR 204.313. The Form I-800 must be filed *before* the prospective adoptive parent(s) have actually adopted or obtained legal custody of the child. The office with which the prospective adoptive parent(s) files the Form I-800 may vary from case to case, or country to country. For example, the prospective adoptive parent(s) may file the Form I-800 with USCIS in the United States before traveling to the Convention country. In this situation, the parent(s) would file the Form I-800 and supporting evidence with the local USCIS office in the area where the parent(s) live. The prospective adoptive parent(s) may alternatively choose to file the Form I-800 after arrival in the Convention country, and while still physically present there. In such cases, the prospective adoptive parent(s) may file the Form I-800 either with an overseas USCIS office, or, if there is no USCIS office in the country, at the visa-issuing post at which he or she
(they)will file the child's visa application. A Department of State officer will adjudicate a Form I-800 filed with a visa-issuing post, unless the Form I-800 is not clearly approvable. The Department of State will refer any Form I-800 that has been filed with a Department of State officer and that is not clearly approvable to a USCIS office for adjudication. Whether it is a USCIS or a Department of State officer who adjudicates the Form I-800, the issue is fundamentally the same: Does the evidence show that the child qualifies for classification under section 101(b)(1)(G) of the Act, and will the proposed adoption or grant of custody be in compliance with the Convention? If so, the USCIS or Department of State officer will grant a provisional approval of the Form I-800. If USCIS grants the provisional approval, it would then forward the case to the Department of State officer at the visa issuing post. If the Department of State officer grants the provisional approval, the Department of State officer will retain the Form I-800 for further action after the prospective adoptive parent(s) has
(have)adopted or obtained custody of the child. Once provisional approval is granted, the prospective adoptive parent(s) may file a visa application for the child with the visa issuing post with jurisdiction over the child's country of residence. The Department of State published in the **Federal Register** on June 22, 2006, at 71 FR 35847, a proposed rule that, once adopted as a final rule, will govern the adjudication of the visa application. If it appears to the Department of State officer that, based on the available information, the child would not be ineligible to receive an immigrant visa, the Department of State officer will annotate the visa application to reflect this conclusion. If the consular office is not aware of any ground(s) of inadmissibility that would preclude the child's admission to the United States following the adoption or grant of custody, the Department of State officer will then notify the Central Authority of the Convention country that the prospective adoptive parent(s) may proceed with the adoption, or with obtaining the grant of custody for purposes of adoption. If the Department of State officer becomes aware that the child may be subject to a ground of inadmissibility that was not already waived when the Form I-800 was provisionally approved, the Department of State officer will advise the prospective adoptive parent(s) concerning whether a waiver is available, and how to apply for it. The prospective adoptive parent(s) will then either complete the adoption in the Convention country or else obtain custody of the child for the purpose of bringing the child to the United States for adoption. Once this step is accomplished, the Department of State officer will, as required by section 301(a)(1)(B) of the IAA, perform a final verification of compliance with the Convention and the IAA. If the adoption or grant of custody complies with the Convention and the IAA, the Department of State officer will affix to the adoption or custody order a certification that the adoption or custody has been obtained in compliance with the requirements of the Convention and the IAA. The Department of State officer would then, on behalf of USCIS, grant final approval of the Form I-800. The Department of State officer would also issue the appropriate visa, unless the Department of State officer determines that the child is ineligible for a visa and inadmissible to the United States on a ground for which no waiver has been approved. Department of State regulations concerning the issuance of visas are codified at 22 CFR parts 40 through 42. Once the Department of State officer issues the visa, the prospective adoptive parent(s) may bring the child to the United States. An adopted child who is admitted under section 101(b)(1)(G) of the Act, and who, after admission for permanent residence, actually resides in the United States with the adoptive parent(s) will acquire United States citizenship through naturalization by operation of law if the requirements of section 320 of the Act, 8 U.S.C. 1431, are met by the child's 18th birthday. 2 If the child will not actually reside in the United States, the child's lawful admission would facilitate the child's naturalization under section 322 of the Act, 8 U.S.C. 1433. Unlike section 320 of the Act, naturalization under section 322 of the Act does not occur by operation of law; a formal application for naturalization must be filed. 2 Section 320 does not, itself, use the term “naturalization.” But “naturalization” encompasses any grant of citizenship that occurs after a person's birth. *See* INA section 101(a)(23), 8 U.S.C. 1101(a)(23). This rule retains for Convention cases the current practice described in the orphan provisions, 8 CFR 204.3(h)(11), that allows a Department of State officer to approve a petition, but not to deny. As under current practice, a Department of State officer will be required to forward to USCIS any Form I-800 that is not clearly approvable. If USCIS denies the Form I-800, the prospective adoptive parent(s) may appeal the denial to the Administrative Appeals Office, except in a narrow class of cases, discussed later in this rule, in which no appeal is permitted. New 8 CFR 204.300—Scope of Subpart C Section 204.300 defines the scope of new subpart C, which will apply to any Form I-800A or Form I-800 that is filed on or after the date the Convention enters into force for the United States. For orphan cases, if either the Form I-600A or Form I-600 was filed before that date, 8 CFR 204.3 will continue to apply. New 8 CFR 204.300(b) makes clear that, once the Secretary of State gives notice as specified in 22 CFR 96.17 that the Convention has entered into force for the United States, this rule, section 101(b)(1)(G) of the Act, and the provisions of new subpart C will be the only way that an alien child who is habitually resident in a Convention country may immigrate to the United States as a direct result of an adoption by a U.S. citizen who is habitually resident in the United States. Even if the child may also qualify as an orphan under section 101(b)(1)(F) of the Act, the adoptive parents will be required to comply with the Convention procedures. Immigration under section 101(b)(1)(F) of the Act will be available to a child habitually resident in a Convention country only if the prospective adoptive parent(s) filed either the Form I-600A, or the Form I-600 before the Convention and this rule enter into force. New 8 CFR 204.2(d)(vii), discussed earlier in this Supplementary Information, addresses the circumstances under which a child habitually resident in a Convention country may immigrate under section 101(b)(1)(E) of the Act. New 8 CFR 204.301—Definitions New 8 CFR 204.301 provides the definitions that will apply in the adjudication of Convention adoption cases. For the most part, the new definitions replicate the definitions currently found in 8 CFR 204.3. USCIS added new definitions for “Central Authority,” “Convention adoptee,” “Convention adoption,” “Convention,” “Convention country,” “Irrevocable consent,” and “Legal Custodian.” These definitions will apply only to Convention adoption cases, not to orphan cases under 8 CFR 204.3. The definitions in 22 CFR 96.2 will also apply to Convention cases. There are a number of definitions under the new section that warrant explanation. First, new 8 CFR 204.301 includes a definition of “adoption.” To qualify as an “adoption,” a custody order that is alleged to be an adoption must create the legal parent-child relationship between a minor and someone who is not already the minor's legal parent, and terminate the legal parent-child relationship between the minor and any prior legal parent(s). The definition is not actually new, but a codification of the Board of Immigration Appeals decisions in *Matter of Mozeb* , 15 I&N Dec. 430 (BIA 1975), and *Matter of Kong* , 14 I&N Dec. 649 (BIA 1974). The new definition also corresponds to the definition the Department of State has adopted at 22 CFR 96.2. Some countries allow for “simple” or “semi-plena” adoptions, or a similar child custody arrangement that may be called “adoption,” but do not create a permanent legal parent-child relationship between the child and the custodian. Similarly, the Board of Immigration Appeals has noted that in countries that follow traditional Islamic law “adoption” in the sense required by the Act does not exist. *See, e.g., Matter of Mozeb, supra* ; and *Matter of Ashree, Ahmed and Ahmed* , 14 I&N Dec. 305 (BIA 1973). The Board has also noted the distinction, under Burmese law, between Kittima adoption, which does create a legal parent-child relationship, and Appatittha adoption, which does not. *Matter of Kong, supra* . USCIS may not approve a Form I-800 based on one of these alternative custody arrangements, unless the alternative custody arrangement is cited, not as proof of the child's adoption, but as proof that the custodian has authority to bring the child to the United States for adoption here. This rule also makes changes to the definition of an “additional adult member of the household.” The home study requirements for orphan cases, 8 CFR 204.3(e), require a home study preparer to address the presence in the household of adults other than the prospective adoptive parent(s). The orphan regulations define “adult member of the household” to include anyone over the age of 18 whose principal or only residence is the same as the residence of the prospective adoptive parent(s). 8 CFR 204.3(b). Someone who was under 18 when the Form I-600A is filed can also be considered an “adult” member of the household if “the director has a specific reason, based on the facts of the particular case, for requiring an evaluation by a home study preparer and/or fingerprint check.” This rule generally follows that practice; however, there are two significant changes. First, the reference to a person's “principal or only” residence has been revised. The new definition includes any person 18 years or older who has the same principal residence as the applicant. By removing the term “only” the definition is meant to clarify that it includes those individuals who may have another residence, such as an adult son or daughter who is away at college for most of the year, but who maintains the home being evaluated as their principal residence. Second, the current definition does not directly address the presence in the home of child care workers, or other household employees, who do not actually live there. To improve the ability to protect the best interests of adopted children, the revised definition has been expanded to specifically include as an “additional adult member of the household” any person who does not live in the home but whose regular presence in the home is relevant to the suitability of the prospective adoptive parents as the parents of a Convention adoptee. While this definition does expand the potential scope of the home study, the expansion will provide information that could be very relevant to the adjudication of the Form I-800A. New 8 CFR 204.301 also includes a specific definition of “custody for purposes of emigration and adoption” that will apply to Convention cases, if the child will be adopted in the United States, rather than abroad. The prospective adoptive parent(s) will have to show that the prospective adoptive parent(s), or someone acting on behalf of the prospective adoptive parent(s), has
(have)obtained “custody for purposes of emigration and adoption.” This definition is different from the provisions in 8 CFR 204.3(d)(iv)(B)(1) and (2), which apply only to orphan cases, under which the orphan's prospective adoptive parent(s) had to:
(i)Show that he or she
(they)had custody of the child, and that
(ii)the individual or entity who had custody immediately before he or she
(they)acquired it has “released”the child for emigration and adoption. This two-step requirement can prove unwieldy and somewhat unnecessary. Once the prior custodian no longer has custody, it is not clear why that former custodian should be in a position to permit or object to the child's emigration. Under this rule, it will be sufficient for the prospective adoptive parent(s) to show that whatever court or entity granted custody also expressly authorized the custodian to bring the child to the United States for adoption. This authorization may be included in the same order that granted custody, but may also be included in a separate order. Current 8 CFR 204.3(b) specifies who may complete a home study for an orphan case. The new definition of “home study preparer” for Convention adoption cases is significantly different. Only an individual who, or agency that, is authorized to do so under 22 CFR part 96 may complete a home study for a Convention case. In addition to meeting the requirements of 22 CFR part 96, the home study preparer must also hold any license or other authorization that may be required to conduct adoption home studies under the law of the jurisdiction in which the home study is conducted. For example, if the home study is conducted in the United States, the preparer must hold whatever license or authorization which the law of the State may require home study preparers practicing in that State to have. If the home study is conducted outside the United States, the preparer must hold any license or authorization that may be required under the law of that country to conduct home studies there. Under section 101(b)(1)(G) of the Act, if consent for the child's adoption is given by both of the child's birth parents, the prospective adoptive parent(s) must establish that the birth parents are incapable of providing proper care for the child. This rule adopts the same definition of “incapable of providing proper care” that is used in orphan cases under 8 CFR 204.3. In an orphan case, the “incapable of providing proper care” issue arises only if a sole or surviving parent releases the child for adoption. By contrast, in Convention cases this issue applies only if the child is placed for adoption by both birth parents. Under current USCIS policy for orphan cases, an officer is not limited to considering economic or financial concerns. Rather, the adjudicating officer should consider the entirety of the circumstances to determine whether, under the local standards of the country of the child's habitual residence, the child's birth parents were incapable of providing proper care. The revised definition incorporates this principle. The rule uses, for Convention cases, a definition of “irrevocable consent.” Article 4(c)(4) of the Convention provides that a mother's consent to a child's adoption can be given only after the child's birth. This definition reflects that requirement. Further, the rule is actually broader than article 4(c)(4), in that the rule provides that in addition, a legal custodian who is not the child's birth parent may not give consent before the child's birth. This broader provision is simply the logical extension of article 4(c)(4), in that the mother would necessarily be required to terminate the legal parent-child relationship before any other legal custodian could properly consent to an adoption placement. As the child's mother cannot give this consent prior to the child's birth, no other individual or entity will have the authority to consent to an adoption placement until after the child's birth. Note, however, that this provision does not preclude a birth father from giving consent to the termination of his legal relationship to the child before the child's birth if the birth father is permitted to do so under the law of the country of the child's habitual residence. Section 101(b)(1)(G)(i)(II) of the Act provides that the custodian must consent to the child's emigration and adoption. The definition of “irrevocable consent” does not specifically include this element, since it could prove impossible for a person to comply with it. For example, if a birth parent surrendered his or her rights to the custody of a child long before the possibility of an intercountry adoption arose, it may not be possible to find the birth parent at the time the placement is made in order to obtain a more specific consent. But if the birth parent surrendered his or her custody rights, and those rights were terminated, the birth parent would no longer have a basis to object to the child's adoption. Under this rule, the fact that the Central Authority of the other Convention country permitted the prospective adoptive parent(s) to adopt or obtain custody of the child will be taken as sufficient to establish that the necessary consent to the child's emigration has been obtained from the relevant custodian. That is, if the Central Authority specifies that all the necessary consents have been obtained, it will be presumed that the consent was sufficient to establish the statutory requirement of consent to emigration and adoption. In orphan cases, the term “sole parent” is defined by 8 CFR 204.3(b) strictly to include only the mother of a child born out of wedlock who has not been legitimated. Section 101(b)(1)(G) of the Act defines the term more broadly. For a Convention adoption, a child is deemed the child of a sole parent if the other parent has abandoned or deserted the child, or has disappeared from the child's life. This rule reflects this broader understanding of “sole parent.” A child will be deemed to be the child of a sole parent if the child has only one legal parent, based on the competent authority's determination that the other legal parent has either abandoned or deserted the child, or has disappeared from the child's life. New 8 CFR 204.301 also incorporates an interpretation relating to stepparents that USCIS has adopted for orphan cases. *See* Adjudicator's Field Manual 21.5(d)(4). Under section 101(b)(2), a stepparent qualifies as a child's “parent” if the marriage creating the stepparent relationship occurred before the child's eighteenth birthday. For most situations, this provision is of great benefit, since it permits intact families to remain together. In the context of a Convention adoption petition, however, section 101(b)(2) can have an adverse impact. In some countries, a stepparent does not have a legal parent-child relationship with a stepchild. Thus, the stepparent may not have any right or duty to care for a child, and consequently, may not be able to perform any action terminating the non-existent rights and duties. Under the policy that USCIS has adopted, and that is incorporated into the definition of “parent,” a stepparent would not be considered a child's parent for purposes of approval or denial of a Convention adoption petition, if the prospective adoptive parent(s) establish(es) that, under the law of the child's habitual residence, a stepparent has no legal parent-child relationship to a stepchild. This exception would not apply if the stepparent actually adopted the stepchild as specified in section 101(b)(1)(E) of the Act, or if under the law of the child's habitual residence, the marriage between the parent and stepparent is itself enough to create a legal parent-child relationship between the stepparent and stepchild. If marrying the child's mother or father makes the stepparent, under the law of the Convention country, the child's legal parent, or if the stepparent adopted the child, it may be necessary to obtain the stepparent's consent. Consistent with the provisions concerning a sole or surviving parent, this consent would not be needed if the stepparent abandoned or deserted the child, or if the stepparent has disappeared from the child's life. Further, if it is established that the stepparent did not know of the child's existence, this fact may warrant a finding that the stepparent has disappeared from the child's life. Note that this definition does not restrict the ability to file an alien relative visa petition (Form I-130) based on a stepparent/stepchild relationship if the requirements of section 101(b)(1)(B) of the Act are met. This rule also establishes a definition of “suitability as adoptive parents.” Section 101(b)(1)(G)(i)(I) of the Act requires that USCIS be “satisfied that proper care will be furnished the child,” before USCIS may approve a child's immigration as a Convention adoptee. The Convention, in turn, requires a finding of their “suitability” as adoptive parents. As the concept of “suitability as an adoptive parent” has essentially the same meaning as the concept that USCIS be “satisfied that proper care will be furnished the child,” this rule provides that the Convention requirement of “suitability' is met if the evidence establishes the statutory requirement of “proper care.” New 8 CFR 204.302—Use of Adoption Service Providers Most U.S. citizens seeking to complete an intercountry adoption use the services of an adoption agency. This assistance benefits both the prospective adoptive parents and USCIS since it is more likely that the home study will be properly prepared and that other necessary requirements will be properly met. New 8 CFR 204.302(a) makes clear that prospective adoptive parents may use such service providers. In Convention cases, however, certain adoption services may only be provided by individuals who, or agencies that, are authorized under 22 CFR part 96 to provide these services. An individual who, or agency that, is not authorized to do so under 22 CFR part 96 may not provide any of these six services, as listed in section 3(3) of the IAA: • Identifying a child for adoption and arranging an adoption; • Securing necessary consent to termination of parental rights and to adoption; • Performing a background study on a child or a home study on a prospective adoptive parent, and reporting on such a study; • Making non-judicial determinations of the best interests of a child and the appropriateness of adoptive placement for the child; • Post-placement monitoring of a case until final adoption; and • Where made necessary by disruption before final adoption, assuming custody and providing child care or any other social service pending an alternative placement. In some cases, USCIS has observed that it has appeared that an adoption service provider has prepared the Form I-600A or Form I-600 or other legal documents, and submitted them to USCIS. New 8 CFR 204.302(b) makes clear that an adoption service provider must be authorized under 8 CFR Part 292 to practice before USCIS if the adoption service provider will be “representing” the prospective adoptive parent(s) before USCIS. In order to engage in the regular practice of giving legal advice concerning what USCIS forms to complete and how to complete them, an individual must be an attorney (or supervised law student or graduate) or the accredited representative of a not-for-profit agency that has been authorized by the Board of Immigration Appeals to practice before USCIS. *See* 8 CFR 1.1(i),
(j)and
(k)and 8 CFR 292.1. An individual must also be an attorney (or supervised law student or graduate) or accredited representative in order to file a properly completed notice of appearance (Form G-28) (which must be filed by anyone claiming to represent a petitioner or applicant before USCIS), and to submit USCIS Forms to USCIS as the representative of the prospective adoptive parent(s). Someone who is not an attorney (or supervised law student or graduate) or accredited representative may only assist “in the completion of blank spaces on printed [USCIS] forms.” 8 CFR 1.1(k). Pursuant to section 201 of the IAA, new 8 CFR 204.302(b) also makes clear that an attorney's or accredited representative's legal services may not include the provision of any of the six specific adoption services specified in section 3(3) of the IAA, unless the attorney or accredited representative, in addition to being authorized to practice law before USCIS, is also authorized to provide these services in Convention cases. Furthermore, at least one of the prospective adoptive parent(s) must always be a U.S. citizen, who is therefore entitled to protection under the Privacy Act, 5 U.S.C. 552a. New 8 CFR 204.302(c) clarifies that, under the Privacy Act, USCIS will not disclose information about a Convention adoption case to an adoption service provider without the written consent of the prospective U.S. citizen adoptive parent(s). If the prospective adoptive parent(s) want(s) to give this consent, the prospective adoptive parent(s) may sign Form I-800A Supplement 2 and submit the Supplement 2 to DHS. Signing the Supplement 2, however, does not mean the service provider can act as the prospective adoptive parent(s)'s legal representative before DHS; it means only that DHS may provide information to the service provider that would otherwise be protected from disclosure by the Privacy Act. As with other records protected by the Privacy Act, the consent of the citizen adoptive parent(s) is not required in order for DHS to disclose information in a manner that qualifies as a routine use. 3 3 Routine uses for information collected under this rule can be found in the current DHS Privacy Act System of Records Notice that applies generally to the DHS Central Index System (72 FR 1755, January 16, 2007) and in the DHS System of Records Notice for the DHS/USCIS-005 Intercountry Adoptions system (72 FR 31086, June 5, 2007). New 8 CFR 204.303—Habitual Residence The Convention and section 101(b)(1)(G) of the Act apply to the adoption of a child “habitually resident” in a Convention country by a U.S. citizen “habitually resident” in the United States. Neither the Convention nor section 101(b)(1)(G) of the Act defines this critical term. This interim rule gives this term an expansive scope. Any U.S. citizen who is actually domiciled in the United States is habitually resident here. Equating “habitual residence” with “domicile,” however, would unduly narrow the availability of the benefits of the Convention. In many cases a U.S. citizen will be residing abroad temporarily, and yet be seeking to bring an adopted child to the United States when the United States citizen returns here. To permit broad availability of the Convention procedures, new 8 CFR 204.303(a)(2) provides that, in addition to U.S. citizens who are actually domiciled in the United States, a U.S. citizen who has been living abroad will also be deemed to be “habitually resident” in the United States if the U.S. citizen will be returning to establish a domicile in the United States on or before the date of the child's admission with an immigrant visa. The U.S. citizen who is living abroad will also be considered to be habitually resident in the United States, for purposes of a Convention adoption, if the United States citizen will be bringing the child to the United States after the child's adoption and before the child's eighteenth birthday, so that the child may be naturalized under section 322 of the Act. For the child whose adoption is sought, the child will, ordinarily, be deemed under new 8 CFR 204.303(b) to be habitually resident in the country of the child's citizenship. If the child lives in a country other than the country of citizenship, the child will be considered habitually resident there only if the child's status in that other country is sufficiently stable for that country properly to exercise jurisdiction over the child's adoption or custody. In the case of a child living outside the country of citizenship, USCIS will defer to the determination of that other country's Central Authority concerning whether the child's status in that country is sufficiently stable to permit that country to exercise jurisdiction over the child's adoption. Additionally, proposed 8 CFR 204.303(b) retains the provision in the definition of “foreign sending country,” in current 8 CFR 204.3(b), that precludes a child from being considered habitually resident in a country where the child is present only on a temporary basis, or “to which he or she travels either as a prelude to, or in conjunction with, his or her adoption and/or immigration to the United States.” If the child's presence in a country other than the country of citizenship is only temporary, so that that country will not exercise jurisdiction, the child will be deemed to be habitually resident in the country of citizenship. New 8 CFR 204.304—Improper Inducement Prohibited Current 8 CFR 204.3(i) requires denial of a Form I-600 or Form I-600A if the prospective adoptive parent(s), or someone acting for the prospective adoptive parent(s), “have given or will give money or other consideration either directly or indirectly to the child's parent(s), agent(s), other individual(s), or entity as payment for the child or as an inducement to release the child.” Article 4, paragraphs (c)(3) and (d)(4) of the Convention also precludes inducing any consent to adoption “by payment or compensation of any kind.” But note, this rule does not preclude paying legitimate expenses in connection with an adoption. New 8 CFR 204.304(a) provides a clear statement of what 8 CFR 204.3(i) and article 4 are intended to prevent. The decision of a parent or other custodian to release a child for adoption must be a free act for the adoption to be valid. Any payment or other consideration, no matter how small, will lead to denial of the Form I-800 if the evidence of record establishes that the payment or other consideration was given specifically to induce the child's release. New 8 CFR 204.304(b), in turn, identifies the type of payments that may generally be considered appropriate. This paragraph is modeled on the 1994 edition of the Uniform Adoption Act, as recommended by the National Conference of Commissioners on Uniform State Laws. The text of the Uniform Adoption Act is available on line at *http://www.law.upenn.edu/bll/archives/ulc/fnact99/1990s/uaa94.htm* . Certain payments to a prior parent may be proper, such as expenses related to the birth of the child, or to care of the child, or to care of a birth mother while pregnant and immediately after the child's birth. Any payment for any service related to an adoption will be reasonable only if it is permitted under the law where the payment is made, and if the amount is commensurate with the costs or living standards of the country in which the related service was provided. The new Form I-800 will require the petitioner to disclose the fees and other expenses paid in relation to the adoption. 4 4 Note that new 8 CFR 204.304 does not exhaust the regulatory provisions relating to adoption fees. Article 32 of the Convention provides generally that only “reasonable” fees may be paid in connection with a Convention adoption. Article 32 also bars improper financial or other gain from Convention adoptions. The accreditation regulation adopted by the Department of State, at 22 CFR part 96, gives the broader regulatory framework for adoption service providers. New 8 CFR 204.304 only addresses the actual payment of an inducement to obtain consent to the child's adoption. New 8 CFR 204.305—State Pre-Adoption Requirements Rather than completing a Convention adoption abroad, a U.S. citizen may also bring a Convention adoptee to the United States for purposes of completing the adoption in the United States. If the child will be adopted in the United States, section 101(b)(1)(G) of the Act requires that the prospective adoptive parents satisfy any pre-adoption requirements that apply to adoptions in the State where the child will be adopted. This requirement should ensure that the prospective adoptive parents will not be precluded from adopting the child, once the child is here. New 8 CFR 204.305 restates the pre-adoption requirements from current 8 CFR 204.3(f). New 8 CFR 204.306—General Overview of Convention Adoption Cases New 8 CFR 204.306 provides a general overview. As stated in section 204.306, a child may immigrate to the United States based on a proposed Convention adoption only if the adoptive parents establish that they are “suitable and eligible to adopt” and that the child qualifies as a Convention adoptee. The requirement of “suitability and eligibility to adopt” reflects the statutory requirement that DHS must be satisfied that the prospective adoptive parent(s) is
(are)eligible to file a Form I-800 (a married couple adopting jointly or a single person who is at least 25 when the petition is filed) and that the child will receive proper care. A finding that these statutory requirements are met will also satisfy the requirements of article 5(a) of the Convention. New 8 CFR 204.306(b) reflects articles 5(a), 17(d) and 19(1) of the Convention, under which a Convention adoption may go forward only after the competent authorities of the State to which the child will move have determined that the prospective adoptive parent(s) is
(are)“eligible and suitable to adopt.” Thus, unlike the current orphan procedure under 8 CFR 204.3(g)(4)—which allows for the “concurrent” filing of the Form I-600A by filing a Form I-600 supported by a home study and other evidence that would be filed with a Form I-600A—the prospective adoptive parent(s) in a Convention adoption case must file a Form I-800A, and may file the Form I-800 only if the Form I-800A is approved. New 8 CFR 204.307—Who May File Form I-800A or I-800 Under section 101(b)(1)(G) of the Act, a Convention adoptee may be brought to the United States if the child has been adopted by a U.S. citizen and his or her spouse, jointly, or by an unmarried U.S. citizen who is at least 25 years old. This provision corresponds to the requirements under section 101(b)(1)(F) of the Act for orphan petitions. As required by statute, new 8 CFR 204.307(b) permits an unmarried applicant to file the Form I-800 only after he or she is 25 years old. Section 101(b)(1)(G) of the Act, like section 101(b)(1)(F), does not set a minimum age for the filing of a Form I-800A. Currently, USCIS regulations at 8 CFR 204.3(b) permit the unmarried U.S. citizen to file a Form I-600A, but only if the person is at least 24 years old. This interim rule, 8 CFR 204.307(a), applies this provision to Convention cases. As with orphan cases filed under section 101(b)(1)(F) of the Act, permitting the unmarried citizen who wants to complete a Convention adoption to file the Form I-800A on or after his or her 24th birthday is simply an accommodation. Because section 101(b)(1)(G) of the Act specifically requires that an unmarried citizen must be at least 25 years old in order to file an immigrant visa petition, an unmarried citizen cannot file the Form I-800 before his or her 25th birthday, even if USCIS approves the Form I-800A before that date. New 8 CFR 204.307(c) is a provision that strengthens the provisions of 8 CFR 204.309(a) and (b)(3), discussed below, relating to the mandatory denial of a Form I-800A or Form I-800 based on specific types of misconduct. Under new 8 CFR 204.307(c), if USCIS denies a Form I-800A or a Form I-800 based on one of these grounds, the prospective adoptive parent(s) must wait at least one year before the prospective adoptive parent(s) may file a new Form I-800A or Form I-800. This one-year period, similar to current 8 CFR 204.3(h)(4), begins when the prior denial becomes final. If the prospective adoptive parent(s) appealed the prior denial, the one-year period will end one year after the Administrative Appeals Office affirms the denial, and the filing of a new Form I-800A or I-800 will also be barred while the appeal is pending. If there is no appeal, the one-year period begins on the date of the original denial. Even once this one-year period expires, USCIS may consider the prior misconduct in determining whether to approve a subsequent Form I-800A or Form I-800. The prospective adoptive parent(s) will be required to establish that the subsequent Form I-800A or Form I-800 should be approved, despite the prior misconduct. The prospective adoptive parent(s) may not use the later Form I-800A or Form I-800 as a vehicle to re-litigate whether the prior misconduct actually occurred. New 8 CFR 204.307(c) is rooted in the requirement under section 101(b)(1)(G)(i)(I) of the Act that the Secretary must be satisfied that, if allowed to immigrate, a Convention adoptee will receive proper parental care. If the prospective adoptive parent(s) has
(have)already engaged in improper conduct that was sufficiently great to warrant the denial of an earlier Form I-800A or Form I-800, USCIS must take note of this fact in any subsequent case. New 8 CFR 204.308—Where to File Forms I-800A and I-800 Current 8 CFR 204.3(g) provides a detailed, and somewhat complex, framework for determining where to file a Form I-600A or a Form I-600 in orphan cases. New 8 CFR 204.308 is the corresponding jurisdictional provision for this rule. In more recent years, however, USCIS has not specified which office had jurisdiction to adjudicate a petition or application in the regulations governing adjudication of the petition or application. Rather, USCIS has used the form instructions to specify the correct jurisdiction. See, *e.g.* , 8 CFR 103.2(b)(6). This practice makes it possible for USCIS to adopt “Direct Mail” filing procedures and other improvements by changing the form instructions, rather than having to adopt a formal amendment to a regulation. New 8 CFR 204.308 follows this practice. USCIS is studying the feasibility of allowing for electronic filing of orphan cases. To prepare for this possible change, proposed 8 CFR 204.308(d) provides that, if electronic, internet-based, or other digital filing becomes available, the submission of the information and evidence required for Form I-800A and Form I-800 cases through the digital filing protocol will be the equivalent to paper filing. USCIS anticipates that, at least initially, the jurisdictional provisions relating to the filing of Forms I-800A and I-800 will closely follow current practice for orphan cases under section 101(b)(1)(F) of the Act. A flowchart showing the anticipated processing path of a Convention adoption case is included in the docket for this rule at *http://www.regulations.gov* , DHS Docket No. USCIS-2007-0008. As with orphan cases under section 101(b)(1)(F) of the Act, both USCIS officers and Department of State officers will have jurisdiction to adjudicate a Form I-800. If the prospective adoptive parent(s) live in the United States or Canada and file the Form I-800 before traveling abroad to complete the child's adoption, the prospective adoptive parent(s) will file the Form I-800 with the USCIS office that has jurisdiction over the actual or, for those in Canada, intended place of residence in the United States. If the prospective adoptive parent(s) live(s) in the United States, but travel abroad before filing the Form I-800, the Form I-800 may be filed with a USCIS office in the child's country of habitual residence, if the prospective adoptive parent(s) is
(are)physically in that country at the time of filing. If the prospective adoptive parent(s) live(s) abroad, and USCIS has an office in the country in which they reside, the prospective adoptive parent(s) may file the Form I-800 with that office, although the prospective adoptive parent(s) may also file it with the USCIS office in the United States that has jurisdiction over the intended place of residence in the United States. Filing the Form I-800 with a Department of State officer would be appropriate if:
(i)The prospective adoptive parent(s) is
(are)actually physically present in the consular district at the time of filing, and
(ii)there is no USCIS office in that country. There is one significant change from the practice that has been followed in orphan cases with respect to the way a Form I-800 will be adjudicated. Under article 5 of the Convention, a Convention adoption should not occur until the receiving State has determined that the child will be authorized to immigrate. USCIS, in consultation with the Department of State, has determined that a two-step approval process is needed in order to ensure compliance with the Convention. Thus, a Form I-800 will have to be provisionally approved before the prospective adoptive parent(s) actually adopt(s) or obtain(s) custody of the child. If the Form I-800 is filed with USCIS, the USCIS officer will decide whether to grant provisional approval. The Department of State officer will make this decision if the Form I-800 is filed with the Department of State officer and the Department of State officer finds that the Form I-800 is clearly approvable. Under this rule, the decision to grant final approval of a Form I-800 will generally be made by the Department of State officer who adjudicates the related visa application, rather than a USCIS officer. Regardless of where the Form I-800 is filed, it will, upon provisional approval, be forwarded to the appropriate Department of State officer for final approval. As with orphan cases, however, a Department of State officer will not have authority to deny a Form I-800. If the Department of State officer finds that he or she cannot clearly grant provisional or final approval, the Department of State officer will forward the case to the appropriate USCIS office for decision. New 8 CFR 204.309—Factors Requiring Denial of a Form I-800A or I-800 As noted, current 8 CFR 204.3(e)(2)(iii)(D) permits USCIS to deny a Form I-600A or Form I-600 if the prospective adoptive parents conceal material facts or fail to cooperate in the completion of the home study. This principle is carried forward in new 8 CFR 204.309(a). Under the current rule, the question of whether to deny a Form I-600A or Form I-600 based on one of these improprieties is discretionary. New 8 CFR 204.309(a), by contrast, makes denial mandatory. Under section 101(b)(1)(G)(i)(I) of the Act, DHS may approve prospective adoptive parent(s) for intercountry adoption only if DHS is satisfied that any child that may be adopted will receive proper care. DHS is not willing to make this finding in any case in which the prospective adoptive parent(s) has
(have)failed to disclose all facts concerning issues that may have a bearing on whether USCIS should find that the prospective adoptive parent(s) is
(are)suitable for intercountry adoption. New 8 CFR 204.309(b) lists certain factors that will require denial of a Form I-800. New 8 CFR 204.309(b)(1) requires denial of a Form I-800 if the adoptive parents adopted the child, or obtained custody of the child, before the provisional approval of the Form I-800. This provision reflects the requirement of article 5(c) and 17(d) of the Convention that the child's eligibility to immigrate is to be determined before the adoption occurs. USCIS acknowledges that the rule can work a hardship in cases in which the prospective adoptive parent(s), in good faith, adopted the child before beginning the Convention process. For this reason, new 8 CFR 204.309(b)(1) provides that, if the competent authority in the country of the child's habitual residence voids the adoption or custody order, then the fact that the prospective adoptive parent(s) had already adopted, or obtained custody of, the child before the Form I-800 was provisionally approved will no longer preclude provisional approval of the Form I-800. The prospective adoptive parent(s) would then adopt the child again, after complying with the Convention procedures, and after provisional approval of the Form I-800. The prospective adoptive parent(s) must have the prior adoption or custody order voided before the prospective adoptive parent may file the Form I-800. Article 29 of the Convention restricts the ability of the prospective adoptive parents to have contact with the prospective adoptee's parents or other custodians. New 8 CFR 204.309(b)(2) provides that a Form I-800 must be denied if any such contact occurred before the contact was legally permitted. Generally, contact is permitted only after USCIS has approved a Form I-800A and after the Convention country has determined that the child is eligible for intercountry adoption and that the necessary consents to adoption have been given. Earlier contact is permitted only as allowed under the conditions established by the competent authority of the Convention country, or in the case of an intra-family adoption. In the case of a child who was adopted without compliance with the Convention requirements, if the other Convention country voids the adoption and allows the child to be adopted again after complying with the Convention, any contact that had occurred will be considered to have been approved. New 8 CFR 204.309(b)(3) and (b)(4) are drawn from current 8 CFR 204.3(i) and (k)(2), respectively. As noted, 8 CFR 204.3(i) requires the denial of a case if there is a finding of “child buying.” New 8 CFR 204.309(b)(3) applies the same principle to Convention adoption cases. Under 8 CFR 204.3(k)(2), a child who is already in the United States is generally not eligible for classification as an orphan. The only exception is for a child who has been paroled into the United States; even then, the child is eligible only if the child has not already been adopted in the United States. New 8 CFR 204.309(b)(4) would change this principle. DHS has concluded that limiting the benefits of intercountry adoption to parolees, and barring this benefit to aliens admitted as nonimmigrants, can work a significant hardship. For example, some children are brought to the United States as nonimmigrants for emergency medical treatment. If the child later becomes eligible for intercountry adoption, current 8 CFR 204.3(k)(2) requires the child to leave the United States first in order to be eligible to qualify for an orphan petition. In at least some cases, however, the medical condition that warranted bringing the child here makes it difficult or ill-advised for the child to go abroad for adoption. The underlying purpose for current 8 CFR 204.3(k)(2) is to respect the jurisdiction of the country of the child's habitual residence over the child's placement and welfare. This interest, however, can be protected without having a rule as restrictive as current 8 CFR 204.3(k)(2). As noted in the discussion of the proposed amendment to 8 CFR 204.2(d)(2)(vii), a child who has already been brought to the United States will generally still be considered to be habitually resident in the Convention country. A child who is already present in the United States—as a parolee, nonimmigrant, or even in an unlawful status—will be able to be the beneficiary of a Convention adoption. It will, however, be necessary for the prospective adoptive parent(s) to comply with the Convention requirements and those of section 101(b)(1)(G) of the Act. This means that it will be necessary either to adopt the child in the Convention country, or to obtain custody of the child in the Convention country for purposes of adoption in the United States. To avoid unnecessary hardship to the child, however, the rule does not require the child to return abroad. Rather, it may be possible for USCIS to approve a Form I-800, if the Central Authority of the other Convention country will permit the prospective adoptive parents to complete the Convention process while the child remains in the United States. Note that approval of a Form I-800 does not waive any substantive eligibility requirements that must be met for adjustment of status. As an immediate relative, the beneficiary of an approved Form I-800 would not be subject to ineligibility for adjustment under section 245(c)(2) of the Act, 8 U.S.C. 1255(c)(2), based on a failure to maintain lawful immigration status, nor under section 245(c)(4), based on having been admitted under the Visa Waiver Program. A child who is present without having been inspected and admitted, however, is ineligible for adjustment under section 245(a) of the Act, 8 U.S.C. 1255(a). Section 245(i) of the Act, 8 U.S.C. 1255(i), will not waive this requirement for Convention adoptees, since no Form I-800 will have been filed before April 30, 2001, as required by section 245(i). If the child would not be eligible for adjustment of status, the Form I-800 may be provisionally approved only if the child will, upon provisional approval, go abroad to obtain a visa. New 8 CFR 204.309(b)(5) requires denial of a Form I-800 if it is filed before a Form I-800A has been approved, after an approval has expired, or after a Form I-800A has been denied. This provision is necessary to give effect to the principle that the prospective adoptive parent(s) must be found suitable for adoption before they may pursue the adoption of a specific child. New 8 CFR 204.307(c) bars the filing of a new Form I-800A or Form I-800 within one year after a prior Form I-800A, I-800, I-600A, or I-600 was denied based on one of the specific types of misconduct stated in the rule. New 8 CFR 204.309(a)(4) and (b)(6) require the denial of any Form I-800A or I-800 filed during this one-year period. If a Form I-800A, or Form I-800 under 8 CFR 204.307(c), is denied, no administrative appeal will be available. New 8 CFR 204.309(c) establishes that, before denying a case under the new 8 CFR 304.309(a) or (b), USCIS will issue a notice of intent to deny the Form I-800A or Form I-800, so that the prospective adoptive parent(s) will have an opportunity to counter the claim that 8 CFR 204.309(a) requires denial of the Form I-800A. The response period for a notice of intent to deny in a Convention case will be 30 days. New 8 CFR 204.310—Form I-800A Filing Requirements The general filing requirements for a Form I-800A are set forth in new 8 CFR 204.310. In general, this new provision corresponds to current 8 CFR 204.3(c). If a married couple files the Form I-800A, both spouses must sign the Form I-800A personally. This means that one spouse cannot sign for the other, even under a power of attorney or similar agency arrangement. If the prospective adoptive parent is not married, he or she must present his or her birth certificate, or other evidence to establish that he or she is at least 24 years old. This provision mirrors the provision that has been followed in orphan cases: Although, by statute, the unmarried prospective adoptive parent may not file the visa petition until he or she is at least 25, the unmarried prospective adoptive parent may begin the process by filing the application for approval as an adoptive parent at age 24. *Cf. 8 CFR 204.3(b) (definition of “prospective adoptive parent”)* . As contemplated by article 5(a) of the Convention, the prospective adoptive parent(s) seeking to adopt a Convention adoptee must file the Form I-800A before the prospective adoptive parent(s) has
(have)adopted or obtained custody of the child. The most significant change from 8 CFR 204.3(c) concerns the submission of the home study. Under current 8 CFR 204.3(c)(2), the prospective adoptive parent(s) in an orphan case may submit the home study up to one year after the filing of the Form I-600A. This provision serves little purpose. As the home study is the single most important item of evidence in determining the suitability of the prospective adoptive parent(s) for adoption, under new 8 CFR 204.310(a)(3)(vi) the home study must be submitted with the Form I-800A. If the home study is missing, USCIS will send a request for evidence, directing that the home study be submitted. If the home study is not submitted within the period specified in the request for evidence, the Form I-800A will be denied, without prejudice to the filing of a new Form I-800A, with a new filing fee. Under new 8 CFR 204.310(b), USCIS will arrange for the fingerprinting of the prospective adoptive parent(s) and any additional adult household members once the Form I-800A is filed. This provision mirrors current practice. The rule also makes clear that, unlike some types of cases, there is no upper age limit after which a person need not be fingerprinted. For example, an applicant for adjustment of status who is over 79 years old generally is not required to submit fingerprints. Applying this exception to intercountry adoption cases is not consistent with the protection of a child's best interests, since an older person could have a history of crime, sexual abuse, or child abuse that would be relevant to whether a child should be placed in the home. New 8 CFR 204.311—Convention Adoption Home Study Requirements Drawn from current 8 CFR 204.3(e), new 8 CFR 204.311 establishes the requirements that a home study must meet, in order to be admissible as evidence in a Form I-800A case. The rule includes some important changes. The most important Convention-related change concerns who may conduct a home study. Sections 201 and 404 of the IAA make it unlawful for any individual or entity to provide any of the six adoption services identified in section 3(3) of the IAA in connection with a Convention adoption, unless specifically authorized to do so. The Department of State, as the U.S. Central Authority, published in the **Federal Register** on February 15, 2006, at 71 FR 8064, a comprehensive regulation governing the accreditation or approval of individuals and agencies as authorized adoption service providers in Convention adoption cases. As noted earlier, new 8 CFR 204.301 incorporates these requirements by reference into the definition of “home study preparer” that applies to Convention adoption cases. New 8 CFR 204.311(a) restates the first sentence of current 8 CFR 204.3(e). New 8 CFR 204.311(b) incorporates the requirement that only someone authorized to do so under 22 CFR part 96 may complete a home study for a Convention adoption. New 8 CFR 204.311(c) gives a general overview, drawn from 8 CFR 204.3(e), of the general requirements that all home studies must meet. New 8 CFR 204.311(d) restates provisions, from 8 CFR 204.3(e)(2)(i) and (iii)(D), concerning the applicant's duty to disclose all information relevant to the proper completion of the home study. In particular, new 8 CFR 204.311(d) states the general requirement that the applicant, and any additional adult household member, must answer, truthfully and completely, all questions relating to the proper completion of the home study. USCIS regularly encounters cases in which a person failed to disclose an arrest or conviction. When USCIS raises the issue, the person may respond that he or she did not think that it had to be disclosed because it had been dismissed, expunged, or subjected to some other amelioration. Section 101(a)(48) of the Act, 8 U.S.C. 1101(a)(48), however, makes it clear that the disposition of a case may constitute a conviction, for purposes of the Act, even if it is no longer a conviction for State law purposes. More fundamentally, any arrest, regardless of the disposition, has the potential to be relevant in determining a person's suitability as an adoptive parent. New 8 CFR 204.311(d) makes clear, therefore, that the applicant, and any additional adult household members, must disclose each and every arrest or conviction, even if it has been erased, dismissed, expunged, or ameliorated in any other way. New 8 CFR 204.311(f) requires the home study preparer to certify that he or she advised the prospective adoptive parent(s) of this duty to disclose. New 8 CFR 204.311(e) restates the requirement in 8 CFR 204.3(e) that a home study must meet applicable State standards. This provision also corresponds to 22 CFR 96.47(b). New 8 CFR 204.311(f) requires the home study preparer to sign the home study under penalty of perjury. In doing so, the home study preparer declares that he or she either conducted or supervised the completion of the home study and that the factual statements in the home study are true to the best of the signer's knowledge, information and belief. Currently, 8 CFR 204.3 does not expressly require the home study to be signed under penalty of perjury. Adding this requirement reflects the fact that the home study is evidence in a legal proceeding. Current 8 CFR 204.3(e) requires the home study preparer to interview the prospective adoptive parent(s) in person and to visit the home. New 8 CFR 204.311(g) includes this requirement, but adds the requirement that the home study must state specifically when and where these interviews and visits took place. The home study preparer must also interview any additional adult members of the household. Unlike the interview(s) with the prospective adoptive parent(s), it is not strictly necessary to conduct face-to-face interviews of these other persons. The interview of an additional adult household member should be in person, if possible. If, for example, the additional adult household member is temporarily away at school, however, it may not be feasible to do the interview in person. Thus, new 8 CFR 204.311(g) allows the home study preparer to state that the interview with the additional adult household member was not done in person, and give a reason why the home study preparer decided it was appropriate to interview the person in this way. New 8 CFR 204.311(g)(3) and
(4)restate the requirements of 8 CFR 204.3(e)(2)(i). New 8 CFR 204.311(h) restates current 8 CFR 204.3(e)(2)(ii). New 8 CFR 204.311(i) and
(j)are drawn from current 8 CFR 204.3(e)(2)(iii), relating to the screening of prospective adoptive parents against child abuse registries. The rule includes a significant change. The home study preparer will be required under new 8 CFR 204.311(i)(1) to check the child abuse registries for any State or country in which the prospective adoptive parent(s) or additional adult household members has
(have)lived since the age of 18. Current 8 CFR 204.3(e)(2)(iii)(A)(1) requires checking “available” registries, but does not specify the period that the checks must cover. Current 8 CFR 204.3(e)(2)(iii)(2) requires the home study preparer to ask whether a prospective adoptive parent or household member has any history of substance abuse, sexual abuse, child abuse, or domestic violence. The person must disclose any such history as an offender, even if there has never been an arrest or conviction. A single incidence of sexual abuse, child abuse, or family violence, under 8 CFR 204.311(c)(14), is enough to constitute a “history.” A history of substance abuse, by contrast, might not involve a single act of substance abuse. For substance abuse, the concern under 8 CFR 204.311(c)(15) is whether the person's abuse has resulted in an impairment that may adversely affect suitability as adoptive parent(s). New 8 CFR 204.311(k) requires the applicant, and any adult member of the household, to disclose any criminal history (other than minor traffic offenses), in addition to any history involving sexual abuse, child abuse, or family violence. This provision is drawn from 8 CFR 204.3(e)(2)(v). New 8 CFR 204.311(l), drawn from 8 CFR 204.3(e)(2)(iii)(C), describes the type of evidence to be submitted to establish that a person with a history of sexual abuse, child abuse, family violence, or any other criminal activity, may show sufficient rehabilitation to warrant approval of a Form I-800A. The new provision makes clear that a home study preparer may not make a favorable recommendation if the applicant, or an additional adult member of the household, is on probation due to a criminal conviction. Approval will be possible only once the person has completed, and been discharged from, the probation. New 8 CFR 204.311(m) requires the home study preparer to address issues of physical, mental or emotional health, or behavioral issues of the prospective adoptive parent(s) and any additional adult members of the household, as these issues may affect the suitability of the prospective adoptive parent(s) for intercountry adoption. This provision is drawn from current 8 CFR 204.3(e)(2)(i). New 8 CFR 204.311(n), like current 8 CFR 204.3(e)(2)(iv), requires the disclosure, and provision of a copy, of any prior home study that did not favorably recommend the prospective adoptive parent(s), or an additional adult member of the household, for adoption or other custodial care of a child. If a copy of the prior home study is no longer available, the applicant must explain why it is not available. To ensure that USCIS has a complete history, the rule also requires the disclosure of any prior home study process that was initiated, but terminated without a formal home study having been completed. New 8 CFR 204.311(o) and
(p)are drawn from current 8 CFR 204.3(e)(3) and 204.3(e)(4). New 8 CFR 204.311(q) is drawn from section 203(b)(1)(A)(ii) of Pub. L. 106-279, 114 Stat. 833. Any home study for a proposed Convention adoption must specifically address whether the prospective adoptive parent(s) will actually be eligible to adopt or obtain custody of a child from the Convention country. To ensure that the United States and adoption service providers will be aware of these requirements, section 102(b)(2) and
(3)of Pub. L. 106-279 requires the Department of State to obtain from other Convention countries, and make available to adoption service providers, any special requirements relating to eligibility to adopt in those countries. Once the Department of State has obtained this information and made it available, new 8 CFR 204.311(q) will require that the home study address those requirements. For example, if a particular Convention country sets a maximum (or minimum) age for prospective adoptive parent(s), the home study will have to specifically state that requirement and assess whether the prospective adoptive parent(s) meet(s) the requirements. Note that USCIS will not deny a Form I-800A based solely on the other Convention country's requirements. It is for that other Convention country to determine how to apply its own law to a particular case. Including this information in the home study is meant to ensure that the prospective adoptive parent(s) is
(are)aware of the requirements, that the home study preparer can assess the relevance of these requirements, and that the prospective adoptive parent(s) may make an informed decision about whether to attempt to adopt in a particular country. New 8 CFR 204.311(r) is drawn from current 8 CFR 204.3(e)(6). The home study preparer must specifically recommend for or against approval of the prospective adoptive parent(s) as suitable as the adoptive parent(s) of a Convention adoptee. As noted, new 8 CFR 204.311(e) requires the home study preparer to prepare the home study according to the requirements that apply to home studies in the State of residence of the prospective adoptive parent(s). The home study must also specify the scope of the recommendation, and note whether the home study preparer recommends any restrictions concerning the age, gender, or other characteristics of the intended adopted child. New 8 CFR 204.311(s) and
(t)address the review of the home study. First, under 8 CFR 204.311(s), the home study preparer must specify the basis of the authority to complete the home study. As noted, only someone authorized under 22 CFR part 96 to complete a Convention home study may do so. If the home study preparer is not a public domestic authority or an accredited agency or temporarily accredited agency as defined in 22 CFR part 96, then, under 8 CFR 204.311(t)(2), an accredited agency or temporarily accredited agency must review and approve the home study before it can be submitted to USCIS. Finally, 8 CFR 204.311(t)(1) also requires review of the home study by the competent authority of the State in which the prospective adoptive parent(s) reside, if that State's law requires this review. New 8 CFR 204.311(t)(1) is drawn from current 8 CFR 204.3(e)(8). New 8 CFR 204.311(u) is drawn from current 8 CFR 204.3(e)(9), relating to the need to amend or update a home study. An amended or updated home study is subject to the same review requirements, in new 8 CFR 204.311(s) and (t), that apply to the initial home study. It is not universally the case that an amended or updated home study is completed by the same home study preparer. For the sake of completeness, new 8 CFR 204.311(u) requires that any amended or updated home study must include a copy of the earlier home study (and all prior updates or amendments) and the preparer must specifically state that the preparer reviewed the prior home study (and any prior amendments or updates) and is aware of its contents. USCIS, of course, will already have a copy of the original home study and any prior update or amendment. Requiring the update or amendment to include the prior home study ensures that the home study preparer did, in fact, receive a copy of these prior documents. If it becomes necessary to amend or update the home study while the Form I-800A is still pending, the prospective adoptive parent(s) need only submit it to USCIS. In some cases, however, the change that necessitates an amended or updated home study will occur after USCIS has approved the Form I-800A. The INS never developed a standardized process for submitting an amended or updated home study after approval of a Form I-600A. This rule fills that void. Rather than requiring a motion to reopen, new 8 CFR 204.311(u) allows the prospective adoptive parent(s) to submit the updated or amended home study with a properly completed Form I-800A Supplement 3, with the filing fee established by 8 CFR 103.7(b). The basis for calculating the Form I-800A Supplement 3 filing fee is discussed below, in relation to new 8 CFR 204.312(e)(3), governing the extension of the approval period for a Form I-800A. As noted in that discussion, the filing fee for the Form I-800A Supplement 3 is less than the fee for a motion to reopen. If USCIS finds that the updated or amended home study supports the validity of the decision approving the Form I-800A, USCIS will issue a new approval notice. The new notice will not extend the approval period; new 8 CFR 204.312(e)(3) covers that issue. New 8 CFR 204.312—Adjudication of the Form I-800A New 8 CFR 204.312(a) states the burden of proof and persuasion that must be met in order for USCIS to approve a Form I-800A. USCIS will approve the Form I-800A if the prospective adoptive parent(s) establish(es) that the prospective adoptive parent(s) is
(are)eligible to file a Form I-800A (i.e., a married couple, at least one of whom is a United States citizen, or an unmarried United States citizen who is at least 24) and that the prospective adoptive parent(s) is
(are)are suitable as the adoptive parent(s) of a Convention adoptee. New 8 CFR 204.312(b) and
(c)correspond to current 8 CFR 204.3(h)(2) and 204.3(h)(4) through (h)(7). First, new 8 CFR 204.312(b), like current 8 CFR 204.3(h)(2), makes it clear that it is for the USCIS officer, not the home study preparer, to decide whether the Form I-800A should be approved. Although the home study will have considerable evidentiary weight, the USCIS officer is not bound to approve a Form I-800A simply because the home study is favorable. The officer may consult the accredited or temporarily accredited agency, the home study preparer, the prospective adoptive parents, State or local child welfare agencies, or other professionals. If USCIS denies the Form I-800A, new 8 CFR 204.312(c) will require USCIS to inform the prospective adoptive parents of the reasons for the denial, and of the right to file an administrative appeal. New 8 CFR 204.312(d) provides for the issuance of an approval notice, if USCIS approves the Form I-800A. The rule deletes, as no longer necessary, the current requirement in 8 CFR 204.3(j)(1) regarding the issuance of “telegraphic notification” of the approval to a visa issuing post. The availability of the National Visa Center, fax transmissions, and e-mails obviate the need for “telegrams.” New 8 CFR 204.312(d)(2) requires that, once the Form I-800A is approved, any submission of the home study to the Central Authority of the other Convention country must include the entire and complete text of the same home study, including any amendments or updates, that was submitted to USCIS. This requirement harmonizes DHS regulations with the accreditation standards found in 22 CFR 96.47(d). New 8 CFR 204.312(e)(1) defines the approval period for a Form I-800A. Under current 8 CFR 204.3(h)(3)(i), the approval notice for a Form I-600A in an orphan case is valid for 18 months. Except for 8 CFR 204.3(h)(3)(ii), a special provision adopted in 2003 in response to the outbreak of Severe Acute Respiratory Syndrome (SARS), 8 CFR 204.3(h)(3) includes no provision for the extension of this approval period. If the Form I-600A approval expires before a child is located for adoption, the current rule requires the prospective adoptive parents either to file a new Form I-600A, or else to file with the Form I-600 the type of evidence necessary for approval of a Form I-600A. The current rule presents two problems. From the point of view of the protection of an adopted child, the approval period is too long. Standard USCIS policy has been that the FBI's clearance of a person's fingerprints is valid for 15 months. After that period, USCIS will not assume that the person's criminal history remains unchanged. Thus, by making the approval of a Form I-600A valid for 18 months, there is some risk that a Form I-600 may be approved without the discovery of new, adverse information. From the perspective of prospective adoptive parents, by contrast, the inability to obtain an extension of the approval period creates uncertainty, since some countries will not match for adoption a prospective adoptive parent whose Form I-600A approval has expired, despite the ability to obtain a new approval. DHS adopted a provisional remedy to this problem under the final fee rule, published on May 30, 2007, at 72 FR 29851. The fee rule amended 8 CFR 103.7(b) to permit the prospective adoptive parent(s) to make one request to extend the approval period of Form I-600A. Id. at 29874. No fee was established for this request, since the proposed rule did not include any provision on this issue. New 8 CFR 204.312(e)(1) and
(3)seek to provide a more comprehensive resolution to both problems. First, under new 8 CFR 204.312(e)(1), the initial approval period for a Form I-800A in a Convention case will be 15 months from the date USCIS received the initial FBI response for the fingerprints of the prospective adoptive parent(s) and any additional family members. If the initial 15-month period is about to expire, the fingerprints must be submitted again before approval, as specified in new 8 CFR 204.310. Moreover, under new 8 CFR 204.312(e)(3), the prospective adoptive parent(s) will be able to request an extension of the approval period for an additional 15 months. To obtain this extension, if the approval of the Form I-800A is about to expire but no Form I-800 has yet been filed, the prospective adoptive parent(s) will file Form I-800A Supplement 3, without having to pay the Supplement 3 filing fee (for the first request for an extension), with an updated or amended home study. If USCIS finds that approval of the Form I-800A remains warranted, USCIS will extend the approval period for an additional 15 months, from the date USCIS receives the new FBI response on the fingerprints. As noted, if the prospective adoptive parents have not yet filed a Form I-800, no filing fee will be required to file Form I-800A Supplement 3 in order to obtain a first extension of the Form I-800A approval. This interim rule, however, is broader than the solution adopted in the final fee rule, in that under this interim rule there is no limit to the number of times the approval of a Form I-800A may be extended. As long as the prospective adoptive parents are still seeking to adopt a child, and are still suitable as adoptive parents, they may seek extensions as often as needed to keep the Form I-800A approval current. If the prospective adoptive parents will need to file a new Form I-800A Supplement 3 to obtain a second, or subsequent, extension of the approval of the Form I-800A, however, they will need to pay the Form I-800A Supplement 3 filing fee for the second or subsequent request. This interim rule adopts the filing fee for Form I-824, Application for Action on Approved Petition or Application, as the filing fee for Form I-800A Supplement 3 because USCIS anticipates that the cost of adjudicating an extension request will be substantially similar to the cost of adjudicating Form I-824. USCIS currently uses Form I-824 in a variety of situations in which a petitioner or applicant asks USCIS to take a specific act on an approved petition or application. USCIS will re-examine its fee structure again in 2 years in accordance with OMB requirements and all application and petition fees may be adjusted then. The actual experience of USCIS in adjudicating extension requests will be used to determine the fee for extension requests at that time. As noted, the Form I-800A Supplement 3 filing fee is considerably less than the fee for a motion to reopen or to file a new Form I-800A. As a change in marital status is a considerable change in the facts supporting a prior approval, under 8 CFR 204.312(e)(2), approval of a Form I-800A will be revoked automatically if an unmarried prospective adoptive parent marries, or if the marriage of a prospective adoptive parent couple ends. Revocation of the approval of the Form I-800A will be without prejudice to the filing of a new Form I-800A and Form I-800, reflecting the change in marital status. As stated previously, when the prospective adoptive parents are married, both spouses must adopt the child. For this reason, 8 CFR 204.312(e)(2) also provides that approval of a Form I-800A is automatically revoked if either spouse withdraws his or her signature on the Form I-800A. New 8 CFR 204.313—Filing and Adjudication of Form I-800 Once USCIS has approved a Form I-800A and the prospective adoptive parent(s) has
(have)identified a child who may qualify for immigration as a Convention adoptee, the next step is to file Form I-800. New 8 CFR 204.313 governs the filing and adjudication of Forms I-800. The basic framework is drawn from current 8 CFR 204.3(d). The most significant difference, in comparison with orphan cases, is that the prospective adoptive parent(s) must file the Form I-800 *before* they adopt or obtain custody of the child. This provision reflects the requirements of article 5(c) of the Convention. The fundamental Convention principle is that the child's eligibility for immigration, based on the proposed adoption, must be determined before the adoption or custody can take place. For this reason, new 8 CFR 204.313 provides a two-step process. First, the prospective adoptive parent(s) must submit a properly completed Form I-800 and evidence that the alien child qualifies as a Convention adoptee. The most important items of evidence will be the Central Authority's reports that document the child's eligibility for intercountry adoption. If the USCIS or Department of State officer finds that the child qualifies as a Convention adoptee, the USCIS or Department of State officer will issue a provisional approval of the Form I-800. The provisional approval permits the prospective adoptive parent(s) to complete the adoption or, for a child who will be adopted in the United States, to obtain custody of the child for purposes of emigration and adoption. Note that one requirement under article 5(b) of the Convention is that all necessary counseling must be completed before the adoption takes place. The required counseling is described in 22 CFR 96.48. At the Form I-800A stage, the home study is required to discuss the extent to which counseling has been completed and outline a plan for further counseling. New 8 CFR 204.311(c)(8). Further, before the Form I-800 can be provisionally approved, the adoption service provider must submit evidence that the remaining required counseling has been completed. New 8 CFR 204.313(c)(3). Section 101(b)(1)(G) of the Act requires that the visa petition in a Convention case must be filed before the child's sixteenth birthday. There is no authority to permit a later filing. This rule does establish, however, two special provisions for cases involving children who are placed for adoption in cases initiated while the child is 15: • If the prospective adoptive parent(s) filed the Form I-800A after the child's fifteenth birthday but before the child's sixteenth birthday, the Form I-800A filing date will be treated as the Form I-800 filing date, but only if the Form I-800 is filed within 180 days after the initial approval of the Form I-800A; • If the Central Authority places the child for adoption more than 6 months after the child's 15th birthday but before the child's 16th birthday, and the reports that must accompany the Form I-800 are not yet available, the prospective adoptive parent(s) may file the Form I-800 without those reports, but the Form I-800 will not be provisionally approved until the reports are submitted. When the Form I-800 is filed without the required reports, so as not to miss the filing deadline on the day before the child's sixteenth birthday, the prospective adoptive parents would, instead, present a declaration from the adoption service provider that the Central Authority has, in fact, made the decision to place the child with the prospective adoptive parent(s) for adoption. The rule includes a special provision concerning the child's admissibility. Ordinarily, whether an alien beneficiary of a visa petition is admissible is not addressed in the visa petition proceeding. *Matter of O-,* 8 I&N Dec. 295 (BIA 1959). Article 5(c) of the Convention, however, provides that a Convention adoption should not occur, unless the child “is or will be authorized to enter and reside permanently” in the receiving country. For this reason, new 8 CFR 204.313(d)(5) permits the prospective adoptive parent(s) to file with the Form I-800 an application for any waiver that may be necessary to overcome a known or suspected ground of inadmissibility. Provisional approval of the Form I-800 will include approval of the waiver application, although the waiver will be void if the child does not actually immigrate on the basis of the approved Form I-800. If it is determined that the waiver application will be denied, provisional approval of the Form I-800 will not be granted. Similarly, many Convention adoptees will not be subject to the affidavit of support requirement under section 213A of the Act, either because their adoptive parents already have 40 quarters of coverage under the Social Security Act or else because the children will acquire United States citizenship under section 320 of the Act upon admission. 8 CFR 213a.2(a)(2)(ii)(C) and (E). Thus, new 8 CFR 204.313(d)(6) permits the prospective adoptive parent(s) to file the Form I-864W, Intending Immigrant's I-864 Exemption, or, if needed, Form I-864, with the Form I-800. New 8 CFR 204.313(f) provides authority to conduct an investigation before the provisional or final approval of a Form I-800. This investigation corresponds to the “I-604 investigation” that is conducted in orphan cases. *See* 8 CFR 204.3(k)(1). Unlike the “I-604 investigation,” new 8 CFR 204.313(f) does not require an investigation in every case. The respective roles of the Central Authorities should make it more readily apparent that the documents submitted with a Form I-800 are legally sufficient to establish that the child is eligible to immigrate as a Convention adoptee. USCIS anticipates that, as a general principle, it will accept the Central Authority's certification that the consents necessary to make the child eligible for adoption are valid. New 8 CFR 204.313(f) does, however, permit an investigation, if the USCIS officer or Department of State officer believes that an investigation is necessary to the proper adjudication of the case. Consequently, even when the Central Authority has provided a certification that appears proper, USCIS may deny a Form I-800 if, as a result of an investigation, USCIS finds that the purported consents are not valid, or that the child, for any other reason, does not qualify as a Convention adoptee. The prospective adoptive parent(s) may either complete the adoption abroad, or else obtain custody of the child in order to bring the child to the United States for adoption, after
(1)USCIS (or the Department of State officer acting on behalf of USCIS) has provisionally approved the Form I-800;
(2)the consular officer has annotated the visa application as specified in the Department of State rule published in the **Federal Register** on June 22, 2006, at 71 FR 35847; and
(3)the Department of State has provided the notice contemplated by article 5(c) of the Convention. Upon completing the above processes, the parents would then present the adoption or custody decree to the Department of State officer with jurisdiction to adjudicate the child's visa application. Once the Secretary of State has certified that the adoption or custody decree satisfies the Convention and IAA requirements, and all other steps required both by this regulation and the Department of State regulations have been completed, the Department of State officer, acting on behalf of USCIS, will give final approval of the Form I-800. As with provisional approvals, if the Department of State officer determines that the Form I-800 is not clearly approvable, the Department of State officer must refer the Form I-800 to USCIS for decision. Under current 8 CFR 204.3, approval of a Form I-600 makes the alien beneficiary eligible to apply for an immigrant visa. Approval of a Form I-800 will have the same effect. In some cases, however, the intention is not for the child to live in the United States with the adoptive parent(s) immediately after the adoption. Rather, the intention is for the family to bring the child to the United States briefly, either after completing the adoption abroad or else to complete it in the United States, and then to return to the family's residence abroad. Use of an immigrant visa is not really designed for this situation. Moreover, acquisition of United States citizenship under section 320 of the Act occurs only if the child is “residing in” the United States with the United States citizen parent. To accommodate the situation of families living abroad, new 8 CFR 204.313(b)(2) provides that approval of a Form I-800 can support issuance of a nonimmigrant visa, as well as an immigrant visa, if the adoption is actually completed abroad. Admission of the child as a nonimmigrant will facilitate the child's naturalization under section 322 of the Act, rather than under section 320 of the Act. Admission with a nonimmigrant visa for purposes of naturalization under section 322 of the Act is not an option, if the child will be adopted in the United States. New 8 CFR 204.314—Administrative Appeals Under current 8 CFR 204.3, the prospective adoptive parent(s) may appeal to the Administrative Appeals Office from a decision denying a Form I-600A or Form I-600. New 8 CFR 204.314(a) retains this right to appeal for Convention adoption cases. There are four situations, however, in which the prospective adoptive parents will not be able to appeal the denial of a Form I-800 or Form I-800A. No appeal will be available if USCIS denies a:
(i)Form I-800A because the Form I-800A was filed during any period during which 8 CFR 204.307(c) bars the filing of a Form I-800A; or
(ii)Form I-800A for failure to timely file a home study as required by 8 CFR 204.310(a)(4)(viii); or
(iii)Form I-800 because the Form I-800 was filed during any period during which 8 CFR 204.307(c) bars the filing of a Form I-800; or
(iv)Form I-800 filed either before USCIS approved a Form I-800A or after the expiration of the approval of a Form I-800A. 3. Affidavits of Support Under Section 213A of the Act Sections 212(a)(4) and 213A of the Act, 8 U.S.C. 1182(a)(4) and 1183a, require the submission of a legally-enforceable affidavit of support on behalf of most aliens who immigrate as immediate relatives and family-based immigrants. The affidavit of support rule, 8 CFR 213a.2, provides, however, that this requirement does not apply to an alien who has already earned, or can be credited with, 40 quarters of coverage under the Social Security Act. 8 CFR 213a.2(a)(2)(ii)(C). A child is credited with any quarters of coverage that the child's parents have already earned. Id. For this reason, many, and perhaps most, Convention adoptees will be exempt from the affidavit of support requirement under this provision. The affidavit of support is also waived for alien children of United States citizens who will acquire United States citizenship by naturalization under section 320 of the Act, 8 U.S.C. 1431, immediately upon admission for permanent residence. Many, and perhaps most, Convention adoptees will be naturalized under section 320 of the Act immediately upon having been admitted for permanent residence. This rule makes a conforming amendment to 8 CFR 213a.2(a)(2)(ii)(E) to clarify that the affidavit of support requirement does not apply to Convention adoptees who will acquire United States citizenship upon admission under section 320 of the Act. 4. Applying for Naturalization Under Section 322 of the Act As noted, approval of a Form I-800 may support the child's admission as a nonimmigrant, if the child will come to the United States for naturalization under section 322 of the Act and then return abroad to live with the adoptive parent(s). For orphan cases, 8 CFR 322.3 provides for the submission of the Form I-600 approval notice and supporting evidence, if the orphan seeks naturalization under section 322. This rule adopts a corresponding provision for Convention cases. If the child will seek naturalization under section 322, the Form I-800 approval notice and supporting evidence (other than the home study) will be submitted to establish the child's eligibility for naturalization under that provision. V. Regulatory Requirements A. Administrative Procedure Act The Administrative Procedure Act (APA), 5 U.S.C. 551 *et seq.* , permits DHS to publish this rule without prior notice and comment, because this rule implicates a foreign affairs function of the United States. 5 U.S.C. 553(a)(1). DHS has also determined that this rule is exempt from the APA's notice and comment requirements because those requirements are impracticable, unnecessary, and contrary to the public interest. 5 U.S.C. 553(b)(3)(B). I. Foreign Affairs Function This rule implicates a foreign affairs function and advances the foreign policy interests of the United States and is, therefore, exempt from the Administrative Procedure Act's
(APA)notice and comment requirements. 5 U.S.C. 553(a)(1). The APA's foreign affairs exemption allows Federal agencies to forgo notice and comment when the request for comments may provoke undesirable international consequences. *Am. Association of Exporters & Importers* v. *U.S.,* 751 F.2d 1239 (Fed. Cir. 1985). *Cf, Zhang* v. *Slattery,* 55 F.3d 732, 736 (2d Cir. 1995) (holding that “notice and comment provisions of Administrative Procedure Act are inapplicable to rules involving military or foreign affairs function of United States, presumably to avoid public airing of matters that might inflame or embarrass relations with other countries”). In *Am. Association of Exporters,* the court determined that the adoption of textile trade regulations by the Committee for Implementation of Textile Agreements was exempt from APA notice-and-comment requirements, since prior disclosure of the Government's intention to impose import restrictions would provoke undesirable international consequences. *Id.,* at 1241. The court first found that the underlying statute authorized regulations to carry out agreements with nations not covered by any agreement, so as to protect the textile trade program which the agreements established, and the subject multi-country arrangements announced as its purpose to negate unsatisfactory situations in world textile trade. The court also found that soliciting comments on the Committee's rules would disseminate market information to the detriment of market participants and parties to the agreement. *Id.* Consistent with the rule established in *Am. Association of Exporters,* the present rule obviously implicates foreign policy. As stated above, the Convention has been ratified by 74 countries to, *inter alia,* establish safeguards to ensure that intercountry adoptions take place in the best interests of the child and to secure the recognition of adoptions made in accordance with the Convention by contracting states. The United States Government has publicly committed to ratification of the Convention in 2007. See Testimony of Catherine Barry, Deputy Assistant Secretary for Overseas Citizens Services, U.S. Department Of State, before Subcommittee on Africa, Global Human Rights and International Operations of the Committee on International Relations House of Representatives (November 14, 2006). Since the United States is one of the primary destinations for children subject to intercountry adoption, ratification by the U.S. is necessary to advance the purposes of the Convention. The IAA assigned primary responsibility for implementation of the agreement to DOS; however, these regulations, promulgated after those of the Department of State and as required by statute, are necessary for ratification. Requesting public comments on issues already addressed by the DOS rules would make it very unlikely that the U.S. will ratify the Convention in 2007. Such a delay would be detrimental to the agreements made by the U.S. and damage the nation's foreign policy interests. If notice and comment precedes, rather than follows, the promulgation of this rule, the delays associated with soliciting comments will result in the inability of the United States to fulfill its commitment to ratify the Convention this year. Until the United States becomes a party, the ability of the United States to advocate for wider acceptance of the Convention will be hampered. This result could have an impact on children in the United States, as well as abroad. This rule addresses the immigration of children into the United States. The Convention itself, however, also applies its protections to children who are habitually resident in the United States and who are adopted by adoptive parents living abroad. A delay in ratification of the Convention will result in a delay in the ability to extend the benefits of the Convention to such children. This is further supported by well-established precedent. See *Int'l Brotherhood of Teamsters* v. *Pena* , 17 F.3d 1478, 1486 (D.C. Cir. 1994) (“foreign affairs function” exception applied to rule promulgated to implement a memorandum of understanding between the United States and Mexico regarding recognition of each country's commercial drivers' licenses); *Mast Industries, Inc.* v. *Regan* , 596 F. Supp. 1567 (C.I.T. 1984) (“foreign affairs function” exception applied to regulations to implement bilateral trade agreements); *WBEN, Inc.* v. *U.S.* , 396 F.2d 601 (2d Cir. 1968) (“foreign affairs function” exception applied to FCC broadcast rules required by agreement with Canada). II. Impractical, Unnecessary, and Contrary to Public Interest In addition, it would be unnecessary and impracticable for USCIS to seek comment on this interim rule. *See* 5 U.S.C. 553(b)(3)(A) (providing that notice and comment requirements do not apply “when the agency for good cause finds * * * that notice and public procedure are impracticable, unnecessary, or contrary to public interest”). The Senate consented to ratification of the Convention in 2000, and Congress enacted the implementing legislation that same year. The consent to ratification, and hence the effective date of title III of Public Law 106-279, was conditioned on the creation of the necessary administrative procedures. For DOS, adopting the “necessary administrative procedures” required the creation of a comprehensive, and entirely new, procedural mechanism for accrediting and regulating adoption service providers who handle Convention cases. DOS completed this rulemaking process with the publication of 22 CFR part 96 in the **Federal Register** on February 15, 2006, at 71 FR 8064. This DHS interim rule, by contrast, has a more modest scope. Because DOS has established the accreditation process for these Convention cases, DHS is able to establish its necessary administrative procedures for these Convention cases. DHS has been able to adapt its existing regulations for orphan cases, which were promulgated after notice and comment on August 1, 1994, at 59 FR 38876, to reflect the accreditation requirements of 22 CFR part 96. An additional round of public comments on these accreditation issues, which DOS has already substantially addressed in its rule, would make it virtually impossible to ratify the Convention in 2007. This rule also incorporates the requirement of articles 5 and 17 of the Convention, which provides that the adoptive parent's(s') suitability for adoption and the child's eligibility to immigrate must be determined before the actual adoption occurs. Notice and comment on those issues would be impracticable, since it would not be possible to “implement” the Convention while ignoring its key procedural requirements. Other aspects of this rule, such as the home study requirements, can most properly be characterized as clarifying, rather than significantly changing, the existing requirements that have been used in orphan cases for many years. For these reasons, DHS is promulgating this rule before requesting public comment. Although pre-promulgation notice and comment is not legally required, the Department has elected not to publish this rule as a final rule, with no opportunity for public comment at all. By using, instead, an interim rule, the Department does invite notice and comment on all aspects of this rule. Any comments received will be considered in the formulation of the final rule. Because of the need for prompt ratification of the Convention, however, any changes made in the final rule will probably take effect after the Convention enters into force. The Department will adjudicate cases under this interim rule until the final rule is published. B. Regulatory Flexibility Act The Regulatory Flexibility Act
(RFA)mandates that an agency conduct an RFA analysis when an agency is “required by section 553 * * *, or any other law, to publish general notice of rule making for any rule.” 5 U.S.C. 603(a). As noted, the Department has the authority to publish this rule without prior notice and comment, and has chosen to do so. Therefore, no RFA analysis is required for this rule. In any event, this rule applies to individuals, families, children, and adoptions and involves no effort to directly regulate the actions of small entities as defined by the RFA. Thus, the RFA does not apply. C. Unfunded Mandates Reform Act of 1995 This rule will not result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more in any one year, and it will not significantly or uniquely affect small governments. Therefore, no actions were deemed necessary under the provisions of the Unfunded Mandates Reform Act of 1995. D. Small Business Regulatory Enforcement Fairness Act of 1996 This rule is not a major rule as defined by section 804 of the Small Business Regulatory Enforcement Fairness Act of 1996. This rule will not result in an annual effect on the economy of $100 million or more; a major increase in costs or prices; or significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based companies to compete with foreign-based companies in domestic and export markets. E. Executive Order 12866 The Office of Management and Budget
(OMB)has reviewed this Interim Rule under Executive Order 12866. USCIS has conducted an analysis of the impacts on intercountry adoptions that are expected to result from this rule. This analysis relates only to the changes made by this interim rule itself, and not to changes resulting, for example, from the rules promulgated by the Department of State. Nonetheless, the costs and benefits associated with this rule may overlap with the costs and benefits of the DOS rules, as well as the costs and benefits of the ratification of the Convention and the enactment of the IAA. This regulation is required by legislation that is intended to support intercountry adoptions. The United States, by ratifying the Convention and through passage of the IAA, recognizes that adoption of a child by parents in another country may offer the advantage of a permanent family to a child for whom a suitable family cannot be found in the country of the child's habitual residence. Generally, governments regulate adoptions to make sure that the best interests of the adopted children are protected, rather than leave decisions regarding the welfare of a child to private organizations where placement of a child in a home may be based less on the child's best interest and the suitability of the prospective adoptive parent(s) and more on economic or other considerations. In any event, these intangible benefits of standardizing and improving the intercountry adoption process are difficult to quantify. Nonetheless, USCIS has performed an analysis of the impacts of this rule and summarized them below. New Forms and Fee for Convention Adoptions USCIS immigration benefit fees are established based on the amount that is necessary for the agency to recover the costs of the government resources expended to deliver the benefit. As stated earlier in this rule, because the adjudication process for Convention cases will be very similar to orphan cases, this rule sets the filing fee at the same rate that applies for orphan cases. Thus, the filing fee for the forms to be submitted for adoptions of children under the Convention, Forms I-800A and I-800, will be $670. There is one difference. In current orphan cases, a fee is required for Form I-600A or with Form I-600, if it is filed alone and no Form I-600A was filed. A new fee is required if Form I-600 was filed after the approval of Form I-600A expired, or if the parent filed more than one Form I-600 for non-siblings. Since Convention adoption cases require an approved I-800A in every case before the Form I-800 may be filed, the fee payment sequence will not be the same as with the I-600/600A. As an I-800A is always required, an I-800A fee will always be required. There will not be a fee required for the first I-800. However, if the parents file more than one Form I-800, a separate fee will be required for the second, and any subsequent, Form I-800. The one exception will be if the second and subsequent I-800s are for adoption of pre-adoption siblings, in which case there is no required fee. This interim rule adopts the same filing fee for Convention cases as USCIS has adopted for orphan cases. USCIS anticipates that the cost of adjudicating a Convention case will be substantially similar to the cost of adjudicating orphan cases. USCIS will re-examine its fee structure again in 2 years in accordance with OMB requirements and all application and petition fees may be adjusted then. The actual experience of USCIS in adjudicating Convention adoptions will be used to determine the fee for Convention adoptions at that time. Thus, although the fee charged by the agency for Convention adoptions will be established identical to that for non-Convention orphan adoption petitions, if actual experience is that there are variations in the complexity of adjudication of the petitions, the respective fees may differ in the future. Monetized Impacts This rule is expected to be revenue neutral to USCIS and the public. Although the number of applications and petitions for intercountry adoptions shifts each year between countries, general trends from recent years are expected to continue in a consistent fashion, unless there is an unforeseen disruption or surge in a particular country. After this rule, a prospective adoptive parent must file a Form I-800A and I-800 if they wish to adopt from a Convention country, unless an I-600A or I-600 had been filed prior to the effective date of this rule. Thus, following publication and implementation of this rule, adoptions from Convention countries are expected to shift from submission of the Form I-600 and 600A to Forms I-800A and I-800. Since the fees for both forms are equal, cost to the petitioner and fees collected by USCIS do not increase from shifts to Convention countries. There were 13,241 U.S. intercountry adoptions in fiscal year 2005 from countries that have joined the Convention, and based on the average number of intercountry orphan adoptions over the past 5 years, approximately 61 percent of them have been from Convention countries. While the Convention provides benefits to countries that adopt its provisions, USCIS has no reliable data from which to estimate increases or decreases in the number of orphan adoptions, relative shifts in the number of adoptions from one country to another, or any other movement in adoption statistics that may occur as a result of this rule. Likewise, this analysis makes no estimate or assumptions as to how many additional countries will implement the Convention or how many countries that currently do not permit U.S. citizens to adopt children from their country will do so once this rule takes effect. If, for example, a country that historically has been the source of a large number of orphan adoptions that has not yet ratified the Convention, such as Russia, implements the requirements of the Convention, approximately 5000 I-600A/I-600 filings will shift to I-800A/800 filings. Nonetheless, the near-term impacts from such changes are not expected to be significant and current trends in the number of source countries for adoptions are expected to remain somewhat constant. The projected fee receipts from filing fees for petitions for Convention adoptions is approximately $8,710,000 per year (13,000 × $670). However, this figure does not represent a net increase or decrease in fees for adoption petitions because, as stated above, USCIS has not undertaken an analysis of potential increase or decrease in the number of orphan adoptions, shifts in adoptions from one country to another, or any other movement in adoption statistics. The projected fees from projected Form I-800A filings would have been collected from I-600A filings regardless of this rule. Thus, the actual net economic effect of this rule should be zero. Non-Monetized Impacts On its Web site, the Department of State lists the major advantages of the Convention and its implementation. See *http://travel.state.gov/family/adoption/convention/convention_2300.html* . With regard to the changes made by this rule, USCIS has identified the following qualitative benefits: *Expanded definition of adoptable child.* The IAA eliminates the orphan restriction for those adoptions conducted under, and in accord with, the Convention. The broader definition of an eligible child under the Convention will no longer require that an internationally adopted child be a true orphan ( *i.e.* , both parents deceased), be legally abandoned, or that both parents have disappeared, deserted, or become separated or lost from the child. Under the Convention, a child with two known birthparents can be eligible for adoption as long as the parents are both unable to meet the child's needs under the standards of the country of origin. Additionally, the definition of a sole parent is expanded for Convention adoptions. In orphan cases, the term “sole parent” is defined strictly to include only the mother of a child who was born out of wedlock and has not been legitimated. For a Convention adoption, a child is also deemed the child of the sole parent if the other parent has abandoned or deserted the child, or has disappeared from the child's life. A child will be deemed to be the child of a sole parent if the child has only one legal parent, based on the competent authority's determination that the other legal parent has abandoned or deserted the child, or has disappeared from the child's life. There will be no requirement that a sole or surviving parent be unable to provide proper care. Consequently, the expanded definition under the Convention provides a broader means for a child residing in a Convention country to qualify as a child eligible for adoption. There are several advantages to the adoption process under the Convention. First, a United States citizen can bring a child into the United States immediately without undergoing the two year period of residence and legal custody required for an adopted child who is not an orphan. Many international adoptions that would have required the two year legal custody and joint residence requirement for non-orphan adoptions can now be adopted under Convention orphan rules. Second, many parents who adopt in courts abroad re-adopt in their home state in the United States out of a concern that the decrees from family courts or other forums in many foreign countries may not be recognized in the United States. Parents who complete Convention adoptions will receive a certification from DOS, and this certification will establish that the foreign adoption is entitled to recognition in the United States. Third, both Convention adoptees and orphans are immediate relatives exempt from numerical quotas. Fourth, birth mothers relinquishing children for adoption into the U.S. may no longer feel they have to lie about the existence of a father, as was sometimes the case, allowing adopting families access to more accurate information. As a result, more children in Convention countries are expected to qualify as eligible children for adoption. *Standardization.* By adopting the best interest of the child as its legal standard, a standard recognized both in the United States and internationally, the Convention places the focus on the child. The Convention mandates close coordination between the governments of contracting countries through a Central Authority in each Convention country that is responsible for sharing information about the laws of its own, and other Convention countries, and for monitoring individual cases. This cooperation is to ensure that safeguards are respected and to prevent the abduction, sale of, or traffic in children. The Convention also requires all parties to act expeditiously in the processing of intercountry adoptions, whether as sending or receiving country. This coordination and information sharing should result in less chance for irregularities and red tape in the adoption process. *Duration of approval and extensions.* By providing that the approval period for a Form I-800A is 15 months instead of the current 18 months, this rule matches the approval of the family for the adoption with the duration of the FBI's clearance of a person's fingerprints. The FBI fingerprint clearance process is a critical component necessary to the determination that a person has been found eligible and suitable to adopt. The matching of these two periods of validity recognizes the importance of the fingerprint clearance process to the approval of the family for adoption. From the perspective of prospective adoptive parents, under this rule the prospective adoptive parent(s) who has
(have)not yet filed a Form I-800 will be able to request an extension of the approval period for an additional 15 months by filing a Form I-800A Supplement 3. The first extension will be free. The required fee for a second or subsequent Supplement 3 is considerably less than the fee for a motion to reopen, and for a new Form I-800A. Government Costs This rule requires no outlays of Congressionally appropriated funds. The requirements of this rule and the associated benefits are funded by fees collected from persons requesting these benefits. The fees are deposited into the Immigration Examinations Fee Account and are used to fund the full cost of processing immigration and naturalization benefit applications and petitions, biometric services, and associated support services. *Reduction in multiple fee collections.* When developing its fee schedule, USCIS heard from many intercountry adoption applicants that it is common for parents to have to repeat filings of applications as a result of expiration of the approval before the child has been matched with the family. USCIS has determined that collecting a full application fee for adjudication of an extension of the parent's approval was not justified in light of the lesser adjudicative burden for USCIS in approving extensions as compared to initial applications. Therefore, this rule provides that to request an extension of their period of approval for an additional 15 months, prior to the expiration of the approval, the parents must simply file a request for an extension and any additional documents from the original application that need updating, such as the home study. While the effects of this change are expected to be minor, USCIS has no reliable record of how many applications are updated in a typical year due to expiration of approval and, therefore, cannot accurately estimate the revenue impact of this change. Public Cost *Paperwork Reduction Act.* Section 503(c) of the IAA waives the requirement of the Paperwork Reduction Act with respect to information collected for use as a Convention record. Thus, USCIS has not conducted an analysis to estimate any changes to the agency's currently approved information collection burden that will result from this rule. Nonetheless, as stated above, this rule is not expected to result in a noticeable increase or decrease in the number of intercountry adoptions of orphans. *Requires Cooperation of Federal and State Authorities.* Some adoption advocates are concerned that the IAA regulations will bring the federal government into adoption practices that have traditionally been under state purview. That is because the Convention and DOS accreditation requirements increase federal involvement and impose federal requirements on state and local entities in an area that has been governed mainly by states. Thus, states will have to adopt Convention requirements for such an adoption to proceed. Compliance with the Convention and the IAA will be a new task for states and will require close cooperation between DOS, state courts with family law jurisdiction, and USCIS to ensure that the United States meets its obligations under the Convention. However, states are not expected to have any major challenges or incur costs for complying with the USCIS petition requirements in this rule. *Orphans may no longer be available from certain countries.* The Hague Conference lists Guatemala as a contracting party to the Convention. Currently, however, Guatemala's adoption procedures are not in compliance with the Convention. After this rule is published, USCIS will not approve immigrant visa petitions based on adoptions from Guatemala unless Guatemala's adoption process is changed to comply with the Convention. That would be a reduction of about 3500-4000 adoptions each year, unless those prospective adoptive parents decide to adopt children from another country that either is not a contracting party to the Convention or else has the established the procedures in place for determining, according to the principles of the Convention, whether children are eligible for adoption. However, while pointing out the possible negative effects on prospective adoptions from Guatemala, USCIS does not project whether or not Guatemala can take the necessary actions to be Convention compliant by the time the Convention enters into force for the United States and this rule takes effect. *Home study.* The receiving country for the Convention adoptee must determine in advance that the prospective adoptive parent(s) is
(are)eligible and suited to adopt; that they have received counseling and training, as necessary; and that the child will be eligible to enter and reside permanently in the receiving country. These advance determinations and studies are designed to ensure that the child is protected and that there are no obstacles to completing the adoption. For USCIS to determine that the child will receive proper care, this rule provides the requirements for the home study that must be submitted to permit USCIS to make an informed decision in exercising this authority. By requiring a home study to adjudicate the Convention adoption of a child, this rule technically imposes the costs of the home study. However, DOS regulations, not this USCIS rule, address an adoption service provider's obligations regarding fees. Regardless, Convention home study requirements are not projected to be much more onerous, if at all, than current home study requirements for adjudication of intercountry orphan adoptions. This rule simply standardizes these requirements to comply with the Convention. Further, DOS requires adoption service providers to clearly disclose all fees so parents may accurately compare costs between adoption service providers. *Child background study.* This rule incorporates the requirement of article 16(a) of the Convention, under which the sending Convention country must prepare a child background study that includes the medical history of the child as well as other background information addressing the factors that make the child eligible for adoption as a Convention adoptee. Once they have received this report and have decided to accept the placement, the prospective adoptive parents will file Form I-800, with the report and other evidence required by this rule. This study could add to the burden and costs of an intercountry adoption; thus, this requirement is added by this rule to USCIS petition requirements and is included here as an added burden. However, by standardizing the sending country requirements, and providing that the receiving country will accept the conclusions of the sending country rather than adjudicating the child's status itself, the child study may actually reduce the time, costs, and burden of orphan adoptions for Convention countries. The actual effects of this new requirement cannot be determined until after implementation occurs. Summary These regulations are required by legislation and are the final step for the United States to begin carrying out its obligations under the Convention. The effects of this rule are: • This rule is to address immigration related determinations of how a United States citizen may obtain lawful custody, or adopt, a child from a number of countries. • The U.S. is the largest receiving country for orphans from abroad, adopting more children from abroad than all other countries combined. The number of foreign children adopted annually by American citizens has doubled over the last decade from 11,340 to 22,739. • USCIS expects to receive approximately 13,000 Convention adoption petitions per year. The resulting fee receipts are estimated at $8,710,000 per year. This does not, however, represent new fee income to USCIS, but a transfer of fees from non-Convention adoption petitions. The net economic effect of the rule should be zero. • Under the Convention, an eligible child can have two known birth parents and still be eligible for adoption as long as the parents are both unable to meet the child's needs. The definition of sole parent is expanded and there is no requirement that a sole or surviving parent be unable to meet the child's needs. • The Convention adopts the best interest of the child as its legal standard, a standard recognized internationally which places the focus on the welfare of the child. • The Convention mandates close coordination between each Convention country, and requires all parties to act expeditiously in the processing of adoptions. This coordination should result in less chance for irregularities and red tape in the adoption process. • This rule is expected to be revenue neutral to USCIS. This rule requires no outlays of Congressionally appropriated funds. • This rule is not expected to result in a noticeable increase or decrease in the number of intercountry adoptions. • This rule is estimated to require the same amount of time to complete its new petitions as it does for current forms. This rule is estimated to have no impact on the information collection burden imposed on the public. • After this rule is published, and after the Convention enters into force with respect to the United States, USCIS will not approve adoptions from Guatemala unless Guatemala's adoption process is changed to comply with the Convention. This could have an impact on 3,500 to 4,000 adoptions per year. • Adoptive parents must submit a “home study” and an application in order for USCIS to determine eligibility and suitability as adoptive parents prior to submission of the petition on behalf of a Convention adoptee. • This rule requires that the sending Convention country prepare a child background study which could add to the burden and costs of an intercountry adoption. USCIS is required by statute to promulgate this rule. As indicated in this analysis, the benefits of the requirements of this rule justify the costs to be imposed by it. F. Executive Order 13132 This rule will 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. Section 503(a) of the IAA makes clear that neither it nor the Convention preempt State laws relating to intercountry adoption that are consistent with them. This rule respects corresponding State laws. For example, if prospective adoptive parents live in a particular State, the home study preparer must be authorized under that State's law to complete a home study for them. The home study itself must, in addition to the requirements of this rule, meet the requirements of that State's laws. A child who has not already been adopted abroad may not immigrate in order to be adopted in the United States unless the prospective adoptive parents comply with the adoption requirements of the State in which they will adopt the child. There will be some impact on the States, as the States will have to adopt Convention requirements for these adoptions to proceed. However, such impact should not cause the States to have to incur any costs or experience any challenges complying with the USCIS petition requirements in this rule. Therefore, in accordance with section 6 of Executive Order 13132, it is determined that this rule does not have sufficient federalism implications to warrant the preparation of a federalism summary impact statement. G. Executive Order 12988 Civil Justice Reform This rule meets the applicable standards set forth in sections 3(a) and 3(b)(2) of Executive Order 12988. H. Paperwork Reduction Act As noted, USCIS intends to create two new forms, the Form I-800A and Form I-800, for use in Convention adoption cases. The use of these new forms is considered an information collection that, ordinarily, would be subject to review and clearance under the Paperwork Reduction Act procedures. Section 503(c) of the IAA, however, waives the requirement of the Paperwork Reduction Act with respect to information collected for use as a Convention record. Forms I-800A and I-800 will be included in the Convention record for a particular child's adoption. List of Subjects 8 CFR Part 103 Administrative practice and procedure, Authority delegations (Government agencies), Freedom of information, Privacy, Reporting and recordkeeping requirements, Surety bonds. 8 CFR Part 204 Administrative practice and procedure, Immigration, Reporting and recordkeeping requirements. 8 CFR Part 213a Administrative practice and procedure, Aliens, Affidavits of support, Immigrants, Immigration and Nationality Act. 8 CFR Part 299 Immigration, Reporting and recordkeeping requirements. 8 CFR Part 322 Citizenship and naturalization, Infants and children, Reporting and recordkeeping requirements. Accordingly, chapter I of title 8 of the Code of Federal Regulations is amended as follows: PART 103—POWERS AND DUTIES; AVAILABILITY OF RECORDS 1. The authority citation for part 103 continues to read as follows: Authority: 5 U.S.C. 301, 552, 552a; 8 U.S.C. 1101, 1103, 1304, 1356; 31 U.S.C. 9701; Public Law 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. 2. Section 103.7(b)(1) is amended by adding the entries for Forms “I-800” and “I-800A”, in alpha/numeric sequence, to read as follows: § 103.7 Fees.
(b)* * *
(1)* * * Form I-800. For filing a petition to classify a Convention adoptee as an immediate relative. —No fee for the first Form I-800 filed for a child on the basis of an approved Form I-800A, filed during the approval period. —If more than one Form I-800 is filed during the approval period for different children, the fee is $670 for the second and each subsequent Form I-800 submitted. —If the children are already siblings before the proposed adoption, however, only one filing fee of $670 is required, regardless of the sequence of submission of the Form I-800. Form I-800A. For filing an application for determination of suitability to adopt a child from a Convention country—$670. For filing a Form I-800A, Supplement 3, Request for Action on Approved Form I-800A—$340, except that this filing fee is not charged if no Form I-800 has been filed based on the approval of the Form I-800A, and Form I-800A Supplement 3 is filed in order to obtain a first extension of the approval of the Form I-800A. * * * PART 204—IMMIGRANT PETITIONS 3. The authority citation for part 204 continues to read as follows: Authority: 8 U.S.C. 1101, 1103, 1151, 1153, 1154, 1182, 1186a, 1255; 8 CFR part 2. Subpart A—[Added] 4. In part 204, a subpart A heading is added to read as follows: Subpart A—Immigrant Visa Petitions 5. Sections 204.1 through 204.13, inclusive, are designated under subpart A. 6. Section 204.1 is amended by: a. Revising paragraph (a)(4); b. Re-designating paragraph (a)(5) as paragraph (a)(6); and c. Adding a new paragraph (a)(5). The revisions and additions to read as follows: § 204.1 General information about immediate relative and family-sponsored petitions.
(a)* * *
(4)A U.S. citizen seeking to have USCIS accord immediate relative status to a child based on the citizen's adoption of the child as an orphan, as defined in section 101(b)(1)(F) of the Act, must follow the procedures in § 204.3.
(5)A U.S. citizen seeking to have USCIS accord immediate relative status to a child under section 101(b)(1)(G) of the Act on the basis of a Convention adoption must:
(i)File a Form I-800A, Application to Determine Suitability as Adoptive Parents for a Convention adoptee; and
(ii)After USCIS approves the Form I-800A, file a Form I-800, Petition to Classify Convention adoptee as Immediate Relative, as provided in 8 CFR part 204, subpart C. 7. Section 204.2 is amended by adding new paragraphs (d)(2)(vii)(D),
(E)and (F), to read as follows: § 204.2 Petitions for relatives, widows and widowers, and abused spouses and children.
(d)* * *
(2)* * *
(vii)* * *
(D)On or after the Convention effective date, as defined in 8 CFR part 204.301, a United States citizen who is habitually resident in the United States, as determined under 8 CFR 204.303, may not file a Form I-130 under this section on behalf of child who was habitually resident in a Convention country, as determined under 8 CFR 204.303, unless the adoption was completed before the Convention effective date. In the case of any adoption occurring on or after the Convention effective date, a Form I-130 may be filed and approved only if the United States citizen petitioner was not habitually resident in the United States at the time of the adoption.
(E)For purposes of paragraph (d)(2)(vii)(D) of this section, USCIS will deem a United States citizen, 8 CFR 204.303 notwithstanding, to have been habitually resident outside the United States, if the citizen satisfies the 2-year joint residence and custody requirements by residing with the child outside the United States.
(F)For purposes of paragraph (d)(2)(vii)(D) of this section, USCIS will not approve a Form I-130 under section 101(b)(1)(E) of the Act on behalf of an alien child who is present in the United States based on an adoption that is entered on or after the Convention effective date, but whose habitual residence immediately before the child's arrival in the United States was in a Convention country. However, the U.S. citizen seeking the child's adoption may file a Form I-800A and Form I-800 under 8 CFR part 204, subpart C. 8. Section 204.3 is amended by revising the section heading and paragraph
(a)to read as follows: § 204.3 Orphan cases under section 101(b)(1)(F) of the Act (non-Convention cases).
(a)This section addresses the immigration classification of alien orphans as provided for in section 101(b)(1)(F) of the Act.
(1)Except as provided in paragraph (a)(2) of this section, a child who meets the definition of orphan contained in section 101(b)(1)(F) of the Act is eligible for classification as the immediate relative of a U.S. citizen if:
(i)The U.S. citizen seeking the child's immigration can document that the citizen (and his or her spouse, if any) are capable of providing, and will provide, proper care for an alien orphan; and
(ii)The child is an orphan under section 101(b)(1)(F) of the Act. A U.S. citizen may submit the documentation necessary for each of these determinations separately or at one time, depending on when the orphan is identified.
(2)Form I-600A or Form I-600 may not be filed under this section on or after the Convention effective date, as defined in 8 CFR 204.301, on behalf of a child who is habitually resident in a Convention country, as defined in 8 CFR 204.301. On or after the Convention effective date, USCIS may approve a Form I-600 on behalf of a child who is habitually resident in a Convention country only if the Form I-600A or Form I-600 was filed before the Convention effective date. Subpart B—[Added and Reserved] 9. Subpart B is added and reserved. 10. Subpart C is added to read as follows: Subpart C—Intercountry Adoption of a Convention Adoptee Sec. 204.300 Scope of this subpart. 204.301 Definitions. 204.302 Role of service providers. 204.303 Determination of habitual residence. 204.304 Improper inducement prohibited. 204.305 State preadoption requirements. 204.306 Classification as an immediate relative based on Convention adoption. 204.307 Who may file a Form I-800A or Form I-800. 204.308 Where to file Form I-800A or Form I-800. 204.309 Factors requiring denial of a Form I-800A or Form I-800. 204.310 Filing requirements for Form I-800A. 204.311 Convention adoption home study requirements. 204.312 Adjudication of the Form I-800A. 204.313 Filing and adjudication of the Form I-800. 204.314 Appeal. Subpart C—Intercountry Adoption of a Convention Adoptee § 204.300 Scope of this subpart.
(a)*Convention adoptees.* This subpart governs the adjudication of a Form I-800A or Form I-800 for a Convention adoptee under section 101(b)(1)(G) of the Act. The provisions of this subpart enter into force on the Convention effective date, as defined in 8 CFR 204.301.
(b)*Orphan cases.* On or after the Convention effective date, no Form I-600A or I-600 may be filed under section 101(b)(1)(F) of the Act and 8 CFR 204.3 in relation to the adoption of a child who is habitually resident in a Convention country. If a Form I-600A or Form I-600 was filed before the Convention effective date, the case will continue to be governed by 8 CFR 204.3, as in effect before the Convention effective date.
(c)*Adopted children.* This subpart does not apply to the immigrant visa classification of adopted children, as defined in section 101(b)(1)(E) of the Act. For the procedures that govern classification of adopted children as defined in section 101(b)(1)(E) of the Act, see 8 CFR 204.2. § 204.301 Definitions. The definitions in 22 CFR 96.2 apply to this subpart C. In addition, as used in this subpart C, the term: *Abandonment* means:
(1)That a child's parent has willfully forsaken all parental rights, obligations, and claims to the child, as well as all custody of the child without intending to transfer, or without transferring, these rights to any specific individual(s) or entity.
(2)The child's parent must have actually surrendered such rights, obligations, claims, control, and possession.
(3)That a parent's knowledge that a specific person or persons may adopt a child does not void an abandonment; however, a purported act of abandonment cannot be conditioned on the child's adoption by that specific person or persons.
(4)That if the parent(s) entrusted the child to a third party for custodial care in anticipation of, or preparation for, adoption, the third party (such as a governmental agency, a court of competent jurisdiction, an adoption agency, or an orphanage) must have been authorized under the Convention country's child welfare laws to act in such a capacity.
(5)That, if the parent(s) entrusted the child to an orphanage, the parent(s) did not intend the placement to be merely temporary, with the intention of retaining the parent-child relationship, but that the child is abandoned if the parent(s) entrusted the child permanently and unconditionally to an orphanage.
(6)That, although a written document from the parent(s) is not necessary to prove abandonment, if any written document signed by the parent(s) is presented to prove abandonment, the document must specify whether the parent(s) who signed the document was
(were)able to read and understand the language in which the document is written. If the parent is not able to read or understand the language in which the document is written, then the document is not valid unless the document is accompanied by a declaration, signed by an identified individual, establishing that that identified individual is competent to translate the language in the document into a language that the parent understands and that the individual, on the date and at the place specified in the declaration, did in fact read and explain the document to the parent in a language that the parent understands. The declaration must also indicate the language used to provide this explanation. If the person who signed the declaration is an officer or employee of the Central Authority (but not of an agency or entity authorized to perform a Central Authority function by delegation) or any other governmental agency, the person must certify the truth of the facts stated in the declaration. Any other individual who signs a declaration must sign the declaration under penalty of perjury under United States law. *Adoption* means the judicial or administrative act that establishes a permanent legal parent-child relationship between a minor and an adult who is not already the minor's legal parent and terminates the legal parent-child relationship between the adoptive child and any former parent(s). *Adult member of the household* means:
(1)Any individual other than the applicant, who has the same principal residence as the applicant and who had reached his or her 18th birthday on or before the date a Form I-800A is filed; or
(2)Any person who has not yet reached his or her 18th birthday before the date a Form I-800A is filed, or who does not actually live at the same residence, but whose presence in the residence is relevant to the issue of suitability to adopt, if the officer adjudicating the Form I-800A concludes, based on the facts of the case, that it is necessary to obtain an evaluation of how that person's presence in the home affects the determination whether the applicant is suitable as the adoptive parent(s) of a Convention adoptee. *Applicant* means the U.S. citizen (and his or her spouse, if any) who has filed a Form I-800A under this subpart C. The applicant may be an unmarried U.S. citizen who is at least 24 years old when the Form I-800A is filed, or a married U.S. citizen of any age and his or her spouse of any age. Although the singular term “applicant” is used in this subpart, the term includes both a married U.S. citizen and his or her spouse. *Birth parent* means a “natural parent” as used in section 101(b)(1)(G) of the Act. *Central Authority* means the entity designated as such under Article 6(1) of the Convention by any Convention country or, in the case of the United States, the United States Department of State. Except as specified in this Part, “Central Authority” also means, solely for purposes of this Part, an individual who or entity that is performing a Central Authority function, having been authorized to do so by the designated Central Authority, in accordance with the Convention and the law of the Central Authority's country. *Competent authority* means a court or governmental agency of a foreign country that has jurisdiction and authority to make decisions in matters of child welfare, including adoption. *Convention* means the Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption, opened for signature at The Hague on May 29, 1993. *Convention adoptee* means a child habitually resident in a Convention country who is eligible to immigrate to the United States on the basis of a Convention adoption. *Convention adoption* , except as specified in 8 CFR 204.300(b), means the adoption, on or after the Convention effective date, of an alien child habitually resident in a Convention country by a U.S. citizen habitually resident in the United States, when in connection with the adoption the child has moved, or will move, from the Convention country to the United States. *Convention country* means a country that is a party to the Convention and with which the Convention is in force for the United States. *Convention effective date* means the date on which the Convention enters into force for the United States as announced by the Secretary of State under 22 CFR 96.17. *Custody for purposes of emigration and adoption exists when:*
(1)The competent authority of the country of a child's habitual residence has, by a judicial or administrative act (which may be either the act granting custody of the child or a separate judicial or administrative act), expressly authorized the petitioner, or an individual or entity acting on the petitioner's behalf, to take the child out of the country of the child's habitual residence and to bring the child to the United States for adoption in the United States.
(2)If the custody order shows that custody was given to an individual or entity acting on the petitioner's behalf, the custody order must indicate that the child is to be adopted in the United States by the petitioner.
(3)A foreign judicial or administrative act that is called an adoption but that does not terminate the legal parent-child relationship between the former parent(s) and the adopted child and does not create the permanent legal parent-child relationship between the petitioner and the adopted child will be deemed a grant of custody of the child for purposes of this part, but only if the judicial or administrative act expressly authorizes the custodian to take the child out of the country of the child's habitual residence and to bring the child to the United States for adoption in the United States by the petitioner. *Deserted or desertion* means that a child's parent has willfully forsaken the child and has refused to carry out parental rights and obligations and that, as a result, the child has become a ward of a competent authority in accordance with the laws of the Convention country. *Disappeared or Disappearance* means that a child's parent has unaccountably or inexplicably passed out of the child's life so that the parent's whereabouts are unknown, there is no reasonable expectation of the parent's reappearance, and there has been a reasonable effort to locate the parent as determined by a competent authority in accordance with the laws of the Convention country. A stepparent who under the definition of “Parent” in this section is deemed to be a child's legal parent, may be found to have disappeared if it is established that the stepparent either never knew of the child's existence, or never knew of their legal relationship to the child. *Home study preparer* means a person (whether an individual or an agency) authorized under 22 CFR part 96 to conduct home studies for Convention adoption cases, either as a public domestic authority, an accredited agency, a temporarily accredited agency, approved person, supervised provider, or exempted provider and who (if not a public domestic authority) holds any license or other authorization that may be required to conduct adoption home studies under the law of the jurisdiction in which the home study is conducted. *Incapable of providing proper care* means that, in light of all the relevant circumstances including but not limited to economic or financial concerns, extreme poverty, medical, mental, or emotional difficulties, or long term-incarceration, the child's two living birth parents are not able to provide for the child's basic needs, consistent with the local standards of the Convention country. *Irrevocable consent* means a document which indicates the place and date the document was signed by a child's legal custodian, and which meets the other requirements specified in this definition, in which the legal custodian freely consents to the termination of the legal custodian's legal relationship with the child. If the irrevocable consent is signed by the child's birth mother or any legal custodian other than the birth father, the irrevocable consent must have been signed after the child's birth; the birth father may sign an irrevocable consent before the child's birth if permitted by the law of the child's habitual residence. This provision does not preclude a birth father from giving consent to the termination of his legal relationship to the child before the child's birth, if the birth father is permitted to do so under the law of the country of the child's habitual residence.
(1)To qualify as an irrevocable consent under this definition, the document must specify whether the legal custodian is able to read and understand the language in which the consent is written. If the legal custodian is not able to read or understand the language in which the document is written, then the document does not qualify as an irrevocable consent unless the document is accompanied by a declaration, signed, by an identified individual, establishing that that identified individual is competent to translate the language in the irrevocable consent into a language that the parent understands, and that the individual, on the date and at the place specified in the declaration, did in fact read and explain the consent to the legal custodian in a language that the legal custodian understands. The declaration must also indicate the language used to provide this explanation. If the person who signed the declaration is an officer or employee of the Central Authority (but not of an agency or entity authorized to perform a Central Authority function by delegation) or any other governmental agency, the person must certify the truth of the facts stated in the declaration. Any other individual who signs a declaration must sign the declaration under penalty of perjury under United States law.
(2)If more than one individual or entity is the child's legal custodian, the consent of each legal custodian may be recorded in one document, or in an additional document, but all documents, taken together, must show that each legal custodian has given the necessary irrevocable consent. *Legal custodian* means the individual who, or entity that, has legal custody of a child, as defined in 22 CFR 96.2. *Officer* means a USCIS officer with jurisdiction to adjudicate Form I-800A or Form I-800 or a Department of State officer with jurisdiction, by delegation from USCIS, to grant either provisional or final approval of a Form I-800. *Parent* means any person who is related to a child as described in section 101(b)(1)(A), (B), (C), (D), (E), (F), or
(G)and section 101(b)(2) of the Act, except that a stepparent described in section 101(b)(1)(B) of the Act is not considered a child's parent, solely for purposes of classification of the child as a Convention adoptee, if the petitioner establishes that, under the law of the Convention country, there is no legal parent-child relationship between a stepparent and stepchild. This definition includes a stepparent if the stepparent adopted the child, or if the stepparent, under the law of the Convention country, became the child's legal parent by marrying the other legal parent. A stepparent who is a legal parent may consent to the child's adoption, or may be found to have abandoned or deserted the child, or to have disappeared from the child's life, in the same manner as would apply to any other legal parent. *Petitioner* means the U.S. citizen (and his or her spouse, if any) who has filed a Form I-800 under this subpart C. The petitioner may be an unmarried U.S. citizen who is at least 25 years old when the Form I-800 is filed, or a married U.S. citizen of any age and his or her spouse of any age. Although the singular term “petitioner” is used in this subpart, the term includes both a married U.S. citizen and his or her spouse. *Sole parent* means:
(1)The child's mother, when the competent authority has determined that the child's father has abandoned or deserted the child, or has disappeared from the child's life; or
(2)The child's father, when the competent authority has determined that the child's mother has abandoned or deserted the child, or has disappeared from the child's life; except that
(3)A child's parent is not a sole parent if the child has acquired another parent within the meaning of section 101(b)(2) of the Act and this section. *Suitability as adoptive parent(s)* means that USCIS is satisfied, based on the evidence of record, that it is reasonable to conclude that the applicant is capable of providing, and will provide, proper parental care to an adopted child. *Surviving parent* means the child's living parent when the child's other parent is dead, and the child has not acquired another parent within the meaning of section 101(b)(2) of the Act and this section. § 204.302 Role of service providers.
(a)*Who may provide services in Convention adoption cases* . Subject to the limitations in paragraph
(b)or
(c)of this section, a U.S. citizen seeking to file a Form I-800A or I-800 may use the services of any individual or entity authorized to provide services in connection with adoption, except that the U.S. citizen must use the services of an accredited agency, temporarily accredited agency, approved person, supervised provider public domestic authority or exempted provider when required to do so under 22 CFR part 96.
(b)*Unauthorized practice of law prohibited* . An adoption agency or facilitator, including an individual or entity authorized under 22 CFR part 96 to provide the six specific adoption services identified in 22 CFR 96.2, may not engage in any act that constitutes the legal representation, as defined in 8 CFR 1.1(i),
(j)and (m), of the applicant (for a Form I-800A case) or petitioner (for a Form I-800 case) unless authorized to do so as provided in 8 CFR part 292. An individual authorized under 8 CFR part 292 to practice before USCIS may provide legal services in connection with a Form I-800A or I-800 case, but may not provide any of the six specific adoption services identified in 22 CFR 96.2, unless the individual is authorized to do so under 22 CFR part 96 (for services provided in the United States) or under the laws of the country of the child's habitual residence (for services performed outside the United States). The provisions of 8 CFR 292.5 concerning sending notices about a case do not apply to an adoption agency or facilitator that is not authorized under 8 CFR part 292 to engage in representation before USCIS.
(c)*Application of the Privacy Act* . Except as permitted by the Privacy Act, 5 U.S.C. 552a and the relevant Privacy Act notice concerning the routine use of information, USCIS may not disclose or give access to any information or record relating to any applicant or petitioner who has filed a Form I-800A or Form I-800 to any individual or entity other than that person, including but not limited to an accredited agency, temporarily accredited agency, approved person, public domestic authority, exempted provider, or supervised provider, unless the applicant who filed the Form I-800A or the petitioner who filed Form I-800 has filed a written consent to disclosure, as provided by the Privacy Act, 5 U.S.C. 552a. § 204.303 Determination of habitual residence.
(a)*U.S. Citizens* . For purposes of this subpart, a U.S. citizen who is seeking to have an alien classified as the U.S. citizen's child under section 101(b)(1)(G) of the Act is deemed to be habitually resident in the United States if the individual:
(1)Has his or her domicile in the United States, even if he or she is living temporarily abroad; or
(2)Is not domiciled in the United States but establishes by a preponderance of the evidence that:
(i)The citizen will have established a domicile in the United States on or before the date of the child's admission to the United States for permanent residence as a Convention adoptee; or
(ii)The citizen indicates on the Form I-800 that the citizen intends to bring the child to the United States after adopting the child abroad, and before the child's 18th birthday, at which time the child will be eligible for, and will apply for, naturalization under section 322 of the Act and 8 CFR part 322. This option is not available if the child will be adopted in the United States.
(b)*Convention adoptees* . A child whose classification is sought as a Convention adoptee is, generally, deemed for purposes of this subpart C to be habitually resident in the country of the child's citizenship. If the child's actual residence is outside the country of the child's citizenship, the child will be deemed habitually resident in that other country, rather than in the country of citizenship, if the Central Authority (or another competent authority of the country in which the child has his or her actual residence) has determined that the child's status in that country is sufficiently stable for that country properly to exercise jurisdiction over the child's adoption or custody. This determination must be made by the Central Authority itself, or by another competent authority of the country of the child's habitual residence, but may not be made by a nongovernmental individual or entity authorized by delegation to perform Central Authority functions. The child will not be considered to be habitually resident in any country to which the child travels temporarily, or to which he or she travels either as a prelude to, or in conjunction with, his or her adoption and/or immigration to the United States. § 204.304 Improper inducement prohibited.
(a)*Prohibited payments* . Neither the applicant/petitioner, nor any individual or entity acting on behalf of the applicant/petitioner may, directly or indirectly, pay, give, offer to pay, or offer to give to any individual or entity or request, receive, or accept from any individual or entity, any money (in any amount) or anything of value (whether the value is great or small), directly or indirectly, to induce or influence any decision concerning:
(1)The placement of a child for adoption;
(2)The consent of a parent, a legal custodian, individual, or agency to the adoption of a child;
(3)The relinquishment of a child to a competent authority, or to an agency or person as defined in 22 CFR 96.2, for the purpose of adoption; or
(4)The performance by the child's parent or parents of any act that makes the child a Convention adoptee.
(b)*Permissible payments* . Paragraph
(a)of this section does not prohibit an applicant/petitioner, or an individual or entity acting on behalf of an applicant/petitioner, from paying the reasonable costs incurred for the services designated in this paragraph. A payment is not reasonable if it is prohibited under the law of the country in which the payment is made or if the amount of the payment is not commensurate with the costs for professional and other services in the country in which any particular service is provided. The permissible services are:
(1)The services of an adoption service provider in connection with an adoption;
(2)Expenses incurred in locating a child for adoption;
(3)Medical, hospital, nursing, pharmaceutical, travel, or other similar expenses incurred by a mother or her child in connection with the birth or any illness of the child;
(4)Counseling services for a parent or a child for a reasonable time before and after the child's placement for adoption;
(5)Expenses, in an amount commensurate with the living standards in the country of the child's habitual residence, for the care of the birth mother while pregnant and immediately following the birth of the child;
(6)Expenses incurred in obtaining the home study;
(7)Expenses incurred in obtaining the reports on the child as described in 8 CFR 204.313(d)(3) and (4);
(8)Legal services, court costs, and travel or other administrative expenses connected with an adoption, including any legal services performed for a parent who consents to the adoption of a child or relinquishes the child to an agency; and
(9)Any other service the payment for which the officer finds, on the basis of the facts of the case, was reasonably necessary.
(c)*Department of State requirements* . See 22 CFR 96.34, 96.36 and 96.40 for additional regulatory information concerning fees in relation to Convention adoptions. § 204.305 State preadoption requirements. State preadoption requirements must be complied with when a child is coming into the State as a Convention adoptee to be adopted in the United States. A qualified Convention adoptee is deemed to be coming to be adopted in the United States if either of the following factors exists:
(a)The applicant/petitioner will not complete the child's adoption abroad; or
(b)In the case of a married applicant/petitioner, the child was adopted abroad only by one of the spouses, rather than by the spouses jointly, so that it will be necessary for the other spouse to adopt the child after the child's admission. § 204.306 Classification as an immediate relative based on a Convention adoption.
(a)Unless 8 CFR 204.309 requires the denial of a Form I-800A or Form I-800, a child is eligible for classification as an immediate relative, as defined in section 201(b)(2)(A)(i) of the Act, on the basis of a Convention adoption, if the U.S. citizen who seeks to adopt the child establishes that:
(1)The United States citizen is (or, if married, the United States citizen and the United States citizen's spouse are) eligible and suitable to adopt; and
(2)The child is a Convention adoptee.
(b)A U.S. citizen seeking to have USCIS classify an alien child as the U.S. citizen's child under section 101(b)(1)(G) of the Act must complete a two-step process:
(1)First, the U.S. citizen must file a Form I-800A under 8 CFR 204.310;
(2)Then, once USCIS has approved the Form I-800A and a child has been identified as an alien who may qualify as a Convention adoptee, the U.S. citizen must file a Form I-800 under 8 CFR 204.313. § 204.307 Who may file a Form I-800A or Form I-800.
(a)*Eligibility to file Form I-800A* . Except as provided in paragraph
(c)of this section, the following persons may file a Form I-800A:
(1)An unmarried United States citizen who is at least 24 years old and who is habitually resident in the United States, as determined under 8 CFR 204.303(a); or
(2)A married United States citizen, who is habitually resident in the United States, as determined under 8 CFR 204.303(a), and whose spouse will also adopt any child adopted by the citizen based on the approval of a Form I-800A; and
(3)The citizen's spouse must also be either a U.S. citizen, a non-citizen U.S. national, or an alien who, if living in the United States, holds a lawful status under U.S. immigration law. If an alien spouse is present in a lawful status other than the status of an alien lawfully admitted for permanent residence, such status will be a factor evaluated in determining whether the family's situation is sufficiently stable to support a finding that the applicant is suitable as the adoptive parents of a Convention adoptee.
(b)*Eligibility to file a Form I-800* . Except as provided in paragraph
(c)of this section, the following persons may file a Form I-800:
(1)An unmarried United States citizen who is at least 25 years old and who is habitually resident in the United States, as determined under 8 CFR 204.303(a); or
(2)A married United States citizen, who is habitually resident in the United States as determined under 8 CFR 204.303(a), and whose spouse will also adopt the child the citizen seeks to adopt. The spouse must be either a United States citizen or a non-citizen U.S. national or an alien who, if living in the United States, holds a lawful status under U.S. immigration law; and
(3)The person has an approved and unexpired Form I-800A.
(c)*Exceptions* .
(1)No applicant may file a Form I-800A, and no petitioner may file a Form I-800, if:
(i)The applicant filed a prior Form I-800A that USCIS denied under 8 CFR 204.309(a); or
(ii)The applicant filed a prior Form I-600A under 8 CFR 204.3 that USCIS denied under 8 CFR 204.3(h)(4); or
(iii)The petitioner filed a prior Form I-800 that USCIS denied under 8 CFR 204.309(b)(3); or
(iv)The petitioner filed a prior Form I-600 under 8 CFR 204.3 that USCIS denied under 8 CFR 204.3(i).
(2)This bar against filing a subsequent Form I-800A or Form I-800 expires one year after the date on which the decision denying the prior Form I-800A, I-600A, I-800 or I-600 became administratively final. If the applicant (for a Form I-800A or I-600A case) or the petitioner (for a Form I-800 or I-600 case) does not appeal the prior decision, the one-year period ends one year after the date of the original decision denying the prior Form I-800A, I-600A, I-800 or I-600. Any Form I-800A, or Form I-800 filed during this one-year period will be denied. If the applicant (for a Form I-800A or Form I-600A case) or petitioner (for a Form I-800 or I-600 case) appeals the prior decision, the bar to filing a new Form I-800A or I-800 applies while the appeal is pending and ends one year after the date of an Administrative Appeals Office decision affirming the denial.
(3)Any facts underlying a prior denial of a Form I-800A, I-800, I-600A, or I-600 are relevant to the adjudication of any subsequently filed Form I-800A or Form I-800 that is filed after the expiration of this one year bar. § 204.308 Where to file Form I-800A or Form I-800.
(a)*Form I-800A* . An applicant must file a Form I-800A with the USCIS office identified in the instructions that accompany Form I-800A.
(b)*Form I-800* . After a Form I-800A has been approved, a petitioner may file a Form I-800 on behalf of a Convention adoptee with the stateside or overseas USCIS office identified in the instructions that accompany Form I-800. The petitioner may also file the Form I-800 with a visa-issuing post that would have jurisdiction to adjudicate a visa application filed by or on behalf of the Convention adoptee, when filing with the visa-issuing post is permitted by the instructions that accompany Form I-800.
(c)*Final approval of Form I-800* . Once a Form I-800 has been provisionally approved under 8 CFR 204.313(g) and the petitioner has either adopted or obtained custody of the child for purposes of emigration and adoption, the Department of State officer with jurisdiction to adjudicate the child's application for an immigrant or nonimmigrant visa has jurisdiction to grant final approval of the Form I-800. The Department of State officer may approve the Form I-800, but may not deny it; the Department of State officer must refer any Form I-800 that is “not clearly approvable” for a decision by a USCIS office having jurisdiction over Form I-800 cases. If the Department of State officer refers the Form I-800 to USCIS because it is “not clearly approvable,” then USCIS has jurisdiction to approve or deny the Form I-800. In the case of an alien child who is in the United States and who is eligible both under 8 CFR 204.309(b)(4) for approval of a Form I-800 and under 8 CFR part 245 for adjustment of status, the USCIS office with jurisdiction to adjudicate the child's adjustment of status application also has jurisdiction to grant final approval of the Form I-800.
(d)*Use of electronic filing.* When, and if, USCIS adopts electronic, internet-based or other digital means for filing Convention cases, the terms “filing a Form I-800A” and “filing a Form I-800” will include an additional option. Rather than filing the Form I-800A or Form I-800 and accompanying evidence in a paper format, the submission of the same required information and accompanying evidence may be filed according to the digital filing protocol that USCIS adopts. § 204.309 Factors requiring denial of a Form I-800A or Form I-800.
(a)*Form I-800A.* A USCIS officer must deny a Form I-800A if:
(1)The applicant or any additional adult member of the household failed to disclose to the home study preparer or to USCIS, or concealed or misrepresented, any fact(s) about the applicant or any additional member of the household concerning the arrest, conviction, or history of substance abuse, sexual abuse, child abuse, and/or family violence, or any other criminal history as an offender; the fact that an arrest or conviction or other criminal history has been expunged, sealed, pardoned, or the subject of any other amelioration does not relieve the applicant or additional adult member of the household of the obligation to disclose the arrest, conviction or other criminal history;
(2)The applicant, or any additional adult member of the household, failed to cooperate in having available child abuse registries checked in accordance with 8 CFR 204.311;
(3)The applicant, or any additional adult member of the household, failed to disclose, as required by 8 CFR 204.311, each and every prior adoption home study, whether completed or not, including those that did not favorably recommend for adoption or custodial care, the person(s) to whom the prior home study related; or
(4)The applicant is barred by 8 CFR 204.307(c) from filing the Form I-800A.
(b)*Form I-800.* A USCIS officer must deny a Form I-800 if:
(1)Except as specified in 8 CFR 204.312(e)(2)(ii) with respect to a new Form I-800 filed with a new Form I-800A to reflect a change in marital status, the petitioner completed the adoption of the child, or acquired legal custody of the child for purposes of emigration and adoption, before the provisional approval of the Form I-800 under 8 CFR 204.313(g). This restriction will not apply if a competent authority in the country of the child's habitual residence voids, vacates, annuls, or terminates the adoption or grant of custody and then, after the provisional approval of the Form I-800, and after receipt of notice under article 5(c) of the Convention that the child is, or will be, authorized to enter and reside permanently in the United States, permits a new grant of adoption or custody. The prior adoption must be voided, vacated, annulled or otherwise terminated before the petitioner files a Form I-800.
(2)Except as specified in 8 CFR 204.312(e)(2)(ii) with respect to a new Form I-800 filed with a new Form I-800A to reflect a change in marital status, the petitioner, or any additional adult member of the household had met with, or had any other form of contact with, the child's parents, legal custodian, or other individual or entity who was responsible for the child's care when the contact occurred, unless the contact was permitted under this paragraph. An authorized adoption service provider's sharing of general information about a possible adoption placement is not “contact” for purposes of this section. Contact is permitted under this paragraph if:
(i)The first such contact occurred only after USCIS had approved the Form I-800A filed by the petitioner, and after the competent authority of the Convention country had determined that the child is eligible for intercountry adoption and that the required consents to the adoption have been given; or
(ii)The competent authority of the Convention country had permitted earlier contact, either in the particular instance or through laws or rules of general application, and the contact occurred only in compliance with the particular authorization or generally applicable laws or rules. If the petitioner first adopted the child without complying with the Convention, the competent authority's decision to permit the adoption to be vacated, and to allow the petitioner to adopt the child again after complying with the Convention, will also constitute approval of any prior contact; or
(iii)The petitioner was already, before the adoption, the father, mother, son, daughter, brother, sister, uncle, aunt, first cousin (that is, the petitioner, or either spouse, in the case of a married petitioner had at least one grandparent in common with the child's parent), second cousin (that is, the petitioner, or either spouse, in the case of a married petitioner, had at least one great-grandparent in common with the child's parent) nephew, niece, husband, former husband, wife, former wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, or half sister of the child's parent(s).
(3)The USCIS officer finds that the petitioner, or any individual or entity acting on behalf of the petitioner has engaged in any conduct related to the adoption or immigration of the child that is prohibited by 8 CFR 204.304, or that the petitioner has concealed or misrepresented any material facts concerning payments made in relation to the adoption;
(4)The child is present in the United States, unless the petitioner, after compliance with the requirements of this subpart, either adopt(s) the child in the Convention country, or else, after having obtained custody of the child under the law of the Convention country for purposes of emigration and adoption, adopt(s) the child in the United States. This subpart does not require the child's actual return to the Convention country; whether to permit the child's adoption without the child's return is a matter to be determined by the Central Authority of the country of the child's habitual residence, but approval of a Form I-800 does not relieve an alien child of his or her ineligibility for adjustment of status under section 245 of the Act, if the child is present in the United States without inspection or is otherwise ineligible for adjustment of status. If the child is in the United States but is not eligible for adjustment of status, the Form I-800 may be provisionally approved only if the child will leave the United States after the provisional approval and apply for a visa abroad before the final approval of the Form I-800.
(5)Except as specified in 8 CFR 204.312(e)(2)(ii) with respect to a new Form I-800 filed with a new Form I-800A to reflect a change in marital status, the petitioner files the Form I-800:
(i)Before the approval of a Form I-800A, or
(ii)After the denial of a Form I-800A; or
(iii)After the expiration of the approval of a Form I-800A;
(6)The petitioner is barred by 8 CFR 204.307(c) from filing the Form I-800.
(c)*Notice of intent to deny.* Before denying a Form I-800A under paragraph
(a)or a Form I-800 under paragraph
(b)of this section, the USCIS officer will notify the applicant (for a Form I-800A case) or petitioner (for a Form I-800 case) in writing of the intent to deny the Form I-800A or Form I-800 and provide 30 days in which to submit evidence and argument to rebut the claim that this section requires denial of the Form I-800A or Form I-800.
(d)*Rebuttal of intent to deny.* If USCIS notifies the applicant that USCIS intends to deny a Form I-800A under paragraph
(a)of this section, because the applicant or any additional adult member(s) of the household failed to disclose to the home study preparer or to USCIS, or concealed or misrepresented, any fact(s) concerning the arrest, conviction, or history of substance abuse, sexual abuse or child abuse, and/or family violence, or other criminal history, or failed to cooperate in search of child abuse registries, or failed to disclose a prior home study, the applicant may rebut the intent to deny only by establishing, by clear and convincing evidence that:
(1)The applicant or additional adult member of the household did, in fact, disclose the information; or
(2)If it was an additional adult member of the household who failed to cooperate in the search of child abuse registries, or who failed to disclose to the home study preparer or to USCIS, or concealed or misrepresented, any fact(s) concerning the arrest, conviction, or history of substance abuse, sexual abuse or child abuse, and/or family violence, or other criminal history, or failed to disclose a prior home study, that that person is no longer a member of the household and that that person's conduct is no longer relevant to the suitability of the applicant as the adoptive parent of a Convention adoptee. § 204.310 Filing requirements for Form I-800A.
(a)*Completing and filing the Form.* A United States citizen seeking to be determined eligible and suitable as the adoptive parent of a Convention adoptee must:
(1)Complete Form I-800A, including a Form I-800A Supplement 1 for each additional adult member of the household, in accordance with the instructions that accompany the Form I-800A.
(2)Sign the Form I-800A personally. One spouse cannot sign for the other, even under a power of attorney or similar agency arrangement.
(3)File the Form I-800A with the USCIS office that has jurisdiction under 8 CFR 204.308(a) to adjudicate the Form I-800A, together with:
(i)The fee specified in 8 CFR 103.7(b)(1) for the filing of Form I-800A;
(ii)The additional biometrics information collection fee required under 8 CFR 103.7(b)(1) for the applicant and each additional adult member of the household;
(iii)Evidence that the applicant is a United States citizen, as set forth in 8 CFR 204.1(g), or, in the case of a married applicant, evidence either that both spouses are citizens or, if only one spouse is a United States citizen, evidence of that person's citizenship and evidence that the other spouse, if he or she lives in the United States, is either a non-citizen United States national or an alien who holds a lawful status under U.S. immigration law.
(iv)A copy of the current marriage certificate, unless the applicant is not married;
(v)If the applicant has been married previously, a death certificate or divorce or dissolution decree to establish the legal termination of all previous marriages, regardless of current marital status;
(vi)If the applicant is not married, his or her birth certificate, U.S. passport biographical information page, naturalization or citizenship certificate, or other evidence, to establish that he or she is at least 24 years old;
(vii)A written description of the preadoption requirements, if any, of the State of the child's proposed residence in cases where it is known that any child the applicant may adopt will be adopted in the United States, and of the steps that have already been taken or that are planned to comply with these requirements. The written description must include a citation to the State statutes and regulations establishing the requirements. Any preadoption requirements which cannot be met at the time the Form I-800A is filed because of the operation of State law must be noted and explained when the Form I-800A is filed.
(viii)A home study that meets the requirements of 8 CFR 204.311 and that bears the home study preparer's original signature. If the home study is not included with the Form I-800A, the director of the office that has jurisdiction to adjudicate the Form I-800A will make a written request for evidence, directing the applicant to submit the home study. If the applicant fails to submit the home study within the period specified in the request for evidence, the director of the office that has jurisdiction to adjudicate the Form I-800A will deny the Form I-800A. Denial of a Form I-800A under this paragraph for failure to submit a home study is not subject to appeal, but the applicant may file a new Form I-800A, accompanied by a new filing fee.
(b)*Biometrics.* Upon the proper filing of a Form I-800A, USCIS will arrange for the collection of biometrics from the applicant and each additional adult member of the household, as prescribed in 8 CFR 103.2(e), but with no upper age limit. It will be necessary to collect the biometrics of each of these persons again, if the initial collection expires before approval of the Form I-800A. USCIS may waive this requirement for any particular individual if USCIS determines that that person is physically unable to comply. However, USCIS will require the submission of affidavits, police clearances, or other evidence relating to whether that person has a criminal history in lieu of collecting the person's biometrics.
(c)*Change in marital status.* If, while a Form I-800A is pending, an unmarried applicant marries, or the marriage of a married applicant ends, an amended Form I-800A and amended home study must be filed to reflect the change in marital status. No additional filing fee is required to file an amended Form I-800A while the original Form I-800A is still pending. See 8 CFR 204.312(e)(2) concerning the need to file a new Form I-800A if the marital status changes after approval of a Form I-800A. § 204.311 Convention adoption home study requirements.
(a)*Purpose.* For immigration purposes, a home study is a process for screening and preparing an applicant who is interested in adopting a child from a Convention country.
(b)*Preparer.* Only an individual or entity defined under 8 CFR 204.301 as a home study preparer for Convention cases may complete a home study for a Convention adoption. In addition, the individual or entity must be authorized to complete adoption home studies under the law of the jurisdiction in which the home study is conducted.
(c)*Study requirements.* The home study must:
(1)Be tailored to the particular situation of the applicant and to the specific Convention country in which the applicant intends to seek a child for adoption. For example, an applicant who has previously adopted children will require different preparation than an applicant who has no adopted children. A home study may address the applicant's suitability to adopt in more than one Convention country, but if the home study does so, the home study must separately assess the applicant's suitability as to each specific Convention country.
(2)If there are any additional adult members of the household, identify each of them by name, alien registration number (if the individual has one), and date of birth.
(3)Include an interview by the preparer of any additional adult member of the household and an assessment of him or her in light of the requirements of this section.
(4)Be no more than 6 months old at the time the home study is submitted to USCIS.
(5)Include the home study preparer's assessment of any potential problem areas, a copy of any outside evaluation(s), and the home study preparer's recommended restrictions, if any, on the characteristics of the child to be placed in the home. See 8 CFR 204.309(a) for the consequences of failure to disclose information or cooperate in completion of a home study.
(6)Include the home study preparer's signature, in accordance with paragraph
(f)of this section.
(7)State the number of interviews and visits, the participants, date and location of each interview and visit, and the date and location of any other contacts with the applicant and any additional adult member of the household.
(8)Summarize the pre-placement preparation and training already provided to the applicant concerning the issues specified in 22 CFR 96.48(a) and (b), the plans for future preparation and training with respect to those issues, or with respect to a particular child, as specified in 22 CFR 96.48(c), and the plans for post-placement monitoring specified in 22 CFR 96.50, in the event that the child will be adopted in the United States rather than abroad.
(9)Specify whether the home study preparer made any referrals as described in paragraph (g)(4) of this section, and include a copy of the report resulting from each referral, the home study preparer's assessment of the impact of the report on the suitability of the applicant to adopt, and the home study preparer's recommended restrictions, if any, on the characteristics of the child to be placed in the home.
(10)Include results of the checks conducted in accordance with paragraph
(i)of this section including that no record was found to exist, that the State or foreign country will not release information to the home study preparer or anyone in the household, or that the State or foreign country does not have a child abuse registry.
(11)Include each person's response to the questions regarding abuse and violence in accordance with paragraph
(j)of this section.
(12)Include a certified copy of the documentation showing the final disposition of each incident which resulted in arrest, indictment, conviction, and/or any other judicial or administrative action for anyone subject to the home study and a written statement submitted with the home study giving details, including any mitigating circumstances about each arrest, signed, under penalty of perjury, by the person to whom the arrest relates.
(13)Contain an evaluation of the suitability of the home for adoptive placement of a child in light of any applicant's or additional adult member of the household's history of abuse and/or violence as an offender, whether this history is disclosed by an applicant or any additional adult member of the household or is discovered by home study preparer, regardless of the source of the home study preparer's discovery. A single incident of sexual abuse, child abuse, or family violence is sufficient to constitute a “history” of abuse and/or violence.
(14)Contain an evaluation of the suitability of the home for adoptive placement of a child in light of disclosure by an applicant, or any additional adult member of the household, of a history of substance abuse. A person has a history of substance abuse if his or her current or past use of alcohol, controlled substances, or other substances impaired or impairs his or her ability to fulfill obligations at work, school, or home, or creates other social or interpersonal problems that may adversely affect the applicant's suitability as an adoptive parent.
(15)Include a general description of the information disclosed in accordance with paragraph
(m)of this section concerning the physical, mental, and emotional health of the applicant and of any additional adult member of the household.
(16)Identify the agency involved in each prior or terminated home study in accordance with paragraph
(o)of this section, when the prior home study process began, the date the prior home study was completed, and whether the prior home study recommended for or against finding the applicant or additional adult member of the household suitable for adoption, foster care, or other custodial care of a child. If a prior home study was terminated without completion, the current home study must indicate when the prior home study began, the date of termination, and the reason for the termination.
(d)*Duty to disclose.*
(1)The applicant, and any additional adult members of the household, each has a duty of candor and must:
(i)Give true and complete information to the home study preparer.
(ii)Disclose any arrest, conviction, or other adverse criminal history, whether in the United States or abroad, even if the record of the arrest, conviction or other adverse criminal history has been expunged, sealed, pardoned, or the subject of any other amelioration. A person with a criminal history may be able to establish sufficient rehabilitation.
(iii)Disclose other relevant information, such as physical, mental or emotional health issues, or behavioral issues, as specified in paragraph
(m)of this section. Such problems may not necessarily preclude approval of a Form I-800A, if, for example, they have been or are being successfully treated.
(2)This duty of candor is an ongoing duty, and continues while the Form I-800A is pending, after the Form I-800A is approved, and while any subsequent Form I-800 is pending, and until there is a final decision admitting the Convention adoptee to the United States with a visa. The applicant and any additional adult member of the household must notify the home study preparer and USCIS of any new event or information that might warrant submission of an amended or updated home study.
(e)*State standards.* In addition to the requirements of this section, the home study preparer must prepare the home study according to the requirements that apply to a domestic adoption in the State of the applicant's actual or proposed residence in the United States.
(f)*Home study preparer's signature.* The home study preparer (or, if the home study is prepared by an entity, the officer or employee who has authority to sign the home study for the entity) must personally sign the home study, and any updated or amended home study. The home study preparer's signature must include a declaration, under penalty of perjury under United States law, that:
(1)The signer personally, and with the professional diligence reasonably necessary to protect the best interests of any child whom the applicant might adopt, either actually conducted or supervised the home study, including personal interview(s), the home visits, and all other aspects of the investigation needed to prepare the home study; if the signer did not personally conduct the home study, the person who actually did so must be identified;
(2)The factual statements in the home study are true and correct, to the best of the signer's knowledge, information and belief; and
(3)The home study preparer has advised the applicant of the duty of candor under paragraph
(d)of this section, specifically including the on-going duty under paragraph (d)(2) of this section concerning disclosure of new events or information warranting submission of an updated or amended home study.
(g)*Personal interview(s) and home visit(s).* The home study preparer must:
(1)Conduct at least one interview in person, and at least one home visit, with the applicant.
(2)Interview, at least once, each additional adult member of the household, as defined in 8 CFR 204.301. The interview with an additional adult mber of the household should also be in person, unless the home study preparer determines that interviewing that individual in person is not reasonably feasible and explains in the home study the reason for this conclusion.
(3)Provide information on and assess the suitability of the applicant as the adoptive parent of a Convention adoptee based on the applicant's background, family and medical history (including physical, mental and emotional health), social environment, reasons for adoption, ability to undertake an intercountry adoption, and the characteristics of the child(ren) for whom they would be qualified to care.
(4)Refer the applicant to an appropriate licensed professional, such as a physician, psychiatrist, clinical psychologist, clinical social worker, or professional substance abuse counselor, for an evaluation and written report, if the home study preparer determines that there are areas beyond his or her expertise that need to be addressed. The home study preparer must also make such a referral if such a referral would be required for a domestic adoption under the law of the State of the applicant's actual or proposed place of residence in the United States.
(5)Apply the requirements of this paragraph to each additional adult member of the household.
(h)*Financial considerations.*
(1)Assessment of the finances of the applicant must include:
(i)A description of the applicant's income, financial resources, debts, and expenses.
(ii)A statement concerning the evidence that was considered to verify the source and amount of income and financial resources.
(2)Any income designated for the support of one or more children in the applicant's care and custody, such as funds for foster care, or any income designated for the support of another member of the household, must not be counted towards the financial resources available for the support of a prospective adoptive child.
(3)USCIS will not routinely require a detailed financial statement or supporting financial documents. However, should the need arise, USCIS reserves the right to ask for such detailed documentation.
(i)*Checking available child abuse registries.* The home study preparer must ensure that a check of the applicant, and of each additional adult member of the household, has been made with available child abuse registries in any State or foreign country that the applicant, or any additional adult member of the household, has resided in since that person's 18th birthday. USCIS may also conduct its own check of any child abuse registries to which USCIS has access. Depending on the extent of access to a relevant registry allowed by the State or foreign law, the home study preparer must take one of the following courses of action:
(1)If the home study preparer is allowed access to information from the child abuse registries, he or she must make the appropriate checks for the applicant and each additional adult member of the household;
(2)If the State or foreign country requires the home study preparer to secure permission from the applicant and each additional adult member of the household before gaining access to information in such registries, the home study preparer must secure such permission from those individuals and make the appropriate checks;
(3)If the State or foreign country will only release information directly to an individual to whom the information relates, then the applicant and the additional adult member of the household must secure such information and provide it to the home study preparer.
(4)If the State or foreign country will release information neither to the home study preparer nor to the person to whom the information relates, or has not done so within 6 months of a written request for the information, this unavailability of information must be noted in the home study.
(j)*Inquiring about history of abuse or violence as an offender.* The home study preparer must ask each applicant and each additional adult member of the household whether he or she has a history as an offender, whether in the United States or abroad, of substance abuse, sexual abuse, or child abuse, or family violence, even if such history did not result in an arrest or conviction. This evaluation must include:
(1)The dates of each arrest or conviction or history of substance abuse, sexual abuse or child abuse, and/or family violence; or,
(2)If not resulting in an arrest, the date or time period (if occurring over an extended period of time) of each occurrence and
(3)Details including any mitigating circumstances about each incident. Each statement must be signed, under penalty of perjury, by the person to whom the incident relates.
(k)*Criminal history.* The applicant, and any additional adult members of the household, must also disclose to the home study preparer and USCIS any history, whether in the United States or abroad, of any arrest and/or conviction (other than for minor traffic offenses) in addition to the information that the person must disclose under paragraph
(j)of this section. If an applicant or an additional adult member of the household has a criminal record, the officer may still find that the applicant will be suitable as the adoptive parent of a Convention adoptee, if there is sufficient evidence of rehabilitation as described in paragraph
(l)of this section.
(l)*Evidence of rehabilitation.* If an applicant, or any additional adult member of the household, has a history of substance abuse, sexual abuse or child abuse, and/or family violence as an offender, or any other criminal history, the home study preparer may, nevertheless, make a favorable finding if the applicant has demonstrated that the person with this adverse history has achieved appropriate rehabilitation. A favorable recommendation cannot be made based on a claim of rehabilitation while an applicant or any additional adult member of the household is on probation, parole, supervised release, or other similar arrangement for any conviction. The home study must include a discussion of the claimed rehabilitation, which demonstrates that the applicant is suitable as the adoptive parent(s) of a Convention adoptee. Evidence of rehabilitation may include:
(1)An evaluation of the seriousness of the arrest(s), conviction(s), or history of abuse, the number of such incidents, the length of time since the last incident, the offender's acceptance of responsibility for his or her conduct, and any type of counseling or rehabilitation programs which have been successfully completed, or
(2)A written opinion from an appropriate licensed professional, such as a psychiatrist, clinical psychologist, or clinical social worker.
(m)*Assessment with respect to physical, mental and emotional health or behavioral issues.* The home study must address the current physical, mental and emotional health of the applicant, or any additional adult member of the household, as well as any history of illness or of any mental, emotional, psychological, or behavioral instability if the home study preparer determines, in the exercise of reasonable professional judgment, that the suitability of the applicant as an adoptive parent may be affected adversely by such history. Paragraph (g)(4) of this section, regarding referral to professionals, applies to any home study involving prior psychiatric care, or issues arising from sexual abuse, child abuse, or family violence issues if, in the home study preparer's reasonable professional judgment, such referral(s) may be necessary or helpful to the proper completion of the home study.
(n)*Prior home study.* The home study preparer must ask each applicant, and any additional adult member of the household, whether he or she previously has had a prior home study completed, or began a home study process in relation to an adoption or to any form of foster or other custodial care of a child that was not completed, whether or not the prior home study related to an intercountry adoption, and must include each individual's response to this question in the home study report. A copy of any previous home study that did not favorably recommend the applicant or additional adult member of the household must be attached to any home study submitted with a Form I-800A. If a copy of any prior home study that did not favorably recommend the applicant or additional adult member of the household is no longer available, the current home study must explain why the prior home study is no longer available. The home study preparer must evaluate the relevance of any prior unfavorable or uncompleted home study to the suitability of the applicant as the adoptive parent of a Convention adoptee.
(o)*Living accommodations.* The home study must include a detailed description of the living accommodations where the applicant currently resides. If the applicant is planning to move, the home study must include a description of the living accommodations where the child will reside with the applicant, if known. If the applicant is residing abroad at the time of the home study, the home study must include a description of the living accommodations where the child will reside in the United States with the applicant, if known. Each description must include an assessment of the suitability of accommodations for a child and a determination whether such space meets applicable State requirements, if any.
(p)*Handicapped or special needs child.* A home study conducted in conjunction with the proposed adoption of a special needs or handicapped child must contain a discussion of the preparation, willingness, and ability of the applicant to provide proper care for a child with the handicap or special needs. This information will be used to evaluate the suitability of the applicant as the adoptive parent of a special needs or handicapped child. If this information is not included in the home study, an updated or amended home study will be necessary if the applicant seeks to adopt a handicapped or special needs child.
(q)*Addressing a Convention country's specific requirements.* If the Central Authority of the Convention country has notified the Secretary of State of any specific requirements that must be met in order to adopt in the Convention country, the home study must include a full and complete statement of all facts relevant to the applicant's eligibility for adoption in the Convention country, in light of those specific requirements.
(r)*Specific approval for adoption.* If the home study preparer's findings are favorable, the home study must contain his or her specific approval of the applicant for adoption of a child from the specific Convention country or countries, and a discussion of the reasons for such approval. The home study must include the number of children the applicant may adopt at the same time. The home study must state whether there are any specific restrictions to the adoption based on the age or gender, or other characteristics of the child. If the home study preparer has approved the applicant for a handicapped or special needs adoption, this fact must be clearly stated.
(s)*Home study preparer's authority to conduct home studies.* The home study must include a statement in which the home study preparer certifies that he or she is authorized under 22 CFR part 96 to complete home studies for Convention adoption cases. The certification must specify the State or country under whose authority the home study preparer is licensed or authorized, cite the specific law or regulation authorizing the preparer to conduct home studies, and indicate the license number, if any, and the expiration date, if any, of this authorization or license. The certification must also specify the basis under 22 CFR part 96 (public domestic authority, accredited agency, temporarily accredited agency, approved person, exempted provider, or supervised provider) for his or her authorization to conduct Convention adoption home studies.
(t)*Review of home study.*
(1)If the law of the State in which the applicant resides requires the competent authority in the State to review the home study, such a review must occur and be documented before the home study is submitted to USCIS.
(2)When the home study is not performed in the first instance by an accredited agency or temporarily accredited agency, as defined in 22 CFR part 96, then an accredited agency or temporarily accredited agency, as defined in 22 CFR part 96, must review and approve the home study as specified in 22 CFR 96.47(c) before the home study is submitted to USCIS. This requirement for review and approval by an accredited agency or temporarily accredited agency does not apply to a home study that was actually prepared by a public domestic authority, as defined in 22 CFR 96.2.
(u)*Home study updates and amendments.*
(1)A new home study amendment or update will be required if there is:
(i)A significant change in the applicant's household, such as a change in residence, marital status, criminal history, financial resources; or
(ii)The addition of one or more children in the applicant's home, whether through adoption or foster care, birth, or any other means. Even if the original home study provided for the adoption of more than one adopted child, the applicant must submit an amended home study recommending adoption of an additional child, because the addition of the already adopted child(ren) to the applicant's household is a significant change in the household that should be assessed before the adoption of any additional child(ren);
(iii)The addition of other dependents or additional adult member(s) of the household to the family prior to the prospective child's immigration into the United States;
(iv)A change resulting because the applicant is seeking to adopt a handicapped or special needs child, if the home study did not already address the applicant's suitability as the adoptive parent of a child with the particular handicap or special need;
(v)A change to a different Convention country. This change requires the updated home study to address suitability under the requirements of the new Convention country;
(vi)A lapse of more than 6 months between the date the home study is completed and the date it is submitted to USCIS; or
(vii)A change to the child's proposed State of residence. The preadoption requirements of the new State must be complied with in the case of a child coming to the United States to be adopted.
(2)Any updated or amended home study must:
(i)Meet the requirements of this section;
(ii)Be accompanied by a copy of the home study that is being updated or amended, including all prior updates and amendments;
(iii)Include a statement from the preparer that he or she has reviewed the home study that is being updated or amended and is personally and fully aware of its contents; and
(iv)Address whether the home study preparer recommends approval of the proposed adoption and the reasons for the recommendation.
(3)If submission of an updated or amended home study becomes necessary before USCIS adjudicates the Form I-800A, the applicant may simply submit the updated or amended home study to the office that has jurisdiction over the Form I-800A.
(4)If it becomes necessary to file an updated or amended home study after USCIS has approved the Form I-800A, the applicant must file a Form I-800A Supplement 3 with the filing fee specified in 8 CFR 103.7(b)(1) and the amended or updated home study. If USCIS determines that the amended or updated home study shows that the applicant remains suitable as the adoptive parent(s) of a Convention adoptee, USCIS will issue a new approval notice that will expire on the same date as the original approval. If the applicant also wants to have USCIS extend the approval period for the Form I-800A, the applicant must submit the updated or amended home study with an extension request under 8 CFR 204.312(e)(3), rather than under this paragraph
(u)of this section.
(5)Each update must indicate that the home study preparer has updated the screening of the applicant and any additional adult member of the household under paragraphs
(i)through
(l)of this section, and must indicate the results of this updated screening. § 204.312 Adjudication of the Form I-800A.
(a)*USCIS action.* The USCIS officer must approve a Form I-800A if the officer finds, based on the evidence of record, that the applicant is eligible under 8 CFR 204.307(a) to file a Form I-800A and the USCIS officer is satisfied that the applicant is suitable as the adoptive parent of a child from the specified Convention country. If the applicant sought approval for more than one Convention country, the decision will specify each country for which the Form I-800A is approved, and will also specify whether the Form I-800A is denied with respect to any particular Convention country.
(b)*Evaluation of the home study.* In determining suitability to adopt, the USCIS officer will give considerable weight to the home study, but is not bound by it. Even if the home study is favorable, the USCIS officer must deny the Form I-800A if, on the basis of the evidence of record, the officer finds, for a specific and articulable reason, that the applicant has failed to establish that he or she is suitable as the adoptive parent of a child from the Convention country. The USCIS officer may consult the accredited agency or temporarily accredited agency that approved the home study, the home study preparer, the applicant, the relevant State or local child welfare agency, or any appropriate licensed professional, as needed to clarify issues concerning whether the applicant is suitable as the adoptive parent of a Convention adoptee. If this consultation yields evidence that is adverse to the applicant, the USCIS officer may rely on the evidence only after complying with the provisions of 8 CFR 103.2(b)(16) relating to the applicant's right to review and rebut adverse information.
(c)*Denial of application.*
(1)The USCIS officer will deny the Form I-800A if the officer finds that the applicant has failed to establish that the applicant is:
(i)Eligible under 8 CFR 204.307(a) to file Form I-800A; or
(ii)Suitable as the adoptive parent of a child from the Convention country.
(2)Before denying a Form I-800A, the USCIS officer will comply with 8 CFR 103.2(b)(16), if required to do so under that provision, and may issue a request for evidence or a notice of intent to deny under 8 CFR 103.2(b)(8).
(3)A denial will be in writing, giving the reason for the denial and notifying the applicant of the right to appeal, if any, as provided in 8 CFR 204.314.
(4)It is for the Central Authority of the other Convention country to determine how its own adoption requirements, as disclosed in the home study under 8 CFR 204.311(q), should be applied in a given case. For this reason, the fact that the applicant may be ineligible to adopt in the other Convention country under those requirements, will not warrant the denial of a Form I-800A, if USCIS finds that the applicant has otherwise established eligibility and suitability as the adoptive parent of a Convention adoptee.
(d)*Approval notice.*
(1)If USCIS approves the Form I-800A, USCIS will notify the applicant in writing as well as the Department of State. The notice of approval will specify:
(i)The expiration date for the notice of approval, as determined under paragraph
(e)of this section, and
(ii)The name(s) and marital status of the applicant; and
(iii)If the applicant is not married and not yet 25 years old, the applicant's date of birth.
(2)Once USCIS approves the Form I-800A, or extends the validity period for a prior approval under paragraph
(e)of this section, any submission of the home study to the Central Authority of the country of the child's habitual residence must consist of the entire and complete text of the same home study and of any updates or amendments submitted to USCIS.
(e)*Duration or revocation of approval.*
(1)A notice of approval expires 15 months after the date on which USCIS received the FBI response on the applicant's, and any additional adult member of the household's, biometrics, unless approval is revoked. If USCIS received the responses on different days, the 15-month period begins on the earliest response date. The notice of approval will specify the expiration date. USCIS may extend the validity period for the approval of a Form I-800A only as provided in paragraph (e)(3) of this section.
(i)The approval of a Form I-800A is automatically revoked if before the final decision on a Convention adoptee's application for admission with an immigrant visa or for adjustment of status:
(A)The marriage of the applicant terminates; or
(B)An unmarried applicant marries; or
(C)In the case of a married applicant, either spouse files with a USCIS or Department of State officer a written document withdrawing his or her signature on the Form I-800A.
(ii)This revocation is without prejudice to the filing of a new Form I-800A, with fee, accompanied by a new or amended home study, reflecting the change in marital status. If a Form I-800 had already been filed based on the approval of the prior Form I-800A, a new Form I-800 must also be filed with the new Form I-800A under this paragraph. The new Form I-800 will be adjudicated only if the new Form I-800A is approved. The new Form I-800 will not be subject to denial under 8 CFR 204.309(b)(1) or (2), unless the original Form I-800 would have been subject to denial under either of those provisions. (3)(i) If the 15-month validity period for a Form I-800A approval is about to expire, and the applicant has not filed a Form I-800, the applicant may file Form I-800A Supplement 3, with the filing fee under 8 CFR 103.7(b)(1), if required. The applicant may not file a Form I-800A Supplement 3 seeking extension of an approval notice more than 90 days before the expiration of the validity period for the Form I-800A approval, but must do so on or before the date on which the validity period expires. The applicant is not required to pay the Form I-800A Supplement 3 filing fee for the first request to extend the approval of a Form I-800A. If the applicant files a second or subsequent Form I-800A Supplement 3 to obtain a second or subsequent extension, however, the applicant must pay the Form I-800A Supplement 3 filing fee, as specified in 8 CFR 103.7(b), for the second, or any subsequent, Form I-800A Supplement 3 that is filed to obtain a second or subsequent extension. Any Form I-800A Supplement 3 that is filed to obtain an extension of the approval of a Form I-800A must be accompanied by:
(A)A statement, signed by the applicant under penalty of perjury, detailing any changes to the answers given to the questions on the original Form I-800A;
(B)An updated or amended home study as required under 8 CFR 204.311(u); and
(C)A photocopy of the Form I-800A approval notice.
(ii)Upon receipt of the Form I-800A Supplement 3, USCIS will arrange for the collection of the biometrics of the applicant and of each additional adult member of the applicant's household.
(iii)If USCIS continues to be satisfied that the applicant remains suitable as the adoptive parent of a Convention adoptee, USCIS will extend the approval of the Form I-800A to a date not more than 15 months after the date on which USCIS received the new biometric responses. If new responses are received on different dates, the new 15-month period begins on the earliest response date. The new notice of approval will specify the new expiration date.
(iv)There is no limit to the number of extensions that may be requested and granted under this section, so long as each request is supported by an updated or amended home study that continues to recommend approval of the applicant for intercountry adoption and USCIS continues to find that the applicant remain suitable as the adoptive parent(s) of a Convention adoptee.
(4)In addition to the automatic revocation provided for in paragraph (e)(2) of this section, the approval of a Form I-800A may be revoked pursuant to 8 CFR 205.1 or 205.2. § 204.313 Filing and adjudication of a Form I-800.
(a)*When to file.* Once a Form I-800A has been approved and the Central Authority has proposed placing a child for adoption by the petitioner, the petitioner may file the Form I-800. The petitioner must complete the Form I-800 in accordance with the instructions that accompany the Form I-800, and must sign the Form I-800 personally. In the case of a married petitioner, one spouse cannot sign for the other, even under a power of attorney or similar agency arrangement. The petitioner may then file the Form I-800 with the stateside or overseas USCIS office or the visa issuing post that has jurisdiction under 8 CFR 204.308(b) to adjudicate the Form I-800, together with the evidence specified in this section and the filing fee specified in 8 CFR 103.7(b)(1), if more than one Form I-800 is filed for children who are not siblings.
(b)*What to include on the Form.*
(1)The petitioner must specify on the Form I-800 either that:
(i)The child will seek an immigrant visa, if the Form I-800 is approved, because the child will reside in the United States with the petitioner (in the case of a married petitioner, if only one spouse is a United States citizen, with that spouse) after the child's admission to the United States on the basis of the proposed adoption; or
(ii)The child will seek a nonimmigrant visa, in order to travel to the United States to obtain naturalization under section 322 of the Act, because the petitioner intends to complete the adoption abroad and the petitioner and the child will continue to reside abroad immediately following the adoption, rather than residing in the United States with the petitioner. This option is not available if the child will be adopted in the United States.
(2)In applying this paragraph (b), if a petitioner is a United States citizen who is domiciled in the United States, but who is posted abroad temporarily under official orders as a member of the Uniformed Services as defined in 5 U.S.C. 2101, or as a civilian officer or employee of the United States Government, the child will be deemed to be coming to the United States to reside in the United States with that petitioner.
(c)*Filing deadline.*
(1)The petitioner must file the Form I-800 before the expiration of the notice of the approval of the Form I-800A and before the child's 16th birthday. Paragraphs (c)(2) and
(3)of this section provide special rules for determining that this requirement has been met.
(2)If the appropriate Central Authority places the child with the petitioner for intercountry adoption more than 6 months after the child's 15th birthday but before the child's 16th birthday, the petitioner must still file the Form I-800 before the child's 16th birthday. If the evidence required by paragraph (d)(3) or
(4)of this section is not yet available, instead of that evidence, the petitioner may submit a statement from the primary provider, signed under penalty of perjury under United States law, confirming that the Central Authority has, in fact, made the adoption placement on the date specified in the statement. Submission of a Form I-800 with this statement will satisfy the statutory requirement that the petition must be submitted before the child's 16th birthday, but no provisional or final approval of the Form I-800 will be granted until the evidence required by paragraph (d)(3) or
(4)of this section has been submitted. When submitted, the evidence required by paragraph (d)(3) and
(4)must affirmatively show that the Central Authority did, in fact, make the adoption placement decision before the child's 16th birthday.
(3)If the Form I-800A was filed after the child's 15th birthday but before the child's 16th birthday, the filing date of the Form I-800A will be deemed to be the filing date of the Form I-800, provided the Form I-800 is filed not more than 180 days after the initial approval of the Form I-800A.
(d)*Required evidence.* Except as specified in paragraph (c)(2) of this section, the petitioner must submit the following evidence with the properly completed Form I-800:
(1)The Form I-800A approval notice and, if applicable, proof that the approval period has been extended under 8 CFR 204.312(e);
(2)A statement from the primary provider, as defined in 22 CFR 96.2, signed under penalty of perjury under United States law, indicating that all of the pre-placement preparation and training provided for in 22 CFR 96.48 has been completed;
(3)The report required under article 16 of the Convention, specifying the child's name and date of birth, the reasons for making the adoption placement, and establishing that the competent authority has, as required under article 4 of the Convention:
(i)Established that the child is eligible for adoption;
(ii)Determined, after having given due consideration to the possibility of placing the child for adoption within the Convention country, that intercountry adoption is in the child's best interests;
(iii)Ensured that the legal custodian, after having been counseled as required, concerning the effect of the child's adoption on the legal custodian's relationship to the child and on the child's legal relationship to his or her family of origin, has freely consented in writing to the child's adoption, in the required legal form;
(iv)Ensured that if any individual or entity other than the legal custodian must consent to the child's adoption, this individual or entity, after having been counseled as required concerning the effect of the child's adoption, has freely consented in writing, in the required legal form, to the child's adoption;
(v)Ensured that the child, after having been counseled as appropriate concerning the effects of the adoption; has freely consented in writing, in the required legal form, to the adoption, if the child is of an age that, under the law of the country of the child's habitual residence, makes the child's consent necessary, and that consideration was given to the child's wishes and opinions; and
(vi)Ensured that no payment or inducement of any kind has been given to obtain the consents necessary for the adoption to be completed.
(4)The report under paragraph (d)(3) of this section must be accompanied by:
(i)A copy of the child's birth certificate, or secondary evidence of the child's age; and
(ii)A copy of the irrevocable consent(s) signed by the legal custodian(s) and any other individual or entity who must consent to the child's adoption unless, as permitted under article 16 of the Convention, the law of the country of the child's habitual residence provides that their identities may not be disclosed, so long as the Central Authority of the country of the child's habitual residence certifies in its report that the required documents exist and that they establish the child's age and availability for adoption;
(iii)A statement, signed under penalty of perjury by the primary provider (or an authorized representative if the primary provider is an agency or other juridical person), certifying that the report is a true, correct, and complete copy of the report obtained from the Central Authority of the Convention country;
(iv)A summary of the information provided to the petitioner under 22 CFR 96.49(d) and
(f)concerning the child's medical and social history. This summary, or a separate document, must include:
(A)A statement concerning whether, from any examination as described in 22 CFR 96.49(e) or for any other reason, there is reason to believe that the child has any medical condition that makes the child inadmissible under section 212(a)(1) of the Act; if the medical information that is available at the provisional approval stage is not sufficient to assess whether the child may be inadmissible under section 212(a)(1), the submission of this information may be deferred until the petitioner seeks final approval of the Form I-800;
(B)If both of the child's birth parents were the child's legal custodians and signed the irrevocable consent, the factual basis for determining that they are incapable of providing proper care for the child, as defined in 8 CFR 204.301;
(C)Information about the circumstances of the other birth parent's death, if applicable, supported by a copy of the death certificate, unless paragraph (d)(4)(ii) of this section makes it unnecessary to provide a copy of the death certificate;
(D)If a sole birth parent was the legal custodian, the circumstances leading to the determination that the other parent abandoned or deserted the child, or disappeared from the child's life; and
(E)If the legal custodian was the child's prior adoptive parent(s) or any individual or entity other than the child's birth parent(s), the circumstances leading to the custodian's acquisition of custody of the child and the legal basis of that custody.
(v)If the child will be adopted in the United States, the primary provider's written report, signed under penalty of perjury by the primary provider (or an authorized representative if the primary provider is an agency or other juridical person) detailing the primary adoption service provider's plan for post-placement duties, as specified in 22 CFR 96.50; and
(5)If the child may be inadmissible under any provision of section 212(a) for which a waiver is available, a properly completed waiver application for each such ground; and
(6)Either a Form I-864W, Intending Immigrant's I-864 Exemption, or a Form I-864, Affidavit of Support, as specified in 8 CFR 213a.2.
(e)*Obtaining the home study and supporting evidence.* The materials from the Form I-800A proceeding will be included in the record of the Form I-800 proceeding.
(f)*Investigation.* An investigation concerning the alien child's status as a Convention adoptee will be completed before the Form I-800 is adjudicated in any case in which the officer with jurisdiction to grant provisional or final approval of the Form I-800 determines, on the basis of specific facts, that completing the investigation will aid in the provisional or final adjudication of the Form I-800. Depending on the circumstances surrounding the case, the investigation may include, but is not limited to, document checks, telephone checks, interview(s) with the birth or prior adoptive parent(s), a field investigation, and any other appropriate investigatory actions. In any case in which there are significant differences between the facts presented in the approved Form I-800A or Form I-800 and the facts uncovered by the investigation, the office conducting the investigation may consult directly with the appropriate USCIS office. In any instance where the investigation reveals negative information sufficient to sustain a denial of the Form I-800 (including a denial of a Form I-800 that had been provisionally approved) or the revocation of the final approval of the Form I-800, the results of the investigation, including any supporting documentation, and the Form I-800 and its supporting documentation will be forwarded to the appropriate USCIS office for action. Although USCIS is not precluded from denying final approval of a Form I-800 based on the results of an investigation under this paragraph, the grant of provisional approval under paragraph (g), and the fact that the Department of State has given the notice contemplated by article 5(c) of the Convention, shall constitute prima facie evidence that the grant of adoption or custody for purposes of adoption will, ordinarily, warrant final approval of the Form I-800. The Form I-800 may still be denied, however, if the Secretary of State declines to issue the certificate provided for under section 204(d)(2) of the Act or if the investigation under this paragraph establishes the existence of facts that clearly warrant denial of the petition.
(g)*Provisional approval.*
(1)The officer will consider the evidence described in paragraph
(d)of this section and any additional evidence acquired as a result of any investigation completed under paragraph
(f)of this section, to determine whether the preponderance of the evidence shows that the child qualifies as a Convention adoptee. Unless 8 CFR 204.309(b) prohibits approval of the Form I-800, the officer will serve the petitioner with a written order provisionally approving the Form I-800 if the officer determines that the child does qualify for classification as a “child” under section 101(b)(1)(G), and that the proposed adoption or grant of custody will meet the Convention requirements.
(i)The provisional approval will expressly state that the child will, upon adoption or acquisition of custody, be eligible for classification as a Convention adoptee, adjudicate any waiver application and (if any necessary waiver of inadmissibility is granted) direct the petitioner to obtain and present the evidence required under paragraph
(h)of this section in order to obtain final approval of the Form I-800.
(ii)The grant of a waiver of inadmissibility in conjunction with the provisional approval of a Form I-800 is conditioned upon the issuance of an immigrant or nonimmigrant visa for the child's admission to the United States based on the final approval of the same Form I-800. If the Form I-800 is finally denied or the immigrant or nonimmigrant visa application is denied, the waiver is void.
(2)If the petitioner filed the Form I-800 with USCIS and the child will apply for an immigrant or nonimmigrant visa, then, upon provisional approval of the Form I-800, the officer will forward the notice of provisional approval, Form I-800, and all supporting evidence to the Department of State. If the child will apply for adjustment of status, USCIS will retain the record of proceeding.
(h)*Final approval.*
(1)To obtain final approval of a provisionally approved Form I-800, the petitioner must submit to the Department of State officer who has jurisdiction of the child's application for an immigrant or nonimmigrant visa, or to the USCIS officer who has jurisdiction of the child's adjustment of status application, a copy of the following document(s):
(i)If the child is adopted in the Convention country, the adoption decree or administrative order from the competent authority in the Convention country showing that the petitioner has adopted the child; in the case of a married petitioner, the decree or order must show that both spouses adopted the child; or
(ii)If the child will be adopted in the United States:
(A)The decree or administrative order from the competent authority in the Convention country giving custody of the child for purposes of emigration and adoption to the petitioner or to an individual or entity acting on behalf of the petitioner. In the case of a married petitioner, an adoption decree that shows that the child was adopted only by one spouse, but not by both, will be deemed to show that the petitioner has acquired sufficient custody to bring the child to the United States for adoption by the other spouse;
(B)If not already provided before the provisional approval (because, for example, the petitioner thought the child would be adopted abroad, but that plan has changed so that the child will now be adopted in the United States), a statement from the primary provider, signed under penalty of perjury under United States law, summarizing the plan under 22 CFR 96.50 for monitoring of the placement until the adoption is finalized in the United States;
(C)If not already provided before the provisional approval (because, for example, the petitioner thought the child would be adopted abroad, but that plan has changed so that the child will now be adopted in the United States), a written description of the preadoption requirements that apply to adoptions in the State of the child's proposed residence and a description of when and how, after the child's immigration, the petitioner intends to complete the child's adoption. The written description must include a citation to the relevant State statutes or regulations and specify how the petitioner intends to comply with any requirements that can be satisfied only after the child arrives in the United States.
(2)If the Secretary of State, after reviewing the evidence that the petitioner provides under paragraph (h)(1)(i) or
(ii)of this section, issues the certificate required under section 204(d)(2) of the Act, the Department of State officer who has jurisdiction over the child's visa application has authority, on behalf of USCIS, to grant final approval of a Form I-800. In the case of an alien who will apply for adjustment of status, the USCIS officer with jurisdiction of the adjustment application has authority to grant this final approval upon receiving the Secretary of State's certificate under section 204(d)(2) of the Act.
(i)*Denial of Form I-800.*
(1)A USCIS officer with authority to grant provisional or final approval will deny the Form I-800 if the officer finds that the child does not qualify as a Convention adoptee, or that 8 CFR 204.309(b) of this section requires denial of the Form I-800. Before denying a Form I-800, the officer will comply with the requirements of 8 CFR 103.2(b)(16)), if required to do so under that provision, and may issue a request for evidence or a notice of intent to deny under 8 CFR 103.2(b)(8).
(2)The decision will be in writing, specifying the reason(s) for the denial and notifying the petitioner of the right to appeal, if any, as specified in 8 CFR 204.314.
(3)If a Department of State officer finds, either at the provisional approval stage or the final approval stage, that the Form I-800 is “not clearly approvable,” or that 8 CFR 204.309(b) warrants denial of the Form I-800, the Department of State officer will forward the Form I-800 and accompanying evidence to the USCIS office with jurisdiction over the place of the child's habitual residence for review and decision. § 204.314 Appeal.
(a)*Decisions that may be appealed.*
(1)Except as provided in paragraph
(b)of this section:
(i)An applicant may appeal the denial of a Form I-800A (including the denial of a request to extend the prior approval of a Form I-800A) and
(ii)A petitioner may appeal the denial of a Form I-800.
(2)The provisions of 8 CFR 103.3, concerning how to file an appeal, and how USCIS adjudicates an appeal, apply to the appeal of a decision under this subpart C.
(b)*Decisions that may not be appealed.* There is no appeal from the denial of:
(1)Form I-800A because the Form I-800A was filed during any period during which 8 CFR 204.307(c) bars the filing of a Form I-800A; or
(2)Form I-800A for failure to timely file a home study as required by 8 CFR 204.310(a)(3)(viii); or
(3)Form I-800 that is denied because the Form I-800 was filed during any period during which 8 CFR 204.307(c) bars the filing of a Form I-800;
(4)Form I-800 filed either before USCIS approved a Form I-800A or after the expiration of the approval of a Form I-800A. PART 213a—AFFIDAVITS OF SUPPORT ON BEHALF OF IMMIGRANTS 11. The authority citation for part 213a continues to read as follows: Authority: 8 U.S.C. 1183a; 8 CFR part 2. 12. Section 213a.2(a)(2)(ii)(E) is amended by adding two new sentences at the end, to read as follows: § 213a.2 Use of affidavit of support.
(a)* * *
(2)* * *
(ii)* * *
(E)* * * In the case of a child who immigrates as a Convention adoptee, as defined in 8 CFR 204.301, this exception applies if the child was adopted by the petitioner in the Convention country. An affidavit of support under this part is still required in the case of a child who immigrates as a Convention adoptee if the petitioner will adopt the child in the United States only after the child's acquisition of permanent residence. PART 299—PRESCRIBED FORMS 13. The authority citation in part 299 continues to read as follows: Authority: 8 U.S.C. 1101 and note, 1103; 8 CFR part 2. 14. Section 299.1 is amended in the table by adding the entries “I-800 and I-800A”, in proper alpha/numeric sequence, to read as follows: § 299.1 Prescribed forms. Form No. Edition date Title * * * * * * * I-800 09-21-07 Petition to Classify a Convention Adoptee as an Immediate Relative. I-800A 09-21-07 Application for Determination of Suitability to Adopt a Child from a Convention Country. * * * * * * * PART 322—CHILD BORN OUTSIDE THE UNITED STATES; REQUIREMENTS FOR APPLICATION FOR CERTIFICATE OF CITIZENSHIP 15. The authority citation for part 322 continues to read as follows: Authority: 8 U.S.C. 1103, 1443; 8 CFR part 2. 16. Section 322.3 is amended by: a. Removing the word “and” at the end of paragraph (b)(1)(xi); b. Redesignating paragraph (b)(1)(xii) as paragraph (b)(1)(xiii); and by c. Adding a new paragraph (b)(1)(xii). The addition read as follows. § 322.3. How, where, and what forms and other documents should the United States citizen parent(s) file?
(b)* * *
(1)* * *
(xii)For a Convention adoptee applying under section 322 of the Act, a copy of the notice of approval of the Form I-800 and the supporting documents submitted with the Form I-800 (except the home study); and Dated: September 21, 2007. Michael Chertoff, Secretary. [FR Doc. E7-18992 Filed 10-3-07; 8:45 am] BILLING CODE 4411-10-P 72 192 Thursday, October 4, 2007 Presidential Documents Part III The President Memorandum of September 28, 2007—Assignment of Specified Reporting and Determination Functions Relating to Afghanistan, Pakistan, Saudi Arabia, and Certain Education Abroad Presidential Determination No. 2007-34 of September 28, 2007—Presidential Determination on Energy Assistance for the Democratic People's Republic of Korea Presidential Determination No. 2007-35 of September 28, 2007—Waiver of Limitation on Obligation and Expenditure of $1,051.6 Million in Fiscal Year 2007 Economic Support Funds for Iraq Title 3— The President Memorandum of September 28, 2007 Assignment of Specified Reporting and Determination Functions Relating to Afghanistan, Pakistan, Saudi Arabia, and Certain Education Abroad Memorandum for the Secretary of State[,] the Secretary of Defense[, and] the Director of National Intelligence By virtue of the authority vested in me as President by the Constitution and the laws of the United States, including section 301 of title 3, United States Code, I hereby assign to the Secretary of State the functions of the President under sections 2041(d)(3), 2042(c)(1), 2042(d), and 2043(c)(1) of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Public Law 110-53)(the “9/11 Act”) and section 7114(b)(6) of the Intelligence Reform and Terrorism Prevention Act of 2004 (Public Law 108-458), as amended. The Secretary of State shall consult with:
(1)the Secretary of Defense in the performance of the functions in section 2041(d)(3) of the 9/11 Act; and
(2)the Secretary of Defense and the Director of National Intelligence in the performance of the functions in section 2043(c)(1) of the 9/11 Act. The Secretary of State is authorized and directed to publish this memorandum in the **Federal Register** . GWBOLD.EPS THE WHITE HOUSE, Washington, September 28, 2007. [FR Doc. 07-4952 Filed 10-3-07; 8:45 am]
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  • 28 CFR 20
  • Pub. L. 104-13
  • Pub. L. 95-541
  • 10 CFR 50
  • Pub. L. 92-463
  • 17 CFR 240
  • 17 CFR 240.19
  • Pub. L. 87-256
  • 22 CFR 62
  • Pub. L. 104-319
  • Pub. L. 106-113
  • 49 CFR 571.110
  • 49 CFR 573
  • 49 CFR 571.209
  • 49 CFR 1244
  • 5 CFR 1320.3(c)
  • 49 CFR 1152.25
  • 49 CFR 1152.27
  • 49 CFR 1002.2(f)(25)
  • 49 CFR 1104.12(a)
  • 49 CFR 1152
  • 49 CFR 1105.6(c)
  • 49 CFR 1105.8
  • T.D. 8779
  • Pub. L. 106-279
  • 8 CFR 204.2(d)(2)(vii)
  • Pub. L. 106-139
  • 8 CFR 204.3
  • 114 Stat. 825
  • 8 CFR 204.3(d)(3)
  • 8 CFR 204
  • 8 CFR 204.2(d)
  • 8 CFR 204.3(a)(2)
  • 8 CFR 204.3(a)(1)
  • 8 CFR 103.7(b)(1)
  • 22 CFR 96
  • 8 CFR 204.312
  • 8 CFR 204.310
  • 8 CFR 204.301
  • 8 CFR 204.313
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U.S.C.§ 552a
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U.S.C.§ 1746
U.S.C.§ 553
C.F.R.§ 71.403
C.F.R.§ 75.1714-3
C.F.R.§ 57.11053
U.S.C.§ 3506
F. App'x751 F.2d 1239
F. App'x55 F.3d 732
F. App'x17 F.3d 1478
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