Establishment of a Genealogy Program, 20357-20368 [E6-5947]
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Federal Register / Vol. 71, No. 76 / Thursday, April 20, 2006 / Proposed Rules
(i) Cover page. Include the lead
agency for administering the plan and
an abstract of 200 words or less for each
proposed project.
(ii) Project purpose. Clearly state the
specific issue, problem, interest, or need
to be addressed. Explain why each
project is important and timely.
(iii) Potential Impact. Discuss the
number of people or operations affected,
the intended beneficiaries of each
project, and/or potential economic
impact if such data are available and
relevant to the project(s).
(iv) Financial Feasibility. For each
project, provide budget estimates for the
total project cost. Indicate what
percentage of the budget covers
administrative costs.
(v) Expected Measurable Outcomes.
Describe at least two or three, discrete,
quantifiable, and measurable outcomes
that directly and meaningfully support
each projects purpose. The outcome
measures must define an event or
condition that is external to the project
and that is of direct importance to the
intended beneficiaries and/or the
public.
(vi) Goal(s). Describe the overall
goal(s) in one or two sentences for each
project.
(vii) Work Plan. Explain briefly how
each goal and measurable outcome will
be accomplished for each project. Be
clear about who will do the work.
Include appropriate time lines.
(viii) Project Oversight. Describe the
oversight practices that provide
sufficient knowledge of grant activities
to ensure proper and efficient
administration.
(ix) Project Commitment. Describe
how all grant partners commit to and
work toward the goals and outcome
measures of the proposed project(s).
(x) Multi-state Projects. If the project
is a multi-state project, describe how the
States are going to collaborate
effectively with related projects with
one state assuming the coordinating
role.
§ 1290.7
Review of grant applications.
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(a) Applications will be reviewed and
approved for conformance with the
provisions in § 1290.6. AMS may
contact the applicant for additional
information or clarification.
(b) Incomplete applications as of the
deadline for submission will not be
considered.
§ 1290.8
Grant agreements.
(a) After approval of a grant
application, AMS will enter into a grant
agreement with the State department of
agriculture.
(b) AMS grant agreements will
include at a minimum the following:
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(1) The activities in the approved
State plan.
(2) Total amount of Federal financial
assistance that will be advanced.
(3) Terms and conditions pursuant to
which AMS will fund the project(s).
(e) States shall diligently monitor
performance to ensure that time
schedules are being met, project work
within designated time periods is being
accomplished, and other performance
measure are being achieved.
§ 1290.9 Reporting and oversight
requirements.
§ 1290.10
(a) An annual performance report will
be required of all State department’s of
agriculture within 90 days after the
completion of the first year of the
project(s), until the expiration date of
the grant period. If the grant period is
one year or less, then only a final
performance report (see paragraph (b) of
this section) is required. The annual
performance report shall include the
following:
(1) Briefly summarize activities
performed, targets, and/or performance
goals achieved during the reporting
period to meet project outcome
measures.
(2) Note unexpected delays or
impediments as well as favorable or
unusual developments.
(3) Outline work to be performed
during the next reporting period.
(4) Comment on the level of grant
funds expended to date.
(b) A final performance report will be
required by the State department of
agriculture within 90 days following the
expiration date of the grant period. The
final progress report shall include the
following:
(1) An outline of the issue, problem,
interest, or need.
(2) How the issue or problem was
approached via the project.
(3) How the annual outcome measures
of the project were achieved.
(4) Results, conclusions, and lessons
learned.
(5) How progress has been made to
achieve long term outcome measures.
(6) Additional information available
(e.g. publications, Web sites).
(7) Contact person for each project
with telephone number and e-mail
address.
(c) A final SF–269A ‘‘Financial Status
Report (Short Form)’’ (SF–269
‘‘Financial Status Report (Long Form)’’
if the project(s) had program income) is
required within 90 days following the
expiration date of the grant period.
(d) AMS will monitor States, as it
determines necessary, to assure that
projects are completed in accordance
with the approved State plan. If AMS,
after reasonable notice to a State, finds
that there has been a failure by the State
to comply substantially with any
provision or requirement of the State
plan, AMS may disqualify, for one or
more years, the State from receipt of
future grants under the SCBGP.
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Audit requirements.
Each year that a State receives a grant
under the SCBGP, a State is required to
conduct an audit of the expenditures of
SCBGP funds in accordance with
Government auditing Standards
(Government Auditing Standards 2003
Revision GAO–03–673G). The audit
shall be conducted no later than 60 days
after the expiration date of the grant
period. The State shall submit to AMS
not later than 30 days after completion
of the audit, a copy of the audit results
with an executive summary.
Dated: April 14, 2006.
Lloyd C. Day,
Administrator, Agricultural Marketing
Service.
[FR Doc. E6–5944 Filed 4–19–06; 8:45 am]
BILLING CODE 3410–02–P
DEPARTMENT OF HOMELAND
SECURITY
U.S. Citizenship and Immigration
Services
8 CFR Parts 103 and 299
[DHS Docket No. USCIS–2005–0062]
RIN 1615–AB19
Establishment of a Genealogy Program
U.S. Citizenship and
Immigration Services, DHS.
ACTION: Proposed rule.
AGENCY:
SUMMARY: This rule proposes to
establish a Genealogy Program within
U.S. Citizenship and Immigration
Services to process requests for
historical records of deceased
individuals. Currently, such requests are
processed as Freedom of Information
Act requests by the Freedom of
Information Act/Privacy Act program
adding unnecessary delays to the
process. A separate Genealogy Program
would ensure a timely response to
requests for genealogical and historical
records.
DATES: Written comments must be
submitted on or before June 19, 2006.
ADDRESSES: You may submit comments,
identified by DHS Docket No. USCIS–
2005–0062, by one of the following
methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
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hsrobinson on PROD1PC61 with PROPOSALS
• E-mail: You may submit comments
directly to USCIS by e-mail at
rfs.regs@dhs.gov. Include DHS Docket
No. USCIS–2005–0062 in the subject
line of the message.
• Mail: The 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–2005–0062 on your
correspondence. This mailing address
may also be used for paper, disk, or CD–
ROM submissions.
• Hand Delivery/Courier: U.S.
Citizenship and Immigration Services,
Department of Homeland Security, 111
Massachusetts Avenue, NW., 3rd Floor,
Washington, DC 20529. Contact
Telephone Number is (202) 272–8377.
FOR FURTHER INFORMATION CONTACT: Ave
Maria Sloane, Chief—Genealogy
Program, Office of Records Services
(ORS), U.S. Citizenship and
Immigration Services, Department of
Homeland Security, 111 Massachusetts
Avenue, NW., Washington, DC 20529,
telephone (202) 272–8240.
SUPPLEMENTARY INFORMATION:
Part I—Public Participation
Part II—Background and Purpose
A. Historical Records
B. Genealogical Research Requests
Part III—New Program Functions
A. Operation of the New Genealogy
Program
B. Index Search Request
C. Historical Records Request
D. Procedures for Requesting an Index
Search or Search for Historical Records
E. Personal Information Concerning
Children of the Subject of the Record
F. Requests by Historical and Genealogical
Researchers Falling Outside the
Genealogy Program
G. Reference Services Provided by This
New Program
H. Users of Genealogy Program Services
I. Requests for Historical Records and the
FOIA/PA Program
J. Requests for Records Where the
Requester is Not Sure the Records are
Historical
Part IV—Determination of Fees
A. Number of Requests
B. Processing Tracking
C. Description of Two Services
D. Estimating Requests and Receipts
E. Record Copy Fee Where the Copy is
Illegible
F. Fee Waivers
Part V—Regulatory Requirements
A. Regulatory Flexibility Act
B. Unfunded Mandates Reform Act of 1995
C. Small Business Regulatory Enforcement
Fairness Act of 1996
D. Executive Order 12866
E. Executive Order 13132
F. Executive Order 12988
G. Paperwork Reduction Act
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List of Subjects
PART 103—Powers and Duties; Availability
of Records
PART 299—Immigration Forms
Part I—Public Participation
Interested persons are invited to
participate in this rulemaking by
submitting written data, views, or
arguments on all aspects of the
proposed rule. The Department of
Homeland Security (DHS) and U.S.
Citizenship and Immigration Services
(USCIS) also invite comments that relate
to the economic, privacy, or federalism
affects that might result from this
proposed rule. Comments that will
provide the most assistance to USCIS in
developing these procedures will make
reference to a specific portion of the
proposed rule, explain the reason for
any recommended change, and include
data, information, or authority that
support such recommended change.
Instructions: All submissions received
must include the agency name and DHS
docket No. USCIS–2005–0062 for this
rulemaking. All comments received will
be posted without change to https://
www.regulations.gov, including any
personal information provided. See
ADDRESSES above for information on
how to submit comments.
Docket: For access to the docket to
read background documents or
comments received, go to https://
www.regulations.gov. Submitted
comments may also be inspected at the
Office of the Director, Regulatory
Management Division, U.S. Citizenship
and Immigration Services, Department
of Homeland Security, 111
Massachusetts Avenue, NW., 3rd Floor,
Washington, DC 20529.
Part II—Background and Purpose
The demand for historical records by
historical and genealogical researchers,
as well as other members of the public,
has grown dramatically over the past
several years. Currently, USCIS
processes requests for historical records
under USCIS’ Freedom of Information
Act (FOIA)/Privacy Act (PA) program.
Historical records that are the subject of
a FOIA request usually are released in
full because the subjects of the
requested documents are deceased and
therefore no FOIA exemptions apply to
withhold the information. Cf. OMB
Guidelines, 40 FR 28948, 28951 (1975).
The only exception is for classified
historical records, which can only be
released after being declassified. See
Executive Order 12958, as amended by
Executive Order 13292, 68 FR 15315
(March 28, 2003). Classified information
is information that requires protection
against unauthorized disclosure in the
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interest of national security. See id. The
large volume of genealogical requests
(average of 10,000 combined search and
records requests per year over the last 4
years) received by USCIS FOIA/PA
offices contributes to the USCIS FOIA/
PA backlog. For this reason, it became
apparent that the FOIA/PA program was
not the most efficient means of
processing requests for historical
records.
A separate Genealogy Program would
create a dedicated program to serve this
unique category of requesters. Removing
genealogy research from the immense
FOIA group of ‘‘all’’ requesters would
improve service to historical
researchers, genealogists, and other
members of the public. It would also
greatly reduce the number of FOIA
requests and improve the ability of
USCIS to respond to requests for other
non-historical records and materials.
Requesters making a request that
qualifies as a genealogical research
request for historical records under this
rule would submit such a request
directly with the Genealogy Program. If
the Genealogy Program determines that
the request does not qualify as a
genealogical research request, it would
return the request (along with any fees
submitted with the request) to the
requester and inform the requester to
resubmit the request to the USCIS
FOIA/PA office for processing under the
FOIA. Conversely, if a requester would
send a request to the USCIS FOIA/PA
office that is determined by that office
to qualify as a genealogical research
request, the USCIS FOIA/PA office
would return the request to the
requester and inform the requester to
resubmit the request to the Genealogy
Program for processing. In proposed 8
CFR 103.40(a), this rule defines the
term, ‘‘genealogical research request.’’ In
proposed 8 CFR 103.39, this rule
describes what records qualify as
historical. The terms, ‘‘historical
records’’ and ‘‘genealogical research
request’’ are discussed below.
A. Historical Records
The USCIS Genealogy Program will
apply to ‘‘historical records,’’ a new
term introduced by this proposed rule.
Historical records are files, forms, and
documents collected by the Immigration
and Naturalization Service (INS) and
maintained by USCIS that include:
• Naturalization Certificate Files;
• Forms AR–2;
• Visa Files;
• Registry Files; and
• A-Files numbered below 8 million.
Naturalization Certificate Files (CFiles) are records from September 27,
1906 to April 1, 1956, relating to U.S.
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naturalizations and the issuance of
evidence of naturalization or
citizenship. Forms AR–2 are Alien
Registration Forms on microfilm that
were completed by all aliens age 14 and
older who resided in or entered the
United States between August 1, 1940
and March 31, 1944. These forms
contain identification information, as
well as information regarding the alien’s
employment and arrival to the United
States. Visa Files are records from July
1, 1924 to March 31, 1944 containing
the arrival information of immigrants
admitted for permanent residence from
July 1, 1924 to March 31, 1944 under
the Immigration Act of 1924. Registry
Files are records from March 2, 1929 to
March 31, 1944 containing arrival
information of immigrants who entered
the United States prior to July 1, 1924,
and for whom no arrival records could
later be found. A-Files are case files on
individuals containing all immigration
records created or consolidated since
April 1, 1944 to the present. This rule
only deems historical those A-File
records numbered below 8 million and
containing documents dated prior to
May 1, 1951. Other A-File records,
therefore, will be subject to the FOIA/
PA program. USCIS chose these two
criteria as the dividing line because May
1, 1951 is the date that the 8 million
series began, and is within the decade
that the last record series prior to the
advent of the A-File, C-Files, was
closed.
Designation of a record as historical
neither speaks to the value or worth of
any given record, nor relates to what the
Archivist of the United States might
designate as worthy of permanent
preservation. Rather, this convention
was employed by USCIS solely to
identify records of advanced age for
which there is high demand from
genealogical researchers. Any record
filed within any record system other
than one identified as historical by this
proposed rule, regardless of the date of
the record or the subject’s date of birth,
20359
will not be available under the
Genealogy Program. Those records
outside the scope of the Genealogy
Program can still be requested through
the FOIA/PA or other available
programs.
B. Genealogical Research Requests
This proposed rule defines a
genealogical research request as a
request from a member of the public for
searches and/or copies of historical
records relating to a deceased person.
Requests to locate USCIS documents to
support a separate application or
petition for benefits from USCIS would
not meet this definition. For example,
requests to replace a lost naturalization
certificate would not qualify as
genealogical research requests.
The chart below lists the records that
the public would be able to request from
the Genealogy Program versus the
records that the public would be able to
request from the FOIA/PA office.
Genealogy program
FOIA/PA office
Files of deceased subjects .......................................................................
C-Files from 9/27/1906 to 4/1/1956 .........................................................
Visa Files from 7/1/1924 to 5/1/1951 .......................................................
A-Files below 8 million and documents therein dated prior to 5/1/1951.
Files of living subjects.
Naturalization records on or after 4/1/1956.
Visa records on or after 5/1/1951 in A-Files.
A-Files above 8 million and documents therein dated on or after 5/1/
1951
Registry records on or after 5/1/1951 in A-Files.
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Registry Files from 3/2/1929 to 3/31/1944 and registry records from 4/
1/1944 to 4/30/1951.
AR–2 Files from 8/1/1940 to 3/31/1944 and Alien Registration Forms
from 3/31/1944 to 4/30/1951 in A-Files.
Part III—New Program Functions
Currently, all requests for historical
records are processed by the USCIS
FOIA/PA program. The FOIA/PA
program depends upon the Office of
Records Services/Office of Records
Management (ORS/ORM) offices to
search indices and locate and retrieve
responsive records and files. If ORS/
ORM does not find any records that
respond to the FOIA request, ORS/ORM
will transmit a ‘‘no record’’ response to
FOIA/PA and FOIA/PA will inform the
requester that no records have been
found that respond to the FOIA request.
If ORS/ORM provides responsive
records to the FOIA/PA program, FOIA/
PA professionals review the documents
for any issues arising under the
Freedom of Information or Privacy Acts
and mail copies of the records to the
requester. Genealogical requests are
identified as ‘‘third party’’ requests
(requests from other than the subject),
and since the subjects of the requests are
deceased, the deceased subjects
themselves no longer have privacy
interests in the records. See OMB
Guidelines, 40 FR 28948, 28951
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Alien Registration Forms on or after 5/1/1951 in A-Files.
(deceased persons do not enjoy Privacy
Act protections); Department of Justice,
Office of Information and Privacy,
Freedom of Information Act Guide (May
2004) (noting ‘‘longstanding FOIA rule
that death extinguishes one’s privacy
rights’’), available at https://
www.usdoj.gov/oip/
exemption6.htm#privacy. But cf.
National Archives and Records Admin.
v. Favish, 541 U.S. 157 (2004) (holding
that surviving relatives may have
protectible privacy interest in ‘‘death
images of the deceased,’’ personal
details about circumstances surrounding
individual’s death, and other
information concerning deceased where
disclosure would cause ‘‘a disruption of
the relatives’ peace of minds’’). As a
result, genealogical requests for
unclassified records routinely pass
through the FOIA/PA program without
requiring any analysis for exemption
application under FOIA, and serve only
to contribute to the FOIA/PA backlog.
The new Genealogy Program would
search indices and locate and retrieve
responsive records and files. Once a
requester has demonstrated that the
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subject of the record is deceased by
providing a death certificate, obituary,
or other form as proof of death, routine
record copies and information would be
reviewed and mailed directly to the
requester.
The new Genealogy Program would
serve the public demand in a more
expeditious fashion. The program
would put requesters and the genealogy
staff in direct communication thus
providing a dedicated queue and point
of contact for genealogists and other
researchers seeking access only to those
records described as historical records
as defined under 8 CFR 103.39.
Finally, the new Genealogy Program
would either release historical records
as requested, or, rather than deny
release, redirect the requester to the
FOIA/PA Program for further
consideration of the request. If the
FOIA/PA Program ultimately denies the
requested information, the requester
may seek an appeal of the FOIA/PA
denial under the current procedures
specified in 6 CFR 5, 8 CFR 103.10(c),
and 8 CFR 103.10(d)(3).
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A. Operation of the New Genealogy
Program
Due to the nature of historical records,
it is hard to predict what types of
records (if any) exist on a given
immigrant. ORS/ORM must search
various indices before determining
whether any record exists, how many
separate records exist, and where those
records might be located. The actual
location and retrieval of records
involves a separate process, which itself
varies according to record format
(microfilm or textual). Combining both
activities (index searching and record
retrieval/processing) into one request
would result in extraordinarily high fees
for historical and genealogical
researchers, especially for those for
whom no record is found. For this
reason, USCIS proposes separating
index search requests from record copy
requests, and proposes that each be
requested separately from the Genealogy
Program.
Researchers would choose from one of
two types of requests depending on the
amount of information they have
available regarding records of their
immigrant ancestor. They could: (1)
Request a search of the index if they are
unable to identify a specific historical
record, or (2) request that they be
provided copies of historical records the
requester can identify by file number.
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B. Index Search Request
Most researchers would begin with a
request for a search of the index in order
to obtain the information necessary to
request a specific record. Upon receipt
of an index search request, the
Genealogy Program would search the
indices for references to the subject
named in the request. If found, it would
send all pertinent information about
each record indicated (i.e., file number,
location, or other identifying
information) to the researcher. If no
record is found, the researcher would be
notified.
Genealogy Program index searches
may result in locating records no longer
maintained by USCIS. The public would
be able to contact the Genealogy
Program for information regarding
which records are no longer maintained
by USCIS. Search results indicating a
naturalization record in USCIS custody
also will contain information directing
researchers to alternate sources for
copies of court naturalization records
held by the National Archives or by
state and local courthouses. Search
results indicating a Visa File also will
contain information allowing a
researcher to locate ship passenger
arrival list records at the National
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Archives. All index information about
all records would be provided to the
requester.
C. Historical Records Request
Using information obtained from the
index search (or found during prior
research), researchers also could submit
a request for records in which they
identify the record sought to the
Genealogy Program Office. In response
to a record request, the Genealogy
Program Office would retrieve the
specified record for duplication, review,
and release.
D. Procedures for Requesting an Index
Search or Search for Historical Records
Requests could be submitted via the
Internet at a genealogy Web site to be
developed for this purpose or by
mailing a completed Form G–1041,
Genealogy Search Request, or Form G–
1041A, Genealogy Record Request, to
the Genealogy Program Office.
The success of each index search
request would depend on the amount
and accuracy of information provided
by the researcher. No search could be
initiated regarding an individual
without at least a full name, year of
birth, and country of birth. In cases of
immigrants with common names, an
exact date and place of birth, alternate
spellings of the name and aliases, as
well as an approximate date of arrival
and/or the immigrant’s residence at the
time of naturalization, may be necessary
to ensure a successful and definitive
search.
Records stored in different file series
are located using a variety of methods,
most of which require a specific file
number. The most reliable record
requests would be based on, and
include, specific file identification data
received from previous index search
requests. The success of record requests
submitted from researchers without any
previous index search would depend
entirely upon whether the researcher
provides the exact information needed
to retrieve the specific record sought.
Full instructions on what information is
needed to retrieve specific files would
be available on the USCIS genealogy
Web site and in pamphlet form.
In addition, when a request is made
for records of an immigrant whose date
of birth is less than 100 years ago, the
researcher would have to provide
documentary evidence that the subject
is deceased. For the purposes of the
Genealogy Program, USCIS presumes
that immigrants born more than 100
years ago are deceased. Schrecker v.
U.S. Dep’t of Justice, 349 F.3d 657, 664–
65 (D.C. Cir. 2003). Thus, when the
subject of a record request was born less
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than 100 years prior to the date of the
request, primary or secondary
documentary evidence of the subject’s
death would be required. The requestor
would bear the burden of establishing to
the satisfaction of the Genealogy
Program Office that the subject is
deceased. Acceptable documentary
evidence includes, but is not limited to
death records, published obituaries,
published death notices or published
eulogies, church or bible records,
photographs of gravestones, and/or
copies of official documents relating to
payment of death benefits. No records
would be released in the case of an
immigrant born less than 100 years prior
to the request date until evidence of the
subject’s death is received.
E. Personal Information Concerning
Children of the Subject of the Record
Information about a subject’s children
may be found in many historical records
and may consist of the child’s name,
date of birth, place of birth, and
residence as of the date of the record.
The Genealogy Program will not release
personal information concerning a
subject’s children.
F. Requests by Historical and
Genealogical Researchers Falling
Outside the Genealogy Program
Due to the history of individual
immigrants, immigration and
nationality benefits, and recordkeeping,
some old immigrant records now exist
within A-Files numbered above 8
million. As previously noted, A-Files
numbered above 8 million are not
considered historical records and could
not be made available under the
Genealogy Program. Researchers seeking
A-Files numbered 8 million or above, or
records dated after May 1, 1951, would
have to request their ancestors’ files
under the FOIA/PA program. The
Genealogy Program would provide those
requesters the information necessary to
submit a FOIA/PA request to the
appropriate office.
G. Reference Services Provided by This
New Program
In addition to standard information
and instructions printed on USCIS
Genealogical Search and Request forms
(G–1041 and G–1041A), USCIS would
provide reference materials in pamphlet
form and on the USCIS Web site.
Information for genealogists would
include a review of various DHS record
series, the information typically
contained in those records, and
instructions for filing requests. In
addition, DHS would direct genealogists
to resources containing information
regarding immigration and
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naturalization records not in USCIS
custody.
Information for historical researchers
would include descriptions of resources
available at USCIS or the National
Archives and Records Administration
(NARA) that support the study of
immigration records history, as well as
the history of U.S. immigration law and
policy.
H. Users of Genealogy Program Services
The primary user of the Genealogy
Program would be individuals seeking
records of their ancestors for
genealogical and family history
purposes. Additionally, USCIS
anticipates a small number of requests
to come from historians and social
scientists seeking historical records of
individual immigrants whom they can
identify by name, date of birth, place of
birth, or by file number, and from
professional genealogists and
researchers involved in their location.
hsrobinson on PROD1PC61 with PROPOSALS
I. Requests for Historical Records and
the FOIA/PA Program
Under this proposed rule, all requests
for records designated as historical
records would no longer fall under the
FOIA/PA program and would have to be
submitted to the new Genealogy
Program Office. The experience of the
FOIA/PA program office is that those
records identified as historical records
in 8 CFR 103.39 are routinely released
without need for redaction or
withholding. This is why this new
program is being proposed to serve
customers who seek historical records.
Once the final rule is published and
effective, the FOIA/PA program will
return all FOIA/PA requests for
historical records and direct the
researcher to submit a genealogy
request. Of course, some genealogists
will seek records not included within
the definition of historical records, thus
some genealogists will continue to be
served by the FOIA/PA program office.
As discussed above, with
implementation of the Genealogy
Program to satisfy requests for older,
historical records, the FOIA/PA program
will be able to focus on more current
records presenting FOIA and privacy
issues.
J. Requests for Records Where the
Requester Is Not Sure the Records Are
Historical
The Genealogy Program Office would
accept search requests in which the
subject likely is to be found in an
historical record. If the search results
reference any record not included
within the definition of historical
records, the Genealogy Program Office
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would transmit the file index
information to the requestor and also
include instructions for requesting that
file under USCIS FOIA/PA guidelines.
Part IV—Determination of Fees
This rule proposes fee ranges for
index searches and for copies of
historical records as described in 8 CFR
103.7(b)(1). USCIS invites the public to
comment on the proposed fee ranges,
considering in particular USCIS’s
estimated costs to run the Genealogy
Program and the fees charged by other
agencies providing similar services. In a
final rule, USCIS will set one fee
amount for each type of service. As
provided by statute, these fees would be
deposited into the Immigration
Examinations Fee Account. See 8 U.S.C.
1356(n), (t).
The search fee recovers the full cost
of the search. The costs involved in
searching the DHS indices and
transmitting search results to a requester
are the same whether or not any record
is found. Thus, the Genealogy Program
Office could not refund the search fee if
the requested records are not found by
USCIS.
Similarly, the Genealogy Program
Office would charge a fee for all record
services in which the requested record
is located, regardless of whether or not
it is determined that the record is
subject to release. The Genealogy
Program Office would refund a fee when
the record request is based upon file
information previously provided by the
Genealogy Program Office in response to
an index search request, or if the
Genealogy Program Office is unable to
locate the file when later requested
under a Genealogy Record request.
The fee ranges were set in accordance
with section 286(t) of the INA, 8 U.S.C.
1356(t), which authorizes USCIS to set
fees for providing research and
information services at a level that will
ensure the recovery of the full costs of
providing all such services. Charts
setting forth the full costs that formed
the basis for the fee ranges proposed in
this rule are included below. The full
cost includes items such as management
and personnel costs (salaries and
benefits), physical overhead, consulting,
materials and supplies, utilities,
insurance, travel, and rent of building
space and equipment. Full costs also
include the cost of research and
information collection, establishment of
procedures and standards, and issuance
of regulations. The fees also were set in
accordance with Office of Management
and Budget (OMB) Circular A–25,
which requires that user fees recover the
full cost of services provided.
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A. Number of Requests
The estimated total number of
requests under the new program is
projected at or in excess of 26,000 per
year. The total number includes an
estimated 15,250 search requests, 6,619
requests for copies of microfilmed
records, and 4,728 requests for copies
from textual files. These estimates are
based on the annual number of
genealogical FOIA/PA requests received
in previous years and anticipated
growth in requests. In the last four-year
period, the USCIS FOIA/PA program
received an average of 10,000
genealogical requests per year. These
requests are for a combined index
search and copy of records. These
figures will be far greater in the
Genealogy Program since the program
will count a request for an index search
separately from a request for a record
copy. NARA receives a similar number
of requests for copies of immigration
records each year (i.e., 11,000 to 12,000
per year). While some requests may be
discouraged by the imposition of fees,
other potential users have informed the
FOIA/PA program they would submit
one or more genealogical request(s) if
they could be assured a more
expeditious response. Finally, USCIS
expects in the short-term to receive
requests from individuals who
previously filed requests with the FOIA/
PA program to request a second search
under the new program. For these
reasons, we expect the actual number of
genealogical requests to increase, rather
than decrease, under the new program.
B. Processing Tracking
USCIS has studied the methodologies
to respond to search and retrieval
requests. A number of efficiencies were
proposed to better process the searches
and request tracking. An automated
system is being developed which will
allow for quicker and more
comprehensive searches, customer
request and response tracking, and
provide for better metrics to measure
productivity.
C. Description of Two Services
USCIS proposes two separate costs for
the separate services to be offered by the
Genealogy Program.
• The first cost relates to the index
search service, which, in addition to the
paperwork and data entry standard to
processing all requests, requires a
detailed search of the master index
microfilm and other related microfilm
indices.
• The second cost relates to the
retrieval, reproduction, and processing
of historical records and files. This
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activity includes: Processing standard
requests, identifying records stored on
microfilm or at Federal Record Centers,
preparing and submitting requests for
those files at the Federal Record Centers
to be pulled and shipped to the
Genealogy Program Office, copying of
records from microfilm or paper and the
processing of those copies, reassembling
files, shipping of files from and to a
storage facility, and per-file fees paid to
NARA for retrieving and refiling hard
copy records.
D. Estimating Requests and Receipts
The estimate for requests and receipts
is based on USCIS’s experience in
processing genealogical-type requests
under the FOIA/PA program and the
experience of other organizations
offering genealogical resources. USCIS
used weighted risk analysis to project
the number of requests for searches,
microfilm records, and textual records.
USCIS also projected a five percent
annual growth. The results of the
analysis indicate that USCIS would
receive about: 15,500 search requests in
the first year; 6,500 requests for
microfilmed records; and 5,000 requests
for textual records.
After determining the cost of different
services and estimating the number of
requests for each service submitted each
year, it was possible to calculate annual
costs over 2 years, as well as the startup costs required to launch the new
program.
START-UP AND RECURRING COSTS
Cost category
Annual operating costs
(acutal dollars)
Start-up
Year 1
Year 2
Office Furnishings ........................................................................................................................
Personnel/Costs ...........................................................................................................................
Office Equipment .........................................................................................................................
Travel ...........................................................................................................................................
Training ........................................................................................................................................
Website and Lockbox fees ..........................................................................................................
Postage ........................................................................................................................................
Equipment Repairs and Maintenance .........................................................................................
Subscriptions/Publications/Association fees ................................................................................
Supplies .......................................................................................................................................
Design and Development ............................................................................................................
Operation and Maintenance of the search system for 10 users .................................................
Software Maintenance .................................................................................................................
Marketing .....................................................................................................................................
$20,000
15,000
150,000
2,000
8,375
2,000
........................
........................
500
........................
5,000
........................
........................
5,000
$0
675,000
3,000
2,000
5,000
4,000
41,665
2,000
1,000
4,400
2,000
260,250
3,000
10,000
$0
675,000
3,000
2,000
5,000
4,000
43,748
2,000
1,000
4,400
2,000
270,660
3,000
6,000
Subtotal .................................................................................................................................
NARA charges (record request costs only) .................................................................................
207,875
........................
1,013,315
34,000
1,021,808
35,000
Total ...............................................................................................................................
207,875
1,047,315
1,056,808
volume of requests over the same twoyear period. The fees for the records
request portion were adjusted
(accounting for the slightly higher fee
for record requests) by also factoring in
Fees to cover estimated costs were
determined by computing the start-up
costs and operating costs for the first 2
fiscal years. The total cost for each
service was divided by the expected
Approximate requests—
2 years
Service
Volume
Percent
the costs directly attributable, such as
NARA pull fees for record requests and
off-site record retrievals.
Costs (actual dollars)—2 years
Yearly
NARA costs
for record
requests
only
Allocated by
percentage
Total
Yearly costs
(except
NARA)
User fees
(rounded)
Start-up
31,000
57
....................
$1,160,020
$118,489
$1,278,509
$41.00
13,000
10,000
24
19
0.00
69,000
488,430
386,673
49,890
39,496
538,320
495,169
41.00
50.00
Total ...........................................
hsrobinson on PROD1PC61 with PROPOSALS
Index Search ............................................
Record Request:
Micro-film ..........................................
Textual ..............................................
54,000
....................
69,000
2,035,123
207,875
2,311,998
....................
Based upon this calculation and
consideration of fees charged by other
agencies for comparable services,
discussed below, this rule proposes an
estimated user fee range as follows:
(1) Index search service: This service
is designed for customers who are
unsure whether USCIS has any record of
their ancestor, or who suspect a record
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exists but cannot identify that record by
number. The index search service
would identify any historical records
relating to the subject and provide the
researcher with all the information
needed to request the record(s). The
proposed fee range for this service is
$16.00 to $45.00.
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(2) Record/file services: This service is
designed for customers who can identify
a specific record or file to be retrieved,
copied, reviewed, and released.
Customers may identify one or more
files in a single request. However,
separate fees would apply to each file
requested. The proposed fee range for
this service is $16.00 to $45.00 for each
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file on microfilm retrieved, and $26.00
to $55.00 for each textual file retrieved.
The Genealogy Program fee ranges
proposed under this rule are comparable
to the fees of similar institutions
providing similar services. As
previously noted, a flat fee both to
search and/or retrieve all historical
records would be excessively high in
comparison to that of other agencies.
For this reason, the Genealogy Program
proposes to offer both a search service
and a record retrieval service, each of
which is based on the cost of providing
that specific service and thus providing
the requester the option of obtaining the
additional information found. The
proposed fee ranges were set to provide
the best possible service to the public,
including enhanced photocopies, other
suggested sources to find information,
and a better description of the
information received than is now
possible under the existing FOIA/PA
processing.
While USCIS considered the fees
charged by similar organizations, no
other organization provides exactly the
same service because they do not hold
precisely the same variety or volume of
records. A description of comparable
organizations, as well as the fees they
charge, is provided as follows:
The NARA field facilities hold
Federal court copies of naturalization
records and will search them, court by
court, for a fee ranging from $1 to $10,
depending on the rules of the facility.
Several state archives hold state court
copies of naturalization records and
charge fees for searching those records,
then charge additional fees for copying
and shipping. State archive fees differ
from state to state. For example, the
North Dakota archives charge a $5
search fee, the Pennsylvania archives
charge $10 per search, and the
Connecticut archives charge nonresidents $15 for searches. Still, many
court copies of naturalization records
are not centralized in any Federal or
state archive but remain scattered
among county and municipal
courthouses. Some clerks of the court
will provide records free, others charge
fees ranging from $1 to $25, and others
do not provide search assistance.
USCIS also considered the fees to
those paid by researchers to two other
Federal agencies: NARA and the Social
Security Administration (SSA). NARA
collects a fee of $17.25 to search
immigrant passenger arrival records, but
only if the requester can name a specific
ship list to be searched. SSA charges a
fee of $27 for copies of original Social
Security Number applications if the
requester provides the Social Security
Number, and $29 for copies of original
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Social Security Number applications if
the requester does not provide the
Social Security Number. SSA also offers
electronic extracts of the same records
for $16 and $18 respectively. In all such
cases, when SSA provides these
services, they apply to only one series
of records (unlike a USCIS search and
retrieval of multiple record series).
Lower fees on the part of some
organizations result from the fact that
some or all of their indices and/or
records are automated. Higher fees
generally were charged for locating,
retrieving and copying hard copy files.
USCIS historical record series are
comprised of hard copy C-Files, Visa
Files, Registry Files, and A-Files
numbered below 8 million and records
therein dated before May 1, 1951. The
National Archives fee to copy a similar
textual file in its entirety is $37.
Genealogy fees will be reviewed
biennially and will likely be adjusted to
more accurately reflect the actual cost as
work is performed under new processes
and procedures of the Genealogy
Program. Furthermore, the initial startup cost must be recovered over the first
2 years of the program. After 2 years, the
fee review will reflect retirement of that
debt and be adjusted accordingly.
E. Record Copy Fee Where the Copy Is
Illegible
If requesters receive an illegible copy
of a record, the Genealogy Program
would charge the requester the same
record copy fee. The costs involved in
locating, retrieving, reproducing, and
reviewing an historical record remain
the same regardless of the quality of the
copy. Some historical records exist on
deteriorating microfilm, and those
images have faded over time. The
Genealogy Program would make every
effort to produce the best possible
reproduction of all microfilm records.
Accordingly, the program would
provide researchers with a record
printed directly from the film rather
than a copy of a print, or a scanned copy
of a print. Prints taken directly from the
old microfilm are generally the best
quality copy available. In many cases,
researchers will find they can improve
the legibility of microfilm prints
themselves using a photocopy
machine’s darker or lighter settings. The
Genealogy Program also will have the
benefit in sharing with enhanced
technology as it is implemented in the
USCIS Records program.
F. Fee Waivers
Due to the small amount of the fees,
the normally discretionary nature of
these requests, and the general authority
of section 286(t) of the INA, 8 U.S.C.
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1356(t), to recover full costs, DHS has
determined that fee waivers will not be
granted in this program.
Part V—Regulatory Requirements
A. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA)
(5 U.S.C. 605(b)), as amended by the
Small Business Regulatory Enforcement
and Fairness Act of 1996, requires an
agency to prepare and make available to
the public a regulatory flexibility
analysis that describes the effect of the
rule on small entities (i.e., small
businesses, small organizations, and
small governmental jurisdictions).
Section 605 of the RFA allows an
agency to certify a rule, in lieu of
preparing an analysis, if the proposed
rulemaking is not expected to have a
significant economic impact on a
substantial number of small entities.
This proposed rule affects
professional genealogists and other
members of the public requesting
historical records from USCIS. As
discussed below, the main source of
genealogy requests is from individuals
doing personal research, rather than
from small entities, such as professional
genealogists. Genealogy was described
as a $200 million per year industry by
The Wall Street Journal, ranging from
individual researchers to multimilliondollar companies; in addition, the
growth of the Internet has spurred
interest and a rapidly growing number
of hobbyists pursuing genealogy.
According to the ‘‘Occupational Outlook
Quarterly,’’ (Bureau of Labor Statistics,
Fall 2000), a 1997 survey of certified
genealogists found that 57 percent work
part-time, 34 percent work full-time,
and 9 percent are hobbyists. In 2001
there were over 300 certified
genealogists and currently, the
Association of Professional Genealogists
has a membership of 1,500 (https://
www.apgen.org/publications/press/
1500.htm). As the National Genealogical
Society notes, ‘‘Aside from librarians,
archivists, and publishers, most
professional genealogists have other
sources of income and may ‘moonlight’
as genealogists until they become
established. Those who make a living
purely from client research in genealogy
probably number no more than a few
dozen.’’ (https://www.ngsgenealogy.org/
eduprofessional.htm)
With the growth of the Internet in
recent years, the number of individuals
and hobbyists has grown at a much
faster rate. In fact, https://
www.myfamily.com, one of the larger
online information sources for
genealogy, announced in 2004 a paid
subscriber base of more then 1.5 million
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members. Much of the growth in
genealogy as a sector arises from
providing individuals the means of
conducting their own family history
research through online databases and
research tools. The growing dominance
of individual hobbyists suggests that
individuals rather than professionals are
the primary requesters of historical
records. Professional genealogists tend
to be hired when individuals hit a
‘‘brick wall,’’ or a particular problem
that they cannot resolve. This suggests
that professional researchers tend to
focus on aspects of genealogy research
other than the standard index searches
or record requests that would be
submitted to USCIS’s Genealogy
Program.
Over the past 4 years, USCIS has
received an average of 10,000 combined
index search and/or records requests for
historical records per year. Each request
for an index search, record search, or
both an index and record search was
counted as one request to make up the
10,000. Based on an estimated increase
in the demand for historical
information, and the fact that the
Genealogy Program will treat index
search requests and records requests as
separate rather than combined requests,
DHS expects total requests to reflect a
significantly higher number than when
the FOIA Program handled genealogical
requests. DHS estimates that it will
receive 15,250 index search requests,
6,619 requests for microfilm records,
and 4,728 requests for textual records
for a combined total of 26,597 requests,
totaling a cost ranging from $468,832 to
$1,232,895 under the proposed fee
structure.
DHS has determined that requests for
historical records are being made by
individuals and has not found any
evidence that professional genealogists
submit FOIA requests to USCIS for their
clients. If professional genealogists and
researchers have submitted such
requests, they are not identifying
themselves as a commercial requester
and thus cannot be segregated in the
data. Genealogists typically advise
clients on how to submit their own
requests. Reasons for this practice
include the time required for a response
to the request and the belief that records
are more releasable to a relative rather
than an unrelated third party. Based on
discussions with professional
genealogists, requests generated by
professional genealogists and
researchers who fall under the approved
definition from the Small Business
Association of a small entity in this
category, All Other Professional,
Scientific, and Technical Services with
annual average receipt of $6 million or
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less, are well below 5 percent of the
total number of requests. If it is assumed
that professional genealogists and
researchers account for 5 percent of the
requests, and these costs are borne
exclusively by the 1,500 members of the
Association of Professional
Genealogists, the average impact would
be $28.49 per year. The average impact
would be even lower still once the
universe of professional genealogists is
expanded to include entities who are
not members of the Association of
Professional Genealogists.
These practices arise from the nature
of the genealogy sector. Professional
genealogists charge anywhere from $10
to $100 per hour, with an average of $30
to $60 per hour, according to the
Association of Professional Genealogists
(https://www.apgen.org/articles/
hire.html). Expenses, such as record
requests and copies, often are charged to
the client as an additional expense.
Specialists typically charge a relatively
higher fee (https://
www.progenealogists.com/
compare.htm). In addition, many
professionals require a retainer of $300
to $500. See Sue P. Morgan, ‘‘What You
Should Know before Hiring a
Professional Genealogist,’’ available at
https://www.genservices.com/docs/
HiringAPro.htm. Depending on the
depth of the research, the fees for a
genealogical study can be substantial. At
a retainer of $300, the proposed fee
range of $16 to $45 for an index search
by the Genealogical Program is only 5.3
to 15 percent of the retainer, and it is
typically paid directly by the client, not
the researcher. This does not suggest a
substantial burden on researchers.
Given the low number of professional
genealogists and researchers that would
be impacted by this rule, the resulting
degree of economic impact would not
require a Regulatory Flexibility Analysis
to be performed. Consequently, DHS
certifies that this proposed rule will not
have a significant economic impact on
a substantial number of small entities.
B. Unfunded Mandates Reform Act of
1995
This proposed 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 will not
significantly or uniquely effect small
governments. Therefore, no actions were
deemed necessary under the provisions
of the Unfunded Mandates Reform Act
of 1995.
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C. Small Business Regulatory
Enforcement Fairness Act of 1996
This proposed rule is not a major rule
as defined by section 804 of the Small
Business Regulatory Enforcement Act of
1996. This proposed 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 foreignbased companies in domestic and
export markets. In the previous four
fiscal years, USCIS received an average
of 10,000 combined search and record
requests that fell under the definition of
genealogy. To do a search and provide
a record for each of these requests,
USCIS would generate between
$468,832 to $1,232,895 in offsetting
revenue. These requests are currently
handled through the USCIS FOIA/PA
program at no recoverable cost to
USCIS. Private vendors also do
genealogical research and there are
various historical documents
maintained by private companies. The
Genealogy Program will have no impact
on these companies since we are only
offering the same legacy INS documents
as we provided previously at no charge.
D. Executive Order 12866
Executive Order 12866, ‘‘Regulatory
Planning and Review’’ (58 FR 51735,
October 4, 1993), requires a
determination whether a regulatory
action is ‘‘significant’’ and therefore
subject to review by OMB and subject to
the requirements of the Executive Order.
USCIS has determined that this
proposed rule is a ‘‘significant
regulatory action’’ under Executive
Order 12866, section 3(f). Accordingly,
it has been submitted to OMB for review
and approval.
USCIS assessed both the costs and
benefits of this proposed rule as
required by Executive Order 12866,
section 1(b)(6), and has determined that
the benefits of this regulation justify its
costs. The anticipated benefits of this
proposed rule include: (1) Relieve the
FOIA/PA program from burdensome
requests that require no FOIA/PA
expertise; (2) place requesters and the
Genealogy staff in direct
communication; (3) provide a dedicated
queue and point of contact for
genealogists and other researchers
seeking access to those records
described as historical records; (4)
generate sufficient revenue to cover
expenses as a fee for service program
and, (5) reduce the time to respond to
these requests.
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The cost to the public of this
proposed rule ranges from a $16 to $45
fee for index search requests, $16 to $45
fee for requests for a copy of a file on
microfilm, or $26 to $55 fee for requests
for a copy of a textual file. USCIS is
authorized to charge a fee to recover the
full costs of providing research and
information services under section
286(t) of the INA, 8 U.S.C. 1356(t). Other
sources exist for many types of
genealogical research and it is not
evident that every search by a
genealogist would require access to the
Genealogy Program at USCIS. Based
upon these proposed fees, it is possible
to approximate the impact of fees on
individual and professional genealogists
and researchers. USCIS expects to
receive in the future approximately
15,250 genealogical (name) index search
requests per year, which, at $16 to $45
per search, would yield $240,000 to
$675,000; in addition, there would be a
total of 6,619 requests for microfilmed
records and 4,728 requests for textual
records (i.e., hard copy files). A fee
range of $16 to $45 for microfilmed
records would yield $105,904 to
$297,855. A fee range of $26 to $55 to
pull textual records would yield
$122,928 to $260,040. Therefore, the
total fees collected by the Genealogy
Program would yield $468,832 to
$1,232,895.
Establishing the new Genealogy
Program will benefit both individuals
and researchers making genealogy
requests for historical records as well
those seeking information under the
current FOIA/PA program by allowing a
more timely response for both sets of
requests. USCIS estimates that it
processed an average of 10,000
combined index search and record
requests for genealogical information
over the past 4 fiscal years through the
existing FOIA/PA program. These can
be released without redaction or
withholding, eliminating the need for
FOIA/PA analysis. A new program
specifically designed to handle these
requests would expedite the process and
improve services to historical
researchers, genealogists and the general
public. For example, the proposed rule
does not increase information collection
requirements of the rule. In fact, the
introduction of e-filing presents an
opportunity to simplify the information
collection process and expedite
handling. At the same time, the
resources of the FOIA/PA program
could be applied more efficiently to
requests more directly related to
immigration, citizenship, or
naturalization benefits that require more
detailed FOIA/PA analysis.
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E. Executive Order 13132
Executive Order 13132 requires DHS
to develop a process to ensure
‘‘meaningful and timely input by State
and local officials in the development of
regulatory policies that have Federalism
implications.’’ Such policies are defined
in the Executive Order to include rules
that 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.’’
USCIS analyzed this proposed rule in
accordance with the principles and
criteria in the Executive Order and has
determined that it would not have a
substantial direct effect on the States, on
the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. Therefore, USCIS
has determined that this proposed rule
does not have federalism implications.
It provides for alternate document
handling procedures that do not
implicate state government.
F. Executive Order 12988
This proposed rule meets the
applicable standards set forth in
sections 3(a) and 3(b)(2) of Executive
Order 12988. That Executive Order
requires agencies to conduct reviews,
before proposing legislation or
promulgating regulations, to determine
the impact of those proposals on civil
justice and potential issues for
litigation. The Executive Order requires
that agencies make reasonable efforts to
ensure the regulation clearly identifies
preemptive effects, effects on existing
Federal laws and regulations, identifies
any retroactive effects of the proposal,
and other matters. DHS has determined
that this proposed regulation meets the
requirements of Executive Order 12988
because it does not involve retroactive
effects, preemptive effects, or other
matters addressed in the Order.
G. Paperwork Reduction Act
This proposed rule requires the
submission of Form G–1041 or Form G–
1041A when requesting a search or
record from the USCIS. The Forms G–
1041 and G–1041A are considered an
information collection. Accordingly, the
Department of Homeland Security, U.S.
Citizenship and Immigration Services
has submitted the following information
collection request for review and
clearance in accordance with the
Paperwork Reduction Act of 1995. The
information collection is published to
obtain comments from the public and
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20365
affected agencies. Comments are
encouraged and will be accepted for
sixty days until June 19, 2006.
Written comments and/or suggestions
regarding the item(s) contained in this
notice, especially regarding the
estimated public burden and associated
response time, should be directed to the
Department of Homeland Security
(DHS), USCIS, Director, Regulatory
Management Division, Clearance Office,
111 Massachusetts Avenue, 3rd floor,
Washington, DC 20529. Comments may
also be submitted to DHS via facsimile
to 202–272–8352 or via e-mail at
rfs.regs@dhs.gov. When submitting
comments by e-mail please make sure to
add Form Number G–1041 or G–1041A
(whichever is appropriate) in the subject
box. Written comments and suggestions
from the public and affected agencies
should address one or more of the
following four points:
(1) Evaluate whether the collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(2) Evaluate the accuracy of the
agencies estimate of the burden of the
collection of information, including the
validity of the methodology and
assumptions used;
(3) Enhance the quality, utility, and
clarity of the information to be
collected; and
(4) Minimize the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated,
electronic, mechanical, or other
technological collection techniques or
other forms of information technology,
e.g., permitting electronic submission of
responses.
Overview of This Information
Collection
(1) Type of Information Collection:
New information Collection.
(2) Title of the Form/Collection:
Genealogy Search Request and
Genealogy Record Request.
(3) Agency form number, if any, and
the applicable component of the
Department of Homeland Security
sponsoring the collection: Form G–1041,
and G–1041A, U.S. Citizenship and
Immigration Services.
(4) Affected public who will be asked
or required to respond, as well as a brief
abstract: Primary: Individuals and
households. Form G–1041 is provided
as a convenient means for persons to
provide data necessary to perform a
search of historical agency indices.
Form G–1041A provides a convenient
means for persons to identify a
particular record desired under the
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Federal Register / Vol. 71, No. 76 / Thursday, April 20, 2006 / Proposed Rules
Genealogy Program. Forms G–1041 and
G–1041A will be used by researchers,
historians, and social scientists seeking
ancestry information for genealogical,
family history and heir location
purposes. The forms may also be used
by United States citizens seeking
historical records to support a foreign
application for dual citizenship.
(5) An estimate of the total number of
respondents and the amount of time
estimated for an average respondent to
respond: 16,000 responses (Form G–
1041, 10,000 responses, and Form G–
1041A, 6,000 responses) at 30 minutes
(.50) per response.
(6) An estimate of the total public
burden (in hours) associated with the
collection: 8,000 annual burden hours.
If you have additional comments,
suggestions, or need a copy of the
proposed information collection
instrument with instructions, or
additional information, please visit the
USCIS Web site at: https://uscis.gov/
graphics/formsfee/forms/pra/index.htm.
If additional information is required,
contact: USCIS, Regulatory Management
Division, 111 Massachusetts Avenue,
3rd Floor, Washington, DC 20529, (202)
272–8377.
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 299
Immigration, Reporting and
recordkeeping requirements.
Accordingly, chapter I of title 8 of the
Code of Federal Regulations is proposed
to be amended as follows:
PART 103—POWERS AND DUTIES;
AVAILABILITY OF RECORDS
1. The authority citation for part 103
continues to read as follows:
hsrobinson on PROD1PC61 with PROPOSALS
Authority: 5 U.S.C. 301, 552, 552(a); 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 is amended by:
• Adding the entries ‘‘G–1041’’ and
‘‘G–1041A’’, in proper alpha/numeric
sequence, in paragraph (b)(1); and by
• Revising the next to last sentence in
Paragraph (c)(1).
The additions and revisions read as
follows:
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§ 103.7
Fees.
*
*
*
*
*
(b) * * *
(1) * * *
*
*
*
*
*
Form G–1041. For filing requests for
searches of indices to historical records
to be used in genealogical research.
There is a fee of $16 to $45 for each
index search request.
Form G–1041A. For filing requests for
copies of historical records to be used in
genealogical research. There is a fee of
$16 to $45 for each file copy from
microfilm requested and a fee of $26 to
$55 for each textual file copy requested.
*
*
*
*
*
(c) * * *
(1) * * * The fees for Form I–907,
Request for Premium Processing
Services, and for Forms G–1041 and G–
104A, Genealogy Program request forms,
may not be waived.
*
*
*
*
*
3. Section 103.38 is added to read as
follows:
§ 103.38
Genealogy program.
(a) Purpose. The Department of
Homeland Security, (DHS) U.S.
Citizenship and Immigration Services
(USCIS) Genealogy Program is a fee-forservice program designed to provide
genealogical and historical records and
reference services to genealogists,
historians, and others seeking
documents maintained within the
historical record systems.
(b) Scope and limitations. Sections
103.38 through 103.41 comprise the
regulations of the Genealogy Program.
The regulations apply only to searches
of and records maintained within those
record series determined by the
Genealogy Program Office (GPO) to be
historical records as described in 8 CFR
103.39. The regulations set forth the
procedures by which individuals may
request searches for historical records
and, if responsive records are located,
obtain copies of those records.
4. Section 103.39 is added to read as
follows:
§ 103.39
Historical records.
Historical Records are files, forms,
and documents now located within the
following records series:
(a) Naturalization Certificate Files (CFiles), from September 27, 1906 to April
1, 1956. Copies of records relating to all
U.S. naturalizations in Federal, state,
county, or municipal courts, overseas
military naturalizations, replacement of
old law naturalization certificates, and
the issuance of Certificates of
Citizenship in derivative, repatriation,
and resumption cases. The majority of
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C-Files exist only on microfilm.
Standard C-Files generally contain at
least one application form (Declaration
of Intention and/or Petition for
Naturalization, or other application) and
a duplicate certificate of naturalization
or certificate of citizenship. Many files
contain additional documents,
including correspondence, affidavits, or
other records. Only C-Files dating from
1929 onward include photographs.
(b) Microfilmed Alien Registration
Forms, from August 1, 1940 to March
31, 1944. Microfilmed copies of 5.5
million Alien Registration Forms (Form
AR–2) completed by all aliens age 14
and older, resident in or entering the
United States between the dates given.
The two-page form called for the
following information: Name; name at
arrival; other names used; street
address; post-office address; date of
birth; place of birth; citizenship; sex;
marital status; race; height; weight; hair
and eye color; date, place, vessel, and
class of admission of last arrival in
United States; date of first arrival in
United States; number of years in
United States; usual occupation; present
occupation; name, address, and
business of present employer;
membership in clubs, organizations, or
societies; dates and nature of military or
naval service; whether citizenship
papers filed, and if so date, place, and
court for declaration or petition; number
of relatives living in the United States;
arrest record, including date, place, and
disposition of each arrest; whether or
not affiliated with a foreign government;
signature, and fingerprint.
(c) Visa Files, from July 1, 1924 to
March 31, 1944. Original arrival records
of immigrants admitted for permanent
residence under provisions of the
Immigration Act of 1924. Visa forms
contain all information normally found
on a ship passenger list of the period,
as well as the immigrant’s places of
residence for 5 years prior to emigration,
names of both the immigrant’s parents,
and other data. Attached to the visa in
most cases are birth records or
affidavits. Also attached may be
marriage, military, or police records.
(d) Registry Files, from March 2, 1929
to March 31, 1944. Original records
documenting the creation of immigrant
arrival records for persons who entered
the United States prior to July 1, 1924,
and for whom no arrival record could
later be found. Most files also include
documents supporting the immigrant’s
claims regarding arrival and residence
(i.e., proofs of residence, receipts,
employment records).
(e) A-Files numbered below 8 million
(A8000000), and documents therein
dated prior to May 1, 1951. Individual
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Federal Register / Vol. 71, No. 76 / Thursday, April 20, 2006 / Proposed Rules
(g) Processing of record copy requests.
Upon receipt of requests identifying
specific records by number or other
identifying information, the requested
record(s) will be retrieved, duplicated,
reviewed, and mailed to the requester.
If a document is located and found but
is not subject to release, the document(s)
will be transferred to the FOIA/PA
program for treatment as a FOIA/PA
request as described in 8 CFR 103.10.
Document retrieval charges will apply
in all cases where documents are
retrieved.
6. Section 103.41 is added to read as
follows:
(a) Nature of requests. Genealogy
research requests are requests for
searches and/or copies of historical
records relating to a deceased person,
usually for genealogy and family history
research purposes.
(b) Manner of requesting genealogical
searches and records. Requests must be
submitted on Form G–1041, Genealogy
Search Request, or Form G–1041A,
Genealogy Record Request, and mailed
to the address listed on the form.
Requests may also be submitted via the
Internet at a genealogy Web site to be
developed for this purpose. A separate
request on Form G–1041 must be
submitted for each individual searched,
and that form will call for the name,
aliases, and all alternate spellings
relating to the one individual
immigrant. Form G–1041A may be
submitted to request one or more
separate records relating to separate
individuals.
(c) Information required to perform
index search. As required on Form G–
1041, all requests for index searches to
identify records of individual
immigrants must include the
immigrant’s full name (including
variant spellings of the name and/or
aliases, if any), date of birth, and place
of birth. The date of birth must be at
least as specific as a year, and the place
of birth must be at least as specific as
a country (preferably the country name
as it existed at the time of the
immigrant’s immigration or
naturalization). Additional information
about the immigrant’s date of arrival in
the United States, residence at time of
naturalization, name of spouse and
names of children may be required to
ensure a successful search.
(d) Information required to retrieve
records. As required on Form G–1041A,
requests for copies of historical records
or files must identify the record by
number or other specific data used by
the Genealogy Program Office to retrieve
the record. C-Files must be identified by
naturalization certificate number. Forms
AR–2 and A-Files numbered below 8
million must be identified by Alien
Registration Number. Visa Files must be
identified by the Visa File Number.
Registry Files must be identified by
Registry File Number (for example, R–
12345).
(e) Information required for release of
records. Subjects will be presumed
deceased if their birth date is more than
100 years prior to the date of the
request. In other cases, the subject is
presumed to be living until the
requestor establishes to the satisfaction
of the Genealogy Program Office that the
subject is deceased. As required on
Form G–1041A, primary or secondary
documentary evidence of the subject’s
death will be required (including but
not limited to death records, published
obituaries or eulogies, published death
notices, church or bible records,
photographs of gravestones, and/or
copies of official documents relating to
payment of death benefits). All
documentary evidence must be attached
to Form G–1041A or submitted in
accordance with instructions provided
on Form G–1041A.
(f) Processing of index search
requests. Each request for index search
services will generate a search of the
indices to determine the existence of
responsive historical records. If no
record is found, the researcher will be
notified. If records are indicated, the
researcher will be provided with search
results including the type of record
found and the file number or other
information identifying the record that
is required to support a request for
record copies.
Form No.
Edition date
Title
*
*
G–1041 .............................................................
G–1041A ...........................................................
*
*
*
...........................................................................
...........................................................................
alien case files (A-files) became the
official file for all immigration records
created or consolidated since April 1,
1944. A-numbers ranging up to
approximately 6 million were issued to
aliens and immigrants within or
entering the United States between 1940
and 1945. The 6 million and 7 million
series of A-numbers were issued
between circa 1944 and May 1, 1951.
Any documents dated after May 1, 1951,
though found in an A-File numbered
below 8 million, will remain subject to
FOIA/PA restrictions.
5. Section 103.40 is added to read as
follows:
hsrobinson on PROD1PC61 with PROPOSALS
§ 103.40
Genealogical research requests.
*
*
*
9. Section 299.5 is amended in the
table by adding Form ‘‘G–1041’’ and
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*
Frm 00018
Fmt 4702
Genealogy request fees.
(a) Genealogy search fee. A fee of $16
to $45 will be charged for filing each
search request. The fee is not
refundable.
(b) Genealogy records fees. For the
retrieval, duplication, review, and
release of each historical record, a fee of
$16 to $45 for records on microfilm or
a fee of $26 to $55 for textual records
will be charged. The Genealogy Program
Office will refund this fee only when
the record request is based upon file
information previously provided by the
Genealogy Program Office in response to
an index search request, and the
Genealogy Program Office is unable to
locate the file when later requested
under a Genealogy Record request.
(c) Manner of submission. All fees
must be submitted in the exact amount
with Form G–1041 or Form G–1041A,
remitted in accordance with 8 CFR
103.7(a)(1).
PART 299—IMMIGRATION FORMS
7. The authority citation for part 299
continues to read as follows:
Authority: 8 U.S.C. 1101 and note, 1103; 8
CFR part 2.
8. Section 299.1 is amended in the
table by adding Form ‘‘G–1041’’ and
Form ‘‘G–1041A’’, in proper alpha/
numeric sequence, to read as follows:
§ 299.1
*
*
Prescribed forms.
*
Sfmt 4702
*
*
*
Genealogy Search Request.
Genealogy Records Request.
*
Form ‘‘G–1041A’’, in proper alpha/
numeric sequence, to read as follows:
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*
§ 299.5
*
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*
Display of control numbers.
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Federal Register / Vol. 71, No. 76 / Thursday, April 20, 2006 / Proposed Rules
Form No.
Form title
Currently
assigned
OMB control
No.
*
*
G–1041 .............................................
G–1041A ...........................................
*
*
*
*
Genealogy Search Request .....................................................................................................
Genealogy Records Request ...................................................................................................
*
1615–XXXX
1615–XXXX
*
*
*
Dated: April 13, 2006.
Michael Chertoff,
Secretary.
[FR Doc. E6–5947 Filed 4–19–06; 8:45 am]
*
*
above address. Comments must be
marked: CE242. Comments may be
inspected in the Rules Docket
weekdays, except Federal holidays,
between 7:30 a.m. and 4 p.m.
BILLING CODE 4410–10–P
Mr.
Mark James, Federal Aviation
Administration, Aircraft Certification
Service, Small Airplane Directorate,
ACE–111, 901 Locust, Kansas City,
Missouri, 816–329–4137, fax 816–329–
4090, e-mail mark.james@faa.gov.
FOR FURTHER INFORMATION CONTACT:
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 23
[Docket No. CE242; Notice No. 23–06–02–
SC]
Special Conditions: Approved Model
List Installation of AmSafe Inflatable
Restraints in Normal and Utility
Category Non-23.562 Certified
Airplanes
Federal Aviation
Administration (FAA), DOT.
ACTION: Proposed special conditions;
request for comments.
hsrobinson on PROD1PC61 with PROPOSALS
AGENCY:
SUMMARY: This notice proposes special
conditions for the installation of an
AmSafe, Inc., Inflatable Two-, Three-,
Four or Five-Point Restraint Safety Belt
with an Integrated Airbag Device on
various airplane models. These
airplanes, as modified by AmSafe, Inc.,
will have novel and unusual design
features associated with the lap belt or
shoulder harness portion of the safety
belt, which contains an integrated airbag
device. The applicable airworthiness
regulations do not contain adequate or
appropriate safety standards for this
design feature. These special conditions
contain the additional safety standards
that the Administrator considers
necessary to establish a level of safety
equivalent to that established by the
existing airworthiness standards.
DATES: Comments must be received on
or before May 22, 2006.
ADDRESSES: Comments on these special
conditions may be mailed in duplicate
to: Federal Aviation Administration
(FAA), Regional Counsel, ACE–7,
Attention: Rules Docket, Docket No.
CE242, 901 Locust, Room 506, Kansas
City, Missouri 64106, or delivered in
duplicate to the Regional Counsel at the
VerDate Aug<31>2005
14:56 Apr 19, 2006
Jkt 208001
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to
participate in the making of these
proposed special conditions by
submitting such written data, views, or
arguments as they may desire.
Communications should identify the
regulatory docket or notice number and
be submitted in duplicate to the address
specified above. All communications
received on or before the closing date
for comments will be considered by the
Administrator. The proposals described
in this notice may be changed in light
of the comments received. All
comments received will be available in
the Rules Docket for examination by
interested persons, both before and after
the closing date for comments. A report
summarizing each substantive public
contact with FAA personnel concerning
this rulemaking will be filed in the
docket. Commenters wishing the FAA to
acknowledge receipt of their comments
submitted in response to this notice
must include a self-addressed, stamped
postcard on which the following
statement is made: ‘‘Comments to
CE242.’’ The postcard will be date
stamped and returned to the
commenter.
Background
On August 19, 2005, AmSafe, Inc.,
Aviation Inflatable Restraints (AAIR)
Division, 1043 North 47th Avenue,
Phoenix, AZ 85043, applied for a
supplemental type certificate for the
installation of an inflatable restraint in
various airplane models certificated
before the dynamic structural
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*
*
requirements as specified in 14 CFR part
23, section 23.562 took effect.
The inflatable restraint system is
either a two-, three-, four, or five-point
safety belt restraint system consisting of
a shoulder harness and a lap belt with
an inflatable airbag attached to either
the lap belt or the shoulder harness. The
inflatable portion of the restraint system
will rely on sensors to electronically
activate the inflator for deployment. The
inflatable restraint system will be made
available on the pilot, co-pilot, and
passenger seats of these airplanes.
In the event of an emergency landing,
the airbag will inflate and provide a
protective cushion between the
occupant’s head and structure within
the airplane. This will reduce the
potential for head and torso injury. The
inflatable restraint behaves in a manner
that is similar to an automotive airbag,
but in this case, the airbag is integrated
into the lap or shoulder belt. While
airbags and inflatable restraints are
standard in the automotive industry, the
use of an inflatable restraint system is
novel for general aviation operations.
The FAA has determined that this
project will be accomplished on the
basis of providing the same current level
of safety of the airplanes original
certification basis. The FAA has two
primary safety concerns with the
installation of airbags or inflatable
restraints:
• That they perform properly under
foreseeable operating conditions; and
• That they do not perform in a
manner or at such times as to impede
the pilot’s ability to maintain control of
the airplane or constitute a hazard to the
airplane or occupants.
The latter point has the potential to be
the more rigorous of the requirements.
An unexpected deployment while
conducting the takeoff or landing phases
of flight may result in an unsafe
condition. The unexpected deployment
may either startle the pilot, or generate
a force sufficient to cause a sudden
movement of the control yoke. Either
action could result in a loss of control
of the airplane, the consequences of
which are magnified due to the low
operating altitudes during these phases
of flight. The FAA has considered this
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]]>Agencies
[Federal Register Volume 71, Number 76 (Thursday, April 20, 2006)]
[Proposed Rules]
[Pages 20357-20368]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-5947]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
U.S. Citizenship and Immigration Services
8 CFR Parts 103 and 299
[DHS Docket No. USCIS-2005-0062]
RIN 1615-AB19
Establishment of a Genealogy Program
AGENCY: U.S. Citizenship and Immigration Services, DHS.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This rule proposes to establish a Genealogy Program within
U.S. Citizenship and Immigration Services to process requests for
historical records of deceased individuals. Currently, such requests
are processed as Freedom of Information Act requests by the Freedom of
Information Act/Privacy Act program adding unnecessary delays to the
process. A separate Genealogy Program would ensure a timely response to
requests for genealogical and historical records.
DATES: Written comments must be submitted on or before June 19, 2006.
ADDRESSES: You may submit comments, identified by DHS Docket No. USCIS-
2005-0062, by one of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
[[Page 20358]]
E-mail: You may submit comments directly to USCIS by e-
mail at rfs.regs@dhs.gov. Include DHS Docket No. USCIS-2005-0062 in the
subject line of the message.
Mail: The 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-2005-0062
on your correspondence. This mailing address may also be used for
paper, disk, or CD-ROM submissions.
Hand Delivery/Courier: U.S. Citizenship and Immigration
Services, Department of Homeland Security, 111 Massachusetts Avenue,
NW., 3rd Floor, Washington, DC 20529. Contact Telephone Number is (202)
272-8377.
FOR FURTHER INFORMATION CONTACT: Ave Maria Sloane, Chief--Genealogy
Program, Office of Records Services (ORS), U.S. Citizenship and
Immigration Services, Department of Homeland Security, 111
Massachusetts Avenue, NW., Washington, DC 20529, telephone (202) 272-
8240.
SUPPLEMENTARY INFORMATION:
Part I--Public Participation
Part II--Background and Purpose
A. Historical Records
B. Genealogical Research Requests
Part III--New Program Functions
A. Operation of the New Genealogy Program
B. Index Search Request
C. Historical Records Request
D. Procedures for Requesting an Index Search or Search for
Historical Records
E. Personal Information Concerning Children of the Subject of
the Record
F. Requests by Historical and Genealogical Researchers Falling
Outside the Genealogy Program
G. Reference Services Provided by This New Program
H. Users of Genealogy Program Services
I. Requests for Historical Records and the FOIA/PA Program
J. Requests for Records Where the Requester is Not Sure the
Records are Historical
Part IV--Determination of Fees
A. Number of Requests
B. Processing Tracking
C. Description of Two Services
D. Estimating Requests and Receipts
E. Record Copy Fee Where the Copy is Illegible
F. Fee Waivers
Part V--Regulatory Requirements
A. Regulatory Flexibility Act
B. Unfunded Mandates Reform Act of 1995
C. Small Business Regulatory Enforcement Fairness Act of 1996
D. Executive Order 12866
E. Executive Order 13132
F. Executive Order 12988
G. Paperwork Reduction Act
List of Subjects
PART 103--Powers and Duties; Availability of Records
PART 299--Immigration Forms
Part I--Public Participation
Interested persons are invited to participate in this rulemaking by
submitting written data, views, or arguments on all aspects of the
proposed rule. The Department of Homeland Security (DHS) and U.S.
Citizenship and Immigration Services (USCIS) also invite comments that
relate to the economic, privacy, or federalism affects that might
result from this proposed rule. Comments that will provide the most
assistance to USCIS in developing these procedures will make reference
to a specific portion of the proposed rule, explain the reason for any
recommended change, and include data, information, or authority that
support such recommended change.
Instructions: All submissions received must include the agency name
and DHS docket No. USCIS-2005-0062 for this rulemaking. All comments
received will be posted without change to https://www.regulations.gov,
including any personal information provided. See ADDRESSES above for
information on how to submit comments.
Docket: For access to the docket to read background documents or
comments received, go to https://www.regulations.gov. Submitted comments
may also be inspected at the Office of the Director, Regulatory
Management Division, U.S. Citizenship and Immigration Services,
Department of Homeland Security, 111 Massachusetts Avenue, NW., 3rd
Floor, Washington, DC 20529.
Part II--Background and Purpose
The demand for historical records by historical and genealogical
researchers, as well as other members of the public, has grown
dramatically over the past several years. Currently, USCIS processes
requests for historical records under USCIS' Freedom of Information Act
(FOIA)/Privacy Act (PA) program. Historical records that are the
subject of a FOIA request usually are released in full because the
subjects of the requested documents are deceased and therefore no FOIA
exemptions apply to withhold the information. Cf. OMB Guidelines, 40 FR
28948, 28951 (1975). The only exception is for classified historical
records, which can only be released after being declassified. See
Executive Order 12958, as amended by Executive Order 13292, 68 FR 15315
(March 28, 2003). Classified information is information that requires
protection against unauthorized disclosure in the interest of national
security. See id. The large volume of genealogical requests (average of
10,000 combined search and records requests per year over the last 4
years) received by USCIS FOIA/PA offices contributes to the USCIS FOIA/
PA backlog. For this reason, it became apparent that the FOIA/PA
program was not the most efficient means of processing requests for
historical records.
A separate Genealogy Program would create a dedicated program to
serve this unique category of requesters. Removing genealogy research
from the immense FOIA group of ``all'' requesters would improve service
to historical researchers, genealogists, and other members of the
public. It would also greatly reduce the number of FOIA requests and
improve the ability of USCIS to respond to requests for other non-
historical records and materials. Requesters making a request that
qualifies as a genealogical research request for historical records
under this rule would submit such a request directly with the Genealogy
Program. If the Genealogy Program determines that the request does not
qualify as a genealogical research request, it would return the request
(along with any fees submitted with the request) to the requester and
inform the requester to resubmit the request to the USCIS FOIA/PA
office for processing under the FOIA. Conversely, if a requester would
send a request to the USCIS FOIA/PA office that is determined by that
office to qualify as a genealogical research request, the USCIS FOIA/PA
office would return the request to the requester and inform the
requester to resubmit the request to the Genealogy Program for
processing. In proposed 8 CFR 103.40(a), this rule defines the term,
``genealogical research request.'' In proposed 8 CFR 103.39, this rule
describes what records qualify as historical. The terms, ``historical
records'' and ``genealogical research request'' are discussed below.
A. Historical Records
The USCIS Genealogy Program will apply to ``historical records,'' a
new term introduced by this proposed rule. Historical records are
files, forms, and documents collected by the Immigration and
Naturalization Service (INS) and maintained by USCIS that include:
Naturalization Certificate Files;
Forms AR-2;
Visa Files;
Registry Files; and
A-Files numbered below 8 million.
Naturalization Certificate Files (C-Files) are records from
September 27, 1906 to April 1, 1956, relating to U.S.
[[Page 20359]]
naturalizations and the issuance of evidence of naturalization or
citizenship. Forms AR-2 are Alien Registration Forms on microfilm that
were completed by all aliens age 14 and older who resided in or entered
the United States between August 1, 1940 and March 31, 1944. These
forms contain identification information, as well as information
regarding the alien's employment and arrival to the United States. Visa
Files are records from July 1, 1924 to March 31, 1944 containing the
arrival information of immigrants admitted for permanent residence from
July 1, 1924 to March 31, 1944 under the Immigration Act of 1924.
Registry Files are records from March 2, 1929 to March 31, 1944
containing arrival information of immigrants who entered the United
States prior to July 1, 1924, and for whom no arrival records could
later be found. A-Files are case files on individuals containing all
immigration records created or consolidated since April 1, 1944 to the
present. This rule only deems historical those A-File records numbered
below 8 million and containing documents dated prior to May 1, 1951.
Other A-File records, therefore, will be subject to the FOIA/PA
program. USCIS chose these two criteria as the dividing line because
May 1, 1951 is the date that the 8 million series began, and is within
the decade that the last record series prior to the advent of the A-
File, C-Files, was closed.
Designation of a record as historical neither speaks to the value
or worth of any given record, nor relates to what the Archivist of the
United States might designate as worthy of permanent preservation.
Rather, this convention was employed by USCIS solely to identify
records of advanced age for which there is high demand from
genealogical researchers. Any record filed within any record system
other than one identified as historical by this proposed rule,
regardless of the date of the record or the subject's date of birth,
will not be available under the Genealogy Program. Those records
outside the scope of the Genealogy Program can still be requested
through the FOIA/PA or other available programs.
B. Genealogical Research Requests
This proposed rule defines a genealogical research request as a
request from a member of the public for searches and/or copies of
historical records relating to a deceased person. Requests to locate
USCIS documents to support a separate application or petition for
benefits from USCIS would not meet this definition. For example,
requests to replace a lost naturalization certificate would not qualify
as genealogical research requests.
The chart below lists the records that the public would be able to
request from the Genealogy Program versus the records that the public
would be able to request from the FOIA/PA office.
------------------------------------------------------------------------
Genealogy program FOIA/PA office
------------------------------------------------------------------------
Files of deceased subjects............. Files of living subjects.
C-Files from 9/27/1906 to 4/1/1956..... Naturalization records on or
after 4/1/1956.
Visa Files from 7/1/1924 to 5/1/1951... Visa records on or after 5/1/
1951 in A-Files.
A-Files below 8 million and documents A-Files above 8 million and
therein dated prior to 5/1/1951.. documents therein dated on or
after 5/1/1951
Registry Files from 3/2/1929 to 3/31/ Registry records on or after 5/
1944 and registry records from 4/1/ 1/1951 in A-Files.
1944 to 4/30/1951.
AR-2 Files from 8/1/1940 to 3/31/1944 Alien Registration Forms on or
and Alien Registration Forms from 3/31/ after 5/1/1951 in A-Files.
1944 to 4/30/1951 in A-Files.
------------------------------------------------------------------------
Part III--New Program Functions
Currently, all requests for historical records are processed by the
USCIS FOIA/PA program. The FOIA/PA program depends upon the Office of
Records Services/Office of Records Management (ORS/ORM) offices to
search indices and locate and retrieve responsive records and files. If
ORS/ORM does not find any records that respond to the FOIA request,
ORS/ORM will transmit a ``no record'' response to FOIA/PA and FOIA/PA
will inform the requester that no records have been found that respond
to the FOIA request. If ORS/ORM provides responsive records to the
FOIA/PA program, FOIA/PA professionals review the documents for any
issues arising under the Freedom of Information or Privacy Acts and
mail copies of the records to the requester. Genealogical requests are
identified as ``third party'' requests (requests from other than the
subject), and since the subjects of the requests are deceased, the
deceased subjects themselves no longer have privacy interests in the
records. See OMB Guidelines, 40 FR 28948, 28951 (deceased persons do
not enjoy Privacy Act protections); Department of Justice, Office of
Information and Privacy, Freedom of Information Act Guide (May 2004)
(noting ``longstanding FOIA rule that death extinguishes one's privacy
rights''), available at https://www.usdoj.gov/oip/
exemption6.htm#privacy. But cf. National Archives and Records Admin. v.
Favish, 541 U.S. 157 (2004) (holding that surviving relatives may have
protectible privacy interest in ``death images of the deceased,''
personal details about circumstances surrounding individual's death,
and other information concerning deceased where disclosure would cause
``a disruption of the relatives' peace of minds''). As a result,
genealogical requests for unclassified records routinely pass through
the FOIA/PA program without requiring any analysis for exemption
application under FOIA, and serve only to contribute to the FOIA/PA
backlog.
The new Genealogy Program would search indices and locate and
retrieve responsive records and files. Once a requester has
demonstrated that the subject of the record is deceased by providing a
death certificate, obituary, or other form as proof of death, routine
record copies and information would be reviewed and mailed directly to
the requester.
The new Genealogy Program would serve the public demand in a more
expeditious fashion. The program would put requesters and the genealogy
staff in direct communication thus providing a dedicated queue and
point of contact for genealogists and other researchers seeking access
only to those records described as historical records as defined under
8 CFR 103.39.
Finally, the new Genealogy Program would either release historical
records as requested, or, rather than deny release, redirect the
requester to the FOIA/PA Program for further consideration of the
request. If the FOIA/PA Program ultimately denies the requested
information, the requester may seek an appeal of the FOIA/PA denial
under the current procedures specified in 6 CFR 5, 8 CFR 103.10(c), and
8 CFR 103.10(d)(3).
[[Page 20360]]
A. Operation of the New Genealogy Program
Due to the nature of historical records, it is hard to predict what
types of records (if any) exist on a given immigrant. ORS/ORM must
search various indices before determining whether any record exists,
how many separate records exist, and where those records might be
located. The actual location and retrieval of records involves a
separate process, which itself varies according to record format
(microfilm or textual). Combining both activities (index searching and
record retrieval/processing) into one request would result in
extraordinarily high fees for historical and genealogical researchers,
especially for those for whom no record is found. For this reason,
USCIS proposes separating index search requests from record copy
requests, and proposes that each be requested separately from the
Genealogy Program.
Researchers would choose from one of two types of requests
depending on the amount of information they have available regarding
records of their immigrant ancestor. They could: (1) Request a search
of the index if they are unable to identify a specific historical
record, or (2) request that they be provided copies of historical
records the requester can identify by file number.
B. Index Search Request
Most researchers would begin with a request for a search of the
index in order to obtain the information necessary to request a
specific record. Upon receipt of an index search request, the Genealogy
Program would search the indices for references to the subject named in
the request. If found, it would send all pertinent information about
each record indicated (i.e., file number, location, or other
identifying information) to the researcher. If no record is found, the
researcher would be notified.
Genealogy Program index searches may result in locating records no
longer maintained by USCIS. The public would be able to contact the
Genealogy Program for information regarding which records are no longer
maintained by USCIS. Search results indicating a naturalization record
in USCIS custody also will contain information directing researchers to
alternate sources for copies of court naturalization records held by
the National Archives or by state and local courthouses. Search results
indicating a Visa File also will contain information allowing a
researcher to locate ship passenger arrival list records at the
National Archives. All index information about all records would be
provided to the requester.
C. Historical Records Request
Using information obtained from the index search (or found during
prior research), researchers also could submit a request for records in
which they identify the record sought to the Genealogy Program Office.
In response to a record request, the Genealogy Program Office would
retrieve the specified record for duplication, review, and release.
D. Procedures for Requesting an Index Search or Search for Historical
Records
Requests could be submitted via the Internet at a genealogy Web
site to be developed for this purpose or by mailing a completed Form G-
1041, Genealogy Search Request, or Form G-1041A, Genealogy Record
Request, to the Genealogy Program Office.
The success of each index search request would depend on the amount
and accuracy of information provided by the researcher. No search could
be initiated regarding an individual without at least a full name, year
of birth, and country of birth. In cases of immigrants with common
names, an exact date and place of birth, alternate spellings of the
name and aliases, as well as an approximate date of arrival and/or the
immigrant's residence at the time of naturalization, may be necessary
to ensure a successful and definitive search.
Records stored in different file series are located using a variety
of methods, most of which require a specific file number. The most
reliable record requests would be based on, and include, specific file
identification data received from previous index search requests. The
success of record requests submitted from researchers without any
previous index search would depend entirely upon whether the researcher
provides the exact information needed to retrieve the specific record
sought. Full instructions on what information is needed to retrieve
specific files would be available on the USCIS genealogy Web site and
in pamphlet form.
In addition, when a request is made for records of an immigrant
whose date of birth is less than 100 years ago, the researcher would
have to provide documentary evidence that the subject is deceased. For
the purposes of the Genealogy Program, USCIS presumes that immigrants
born more than 100 years ago are deceased. Schrecker v. U.S. Dep't of
Justice, 349 F.3d 657, 664-65 (D.C. Cir. 2003). Thus, when the subject
of a record request was born less than 100 years prior to the date of
the request, primary or secondary documentary evidence of the subject's
death would be required. The requestor would bear the burden of
establishing to the satisfaction of the Genealogy Program Office that
the subject is deceased. Acceptable documentary evidence includes, but
is not limited to death records, published obituaries, published death
notices or published eulogies, church or bible records, photographs of
gravestones, and/or copies of official documents relating to payment of
death benefits. No records would be released in the case of an
immigrant born less than 100 years prior to the request date until
evidence of the subject's death is received.
E. Personal Information Concerning Children of the Subject of the
Record
Information about a subject's children may be found in many
historical records and may consist of the child's name, date of birth,
place of birth, and residence as of the date of the record. The
Genealogy Program will not release personal information concerning a
subject's children.
F. Requests by Historical and Genealogical Researchers Falling Outside
the Genealogy Program
Due to the history of individual immigrants, immigration and
nationality benefits, and recordkeeping, some old immigrant records now
exist within A-Files numbered above 8 million. As previously noted, A-
Files numbered above 8 million are not considered historical records
and could not be made available under the Genealogy Program.
Researchers seeking A-Files numbered 8 million or above, or records
dated after May 1, 1951, would have to request their ancestors' files
under the FOIA/PA program. The Genealogy Program would provide those
requesters the information necessary to submit a FOIA/PA request to the
appropriate office.
G. Reference Services Provided by This New Program
In addition to standard information and instructions printed on
USCIS Genealogical Search and Request forms (G-1041 and G-1041A), USCIS
would provide reference materials in pamphlet form and on the USCIS Web
site. Information for genealogists would include a review of various
DHS record series, the information typically contained in those
records, and instructions for filing requests. In addition, DHS would
direct genealogists to resources containing information regarding
immigration and
[[Page 20361]]
naturalization records not in USCIS custody.
Information for historical researchers would include descriptions
of resources available at USCIS or the National Archives and Records
Administration (NARA) that support the study of immigration records
history, as well as the history of U.S. immigration law and policy.
H. Users of Genealogy Program Services
The primary user of the Genealogy Program would be individuals
seeking records of their ancestors for genealogical and family history
purposes. Additionally, USCIS anticipates a small number of requests to
come from historians and social scientists seeking historical records
of individual immigrants whom they can identify by name, date of birth,
place of birth, or by file number, and from professional genealogists
and researchers involved in their location.
I. Requests for Historical Records and the FOIA/PA Program
Under this proposed rule, all requests for records designated as
historical records would no longer fall under the FOIA/PA program and
would have to be submitted to the new Genealogy Program Office. The
experience of the FOIA/PA program office is that those records
identified as historical records in 8 CFR 103.39 are routinely released
without need for redaction or withholding. This is why this new program
is being proposed to serve customers who seek historical records.
Once the final rule is published and effective, the FOIA/PA program
will return all FOIA/PA requests for historical records and direct the
researcher to submit a genealogy request. Of course, some genealogists
will seek records not included within the definition of historical
records, thus some genealogists will continue to be served by the FOIA/
PA program office.
As discussed above, with implementation of the Genealogy Program to
satisfy requests for older, historical records, the FOIA/PA program
will be able to focus on more current records presenting FOIA and
privacy issues.
J. Requests for Records Where the Requester Is Not Sure the Records Are
Historical
The Genealogy Program Office would accept search requests in which
the subject likely is to be found in an historical record. If the
search results reference any record not included within the definition
of historical records, the Genealogy Program Office would transmit the
file index information to the requestor and also include instructions
for requesting that file under USCIS FOIA/PA guidelines.
Part IV--Determination of Fees
This rule proposes fee ranges for index searches and for copies of
historical records as described in 8 CFR 103.7(b)(1). USCIS invites the
public to comment on the proposed fee ranges, considering in particular
USCIS's estimated costs to run the Genealogy Program and the fees
charged by other agencies providing similar services. In a final rule,
USCIS will set one fee amount for each type of service. As provided by
statute, these fees would be deposited into the Immigration
Examinations Fee Account. See 8 U.S.C. 1356(n), (t).
The search fee recovers the full cost of the search. The costs
involved in searching the DHS indices and transmitting search results
to a requester are the same whether or not any record is found. Thus,
the Genealogy Program Office could not refund the search fee if the
requested records are not found by USCIS.
Similarly, the Genealogy Program Office would charge a fee for all
record services in which the requested record is located, regardless of
whether or not it is determined that the record is subject to release.
The Genealogy Program Office would refund a fee when the record request
is based upon file information previously provided by the Genealogy
Program Office in response to an index search request, or if the
Genealogy Program Office is unable to locate the file when later
requested under a Genealogy Record request.
The fee ranges were set in accordance with section 286(t) of the
INA, 8 U.S.C. 1356(t), which authorizes USCIS to set fees for providing
research and information services at a level that will ensure the
recovery of the full costs of providing all such services. Charts
setting forth the full costs that formed the basis for the fee ranges
proposed in this rule are included below. The full cost includes items
such as management and personnel costs (salaries and benefits),
physical overhead, consulting, materials and supplies, utilities,
insurance, travel, and rent of building space and equipment. Full costs
also include the cost of research and information collection,
establishment of procedures and standards, and issuance of regulations.
The fees also were set in accordance with Office of Management and
Budget (OMB) Circular A-25, which requires that user fees recover the
full cost of services provided.
A. Number of Requests
The estimated total number of requests under the new program is
projected at or in excess of 26,000 per year. The total number includes
an estimated 15,250 search requests, 6,619 requests for copies of
microfilmed records, and 4,728 requests for copies from textual files.
These estimates are based on the annual number of genealogical FOIA/PA
requests received in previous years and anticipated growth in requests.
In the last four-year period, the USCIS FOIA/PA program received an
average of 10,000 genealogical requests per year. These requests are
for a combined index search and copy of records. These figures will be
far greater in the Genealogy Program since the program will count a
request for an index search separately from a request for a record
copy. NARA receives a similar number of requests for copies of
immigration records each year (i.e., 11,000 to 12,000 per year). While
some requests may be discouraged by the imposition of fees, other
potential users have informed the FOIA/PA program they would submit one
or more genealogical request(s) if they could be assured a more
expeditious response. Finally, USCIS expects in the short-term to
receive requests from individuals who previously filed requests with
the FOIA/PA program to request a second search under the new program.
For these reasons, we expect the actual number of genealogical requests
to increase, rather than decrease, under the new program.
B. Processing Tracking
USCIS has studied the methodologies to respond to search and
retrieval requests. A number of efficiencies were proposed to better
process the searches and request tracking. An automated system is being
developed which will allow for quicker and more comprehensive searches,
customer request and response tracking, and provide for better metrics
to measure productivity.
C. Description of Two Services
USCIS proposes two separate costs for the separate services to be
offered by the Genealogy Program.
The first cost relates to the index search service, which,
in addition to the paperwork and data entry standard to processing all
requests, requires a detailed search of the master index microfilm and
other related microfilm indices.
The second cost relates to the retrieval, reproduction,
and processing of historical records and files. This
[[Page 20362]]
activity includes: Processing standard requests, identifying records
stored on microfilm or at Federal Record Centers, preparing and
submitting requests for those files at the Federal Record Centers to be
pulled and shipped to the Genealogy Program Office, copying of records
from microfilm or paper and the processing of those copies,
reassembling files, shipping of files from and to a storage facility,
and per-file fees paid to NARA for retrieving and refiling hard copy
records.
D. Estimating Requests and Receipts
The estimate for requests and receipts is based on USCIS's
experience in processing genealogical-type requests under the FOIA/PA
program and the experience of other organizations offering genealogical
resources. USCIS used weighted risk analysis to project the number of
requests for searches, microfilm records, and textual records. USCIS
also projected a five percent annual growth. The results of the
analysis indicate that USCIS would receive about: 15,500 search
requests in the first year; 6,500 requests for microfilmed records; and
5,000 requests for textual records.
After determining the cost of different services and estimating the
number of requests for each service submitted each year, it was
possible to calculate annual costs over 2 years, as well as the start-
up costs required to launch the new program.
Start-Up and Recurring Costs
----------------------------------------------------------------------------------------------------------------
Annual operating costs
(acutal dollars)
Cost category Start-up -------------------------------
Year 1 Year 2
----------------------------------------------------------------------------------------------------------------
Office Furnishings.............................................. $20,000 $0 $0
Personnel/Costs................................................. 15,000 675,000 675,000
Office Equipment................................................ 150,000 3,000 3,000
Travel.......................................................... 2,000 2,000 2,000
Training........................................................ 8,375 5,000 5,000
Website and Lockbox fees........................................ 2,000 4,000 4,000
Postage......................................................... .............. 41,665 43,748
Equipment Repairs and Maintenance............................... .............. 2,000 2,000
Subscriptions/Publications/Association fees..................... 500 1,000 1,000
Supplies........................................................ .............. 4,400 4,400
Design and Development.......................................... 5,000 2,000 2,000
Operation and Maintenance of the search system for 10 users..... .............. 260,250 270,660
Software Maintenance............................................ .............. 3,000 3,000
Marketing....................................................... 5,000 10,000 6,000
-----------------------------------------------
Subtotal.................................................... 207,875 1,013,315 1,021,808
NARA charges (record request costs only)........................ .............. 34,000 35,000
-----------------------------------------------
Total................................................... 207,875 1,047,315 1,056,808
----------------------------------------------------------------------------------------------------------------
Fees to cover estimated costs were determined by computing the
start-up costs and operating costs for the first 2 fiscal years. The
total cost for each service was divided by the expected volume of
requests over the same two-year period. The fees for the records
request portion were adjusted (accounting for the slightly higher fee
for record requests) by also factoring in the costs directly
attributable, such as NARA pull fees for record requests and off-site
record retrievals.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Approximate requests-- 2 Costs (actual dollars)--2 years
years ----------------------------------------------------
-------------------------- Total
Yearly NARA -------------------------- User fees
Service costs for Allocated Yearly (rounded)
Volume Percent record by costs
requests percentage (except Start-up
only NARA)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Index Search................................................. 31,000 57 ........... $1,160,020 $118,489 $1,278,509 $41.00
Record Request:
Micro-film............................................... 13,000 24 0.00 488,430 49,890 538,320 41.00
Textual.................................................. 10,000 19 69,000 386,673 39,496 495,169 50.00
------------------------------------------------------------------------------------------
Total................................................ 54,000 ........... 69,000 2,035,123 207,875 2,311,998 ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Based upon this calculation and consideration of fees charged by
other agencies for comparable services, discussed below, this rule
proposes an estimated user fee range as follows:
(1) Index search service: This service is designed for customers
who are unsure whether USCIS has any record of their ancestor, or who
suspect a record exists but cannot identify that record by number. The
index search service would identify any historical records relating to
the subject and provide the researcher with all the information needed
to request the record(s). The proposed fee range for this service is
$16.00 to $45.00.
(2) Record/file services: This service is designed for customers
who can identify a specific record or file to be retrieved, copied,
reviewed, and released. Customers may identify one or more files in a
single request. However, separate fees would apply to each file
requested. The proposed fee range for this service is $16.00 to $45.00
for each
[[Page 20363]]
file on microfilm retrieved, and $26.00 to $55.00 for each textual file
retrieved.
The Genealogy Program fee ranges proposed under this rule are
comparable to the fees of similar institutions providing similar
services. As previously noted, a flat fee both to search and/or
retrieve all historical records would be excessively high in comparison
to that of other agencies. For this reason, the Genealogy Program
proposes to offer both a search service and a record retrieval service,
each of which is based on the cost of providing that specific service
and thus providing the requester the option of obtaining the additional
information found. The proposed fee ranges were set to provide the best
possible service to the public, including enhanced photocopies, other
suggested sources to find information, and a better description of the
information received than is now possible under the existing FOIA/PA
processing.
While USCIS considered the fees charged by similar organizations,
no other organization provides exactly the same service because they do
not hold precisely the same variety or volume of records. A description
of comparable organizations, as well as the fees they charge, is
provided as follows:
The NARA field facilities hold Federal court copies of
naturalization records and will search them, court by court, for a fee
ranging from $1 to $10, depending on the rules of the facility. Several
state archives hold state court copies of naturalization records and
charge fees for searching those records, then charge additional fees
for copying and shipping. State archive fees differ from state to
state. For example, the North Dakota archives charge a $5 search fee,
the Pennsylvania archives charge $10 per search, and the Connecticut
archives charge non-residents $15 for searches. Still, many court
copies of naturalization records are not centralized in any Federal or
state archive but remain scattered among county and municipal
courthouses. Some clerks of the court will provide records free, others
charge fees ranging from $1 to $25, and others do not provide search
assistance.
USCIS also considered the fees to those paid by researchers to two
other Federal agencies: NARA and the Social Security Administration
(SSA). NARA collects a fee of $17.25 to search immigrant passenger
arrival records, but only if the requester can name a specific ship
list to be searched. SSA charges a fee of $27 for copies of original
Social Security Number applications if the requester provides the
Social Security Number, and $29 for copies of original Social Security
Number applications if the requester does not provide the Social
Security Number. SSA also offers electronic extracts of the same
records for $16 and $18 respectively. In all such cases, when SSA
provides these services, they apply to only one series of records
(unlike a USCIS search and retrieval of multiple record series).
Lower fees on the part of some organizations result from the fact
that some or all of their indices and/or records are automated. Higher
fees generally were charged for locating, retrieving and copying hard
copy files. USCIS historical record series are comprised of hard copy
C-Files, Visa Files, Registry Files, and A-Files numbered below 8
million and records therein dated before May 1, 1951. The National
Archives fee to copy a similar textual file in its entirety is $37.
Genealogy fees will be reviewed biennially and will likely be
adjusted to more accurately reflect the actual cost as work is
performed under new processes and procedures of the Genealogy Program.
Furthermore, the initial start-up cost must be recovered over the first
2 years of the program. After 2 years, the fee review will reflect
retirement of that debt and be adjusted accordingly.
E. Record Copy Fee Where the Copy Is Illegible
If requesters receive an illegible copy of a record, the Genealogy
Program would charge the requester the same record copy fee. The costs
involved in locating, retrieving, reproducing, and reviewing an
historical record remain the same regardless of the quality of the
copy. Some historical records exist on deteriorating microfilm, and
those images have faded over time. The Genealogy Program would make
every effort to produce the best possible reproduction of all microfilm
records. Accordingly, the program would provide researchers with a
record printed directly from the film rather than a copy of a print, or
a scanned copy of a print. Prints taken directly from the old microfilm
are generally the best quality copy available. In many cases,
researchers will find they can improve the legibility of microfilm
prints themselves using a photocopy machine's darker or lighter
settings. The Genealogy Program also will have the benefit in sharing
with enhanced technology as it is implemented in the USCIS Records
program.
F. Fee Waivers
Due to the small amount of the fees, the normally discretionary
nature of these requests, and the general authority of section 286(t)
of the INA, 8 U.S.C. 1356(t), to recover full costs, DHS has determined
that fee waivers will not be granted in this program.
Part V--Regulatory Requirements
A. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA) (5 U.S.C. 605(b)), as amended
by the Small Business Regulatory Enforcement and Fairness Act of 1996,
requires an agency to prepare and make available to the public a
regulatory flexibility analysis that describes the effect of the rule
on small entities (i.e., small businesses, small organizations, and
small governmental jurisdictions). Section 605 of the RFA allows an
agency to certify a rule, in lieu of preparing an analysis, if the
proposed rulemaking is not expected to have a significant economic
impact on a substantial number of small entities.
This proposed rule affects professional genealogists and other
members of the public requesting historical records from USCIS. As
discussed below, the main source of genealogy requests is from
individuals doing personal research, rather than from small entities,
such as professional genealogists. Genealogy was described as a $200
million per year industry by The Wall Street Journal, ranging from
individual researchers to multimillion-dollar companies; in addition,
the growth of the Internet has spurred interest and a rapidly growing
number of hobbyists pursuing genealogy. According to the ``Occupational
Outlook Quarterly,'' (Bureau of Labor Statistics, Fall 2000), a 1997
survey of certified genealogists found that 57 percent work part-time,
34 percent work full-time, and 9 percent are hobbyists. In 2001 there
were over 300 certified genealogists and currently, the Association of
Professional Genealogists has a membership of 1,500 (https://
www.apgen.org/publications/press/1500.htm). As the National
Genealogical Society notes, ``Aside from librarians, archivists, and
publishers, most professional genealogists have other sources of income
and may `moonlight' as genealogists until they become established.
Those who make a living purely from client research in genealogy
probably number no more than a few dozen.'' (https://
www.ngsgenealogy.org/eduprofessional.htm)
With the growth of the Internet in recent years, the number of
individuals and hobbyists has grown at a much faster rate. In fact,
https://www.myfamily.com, one of the larger online information sources
for genealogy, announced in 2004 a paid subscriber base of more then
1.5 million
[[Page 20364]]
members. Much of the growth in genealogy as a sector arises from
providing individuals the means of conducting their own family history
research through online databases and research tools. The growing
dominance of individual hobbyists suggests that individuals rather than
professionals are the primary requesters of historical records.
Professional genealogists tend to be hired when individuals hit a
``brick wall,'' or a particular problem that they cannot resolve. This
suggests that professional researchers tend to focus on aspects of
genealogy research other than the standard index searches or record
requests that would be submitted to USCIS's Genealogy Program.
Over the past 4 years, USCIS has received an average of 10,000
combined index search and/or records requests for historical records
per year. Each request for an index search, record search, or both an
index and record search was counted as one request to make up the
10,000. Based on an estimated increase in the demand for historical
information, and the fact that the Genealogy Program will treat index
search requests and records requests as separate rather than combined
requests, DHS expects total requests to reflect a significantly higher
number than when the FOIA Program handled genealogical requests. DHS
estimates that it will receive 15,250 index search requests, 6,619
requests for microfilm records, and 4,728 requests for textual records
for a combined total of 26,597 requests, totaling a cost ranging from
$468,832 to $1,232,895 under the proposed fee structure.
DHS has determined that requests for historical records are being
made by individuals and has not found any evidence that professional
genealogists submit FOIA requests to USCIS for their clients. If
professional genealogists and researchers have submitted such requests,
they are not identifying themselves as a commercial requester and thus
cannot be segregated in the data. Genealogists typically advise clients
on how to submit their own requests. Reasons for this practice include
the time required for a response to the request and the belief that
records are more releasable to a relative rather than an unrelated
third party. Based on discussions with professional genealogists,
requests generated by professional genealogists and researchers who
fall under the approved definition from the Small Business Association
of a small entity in this category, All Other Professional, Scientific,
and Technical Services with annual average receipt of $6 million or
less, are well below 5 percent of the total number of requests. If it
is assumed that professional genealogists and researchers account for 5
percent of the requests, and these costs are borne exclusively by the
1,500 members of the Association of Professional Genealogists, the
average impact would be $28.49 per year. The average impact would be
even lower still once the universe of professional genealogists is
expanded to include entities who are not members of the Association of
Professional Genealogists.
These practices arise from the nature of the genealogy sector.
Professional genealogists charge anywhere from $10 to $100 per hour,
with an average of $30 to $60 per hour, according to the Association of
Professional Genealogists (https://www.apgen.org/articles/hire.html).
Expenses, such as record requests and copies, often are charged to the
client as an additional expense. Specialists typically charge a
relatively higher fee (https://www.progenealogists.com/compare.htm). In
addition, many professionals require a retainer of $300 to $500. See
Sue P. Morgan, ``What You Should Know before Hiring a Professional
Genealogist,'' available at https://www.genservices.com/docs/
HiringAPro.htm. Depending on the depth of the research, the fees for a
genealogical study can be substantial. At a retainer of $300, the
proposed fee range of $16 to $45 for an index search by the
Genealogical Program is only 5.3 to 15 percent of the retainer, and it
is typically paid directly by the client, not the researcher. This does
not suggest a substantial burden on researchers. Given the low number
of professional genealogists and researchers that would be impacted by
this rule, the resulting degree of economic impact would not require a
Regulatory Flexibility Analysis to be performed. Consequently, DHS
certifies that this proposed rule will not have a significant economic
impact on a substantial number of small entities.
B. Unfunded Mandates Reform Act of 1995
This proposed 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 will not
significantly or uniquely effect small governments. Therefore, no
actions were deemed necessary under the provisions of the Unfunded
Mandates Reform Act of 1995.
C. Small Business Regulatory Enforcement Fairness Act of 1996
This proposed rule is not a major rule as defined by section 804 of
the Small Business Regulatory Enforcement Act of 1996. This proposed
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. In
the previous four fiscal years, USCIS received an average of 10,000
combined search and record requests that fell under the definition of
genealogy. To do a search and provide a record for each of these
requests, USCIS would generate between $468,832 to $1,232,895 in
offsetting revenue. These requests are currently handled through the
USCIS FOIA/PA program at no recoverable cost to USCIS. Private vendors
also do genealogical research and there are various historical
documents maintained by private companies. The Genealogy Program will
have no impact on these companies since we are only offering the same
legacy INS documents as we provided previously at no charge.
D. Executive Order 12866
Executive Order 12866, ``Regulatory Planning and Review'' (58 FR
51735, October 4, 1993), requires a determination whether a regulatory
action is ``significant'' and therefore subject to review by OMB and
subject to the requirements of the Executive Order. USCIS has
determined that this proposed rule is a ``significant regulatory
action'' under Executive Order 12866, section 3(f). Accordingly, it has
been submitted to OMB for review and approval.
USCIS assessed both the costs and benefits of this proposed rule as
required by Executive Order 12866, section 1(b)(6), and has determined
that the benefits of this regulation justify its costs. The anticipated
benefits of this proposed rule include: (1) Relieve the FOIA/PA program
from burdensome requests that require no FOIA/PA expertise; (2) place
requesters and the Genealogy staff in direct communication; (3) provide
a dedicated queue and point of contact for genealogists and other
researchers seeking access to those records described as historical
records; (4) generate sufficient revenue to cover expenses as a fee for
service program and, (5) reduce the time to respond to these requests.
[[Page 20365]]
The cost to the public of this proposed rule ranges from a $16 to
$45 fee for index search requests, $16 to $45 fee for requests for a
copy of a file on microfilm, or $26 to $55 fee for requests for a copy
of a textual file. USCIS is authorized to charge a fee to recover the
full costs of providing research and information services under section
286(t) of the INA, 8 U.S.C. 1356(t). Other sources exist for many types
of genealogical research and it is not evident that every search by a
genealogist would require access to the Genealogy Program at USCIS.
Based upon these proposed fees, it is possible to approximate the
impact of fees on individual and professional genealogists and
researchers. USCIS expects to receive in the future approximately
15,250 genealogical (name) index search requests per year, which, at
$16 to $45 per search, would yield $240,000 to $675,000; in addition,
there would be a total of 6,619 requests for microfilmed records and
4,728 requests for textual records (i.e., hard copy files). A fee range
of $16 to $45 for microfilmed records would yield $105,904 to $297,855.
A fee range of $26 to $55 to pull textual records would yield $122,928
to $260,040. Therefore, the total fees collected by the Genealogy
Program would yield $468,832 to $1,232,895.
Establishing the new Genealogy Program will benefit both
individuals and researchers making genealogy requests for historical
records as well those seeking information under the current FOIA/PA
program by allowing a more timely response for both sets of requests.
USCIS estimates that it processed an average of 10,000 combined index
search and record requests for genealogical information over the past 4
fiscal years through the existing FOIA/PA program. These can be
released without redaction or withholding, eliminating the need for
FOIA/PA analysis. A new program specifically designed to handle these
requests would expedite the process and improve services to historical
researchers, genealogists and the general public. For example, the
proposed rule does not increase information collection requirements of
the rule. In fact, the introduction of e-filing presents an opportunity
to simplify the information collection process and expedite handling.
At the same time, the resources of the FOIA/PA program could be applied
more efficiently to requests more directly related to immigration,
citizenship, or naturalization benefits that require more detailed
FOIA/PA analysis.
E. Executive Order 13132
Executive Order 13132 requires DHS to develop a process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have Federalism implications.''
Such policies are defined in the Executive Order to include rules that
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.''
USCIS analyzed this proposed rule in accordance with the principles
and criteria in the Executive Order and has determined that it would
not have a substantial direct effect on the States, on the relationship
between the national government and the States, or on the distribution
of power and responsibilities among the various levels of government.
Therefore, USCIS has determined that this proposed rule does not have
federalism implications. It provides for alternate document handling
procedures that do not implicate state government.
F. Executive Order 12988
This proposed rule meets the applicable standards set forth in
sections 3(a) and 3(b)(2) of Executive Order 12988. That Executive
Order requires agencies to conduct reviews, before proposing
legislation or promulgating regulations, to determine the impact of
those proposals on civil justice and potential issues for litigation.
The Executive Order requires that agencies make reasonable efforts to
ensure the regulation clearly identifies preemptive effects, effects on
existing Federal laws and regulations, identifies any retroactive
effects of the proposal, and other matters. DHS has determined that
this proposed regulation meets the requirements of Executive Order
12988 because it does not involve retroactive effects, preemptive
effects, or other matters addressed in the Order.
G. Paperwork Reduction Act
This proposed rule requires the submission of Form G-1041 or Form
G-1041A when requesting a search or record from the USCIS. The Forms G-
1041 and G-1041A are considered an information collection. Accordingly,
the Department of Homeland Security, U.S. Citizenship and Immigration
Services has submitted the following information collection request for
review and clearance in accordance with the Paperwork Reduction Act of
1995. The information collection is published to obtain comments from
the public and affected agencies. Comments are encouraged and will be
accepted for sixty days until June 19, 2006.
Written comments and/or suggestions regarding the item(s) contained
in this notice, especially regarding the estimated public burden and
associated response time, should be directed to the Department of
Homeland Security (DHS), USCIS, Director, Regulatory Management
Division, Clearance Office, 111 Massachusetts Avenue, 3rd floor,
Washington, DC 20529. Comments may also be submitted to DHS via
facsimile to 202-272-8352 or via e-mail at rfs.regs@dhs.gov. When
submitting comments by e-mail please make sure to add Form Number G-
1041 or G-1041A (whichever is appropriate) in the subject box. Written
comments and suggestions from the public and affected agencies should
address one or more of the following four points:
(1) Evaluate whether the collection of information is necessary for
the proper performance of the functions of the agency, including
whether the information will have practical utility;
(2) Evaluate the accuracy of the agencies estimate of the burden of
the collection of information, including the validity of the
methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses.
Overview of This Information Collection
(1) Type of Information Collection: New information Collection.
(2) Title of the Form/Collection: Genealogy Search Request and
Genealogy Record Request.
(3) Agency form number, if any, and the applicable component of the
Department of Homeland Security sponsoring the collection: Form G-1041,
and G-1041A, U.S. Citizenship and Immigration Services.
(4) Affected public who will be asked or required to respond, as
well as a brief abstract: Primary: Individuals and households. Form G-
1041 is provided as a convenient means for persons to provide data
necessary to perform a search of historical agency indices. Form G-
1041A provides a convenient means for persons to identify a particular
record desired under the
[[Page 20366]]
Genealogy Program. Forms G-1041 and G-1041A will be used by
researchers, historians, and social scientists seeking ancestry
information for genealogical, family history and heir location
purposes. The forms may also be used by United States citizens seeking
historical records to support a foreign application for dual
citizenship.
(5) An estimate of the total number of respondents and the amount
of time estimated for an average respondent to respond: 16,000
responses (Form G-1041, 10,000 responses, and Form G-1041A, 6,000
responses) at 30 minutes (.50) per response.
(6) An estimate of the total public burden (in hours) associated
with the collection: 8,000 annual burden hours.
If you have additional comments, suggestions, or need a copy of the
proposed information collection instrument with instructions, or
additional information, please visit the USCIS Web site at: https://
uscis.gov/graphics/formsfee/forms/pra/index.htm.
If additional information is required, contact: USCIS, Regulatory
Management Division, 111 Massachusetts Avenue, 3rd Floor, Washington,
DC 20529, (202) 272-8377.
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 299
Immigration, Reporting and recordkeeping requirements.
Accordingly, chapter I of title 8 of the Code of Federal
Regulations is proposed to be 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, 552(a); 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 is amended by:
Adding the entries ``G-1041'' and ``G-1041A'', in proper
alpha/numeric sequence, in paragraph (b)(1); and by
Revising the next to last sentence in Paragraph (c)(1).
The additions and revisions read as follows:
Sec. 103.7 Fees.
* * * * *
(b) * * *
(1) * * *
* * * * *
Form G-1041. For filing requests for searches of indices to
historical records to be used in genealogical research. There is a fee
of $16 to $45 for each index search request.
Form G-1041A. For filing requests for copies of historical records
to be used in genealogical research. There is a fee of $16 to $45 for
each file copy from microfilm requested and a fee of $26 to $55 for
each textual file copy requested.
* * * * *
(c) * * *
(1) * * * The fees for Form I-907, Request for Premium Processing
Services, and for Forms G-1041 and G-104A, Genealogy Program request
forms, may not be waived.
* * * * *
3. Section 103.38 is added to read as follows:
Sec. 103.38 Genealogy program.
(a) Purpose. The Department of Homeland Security, (DHS) U.S.
Citizenship and Immigration Services (USCIS) Genealogy Program is a
fee-for-service program designed to provide genealogical and historical
records and reference services to genealogists, historians, and others
seeking documents maintained within the historical record systems.
(b) Scope and limitations. Sections 103.38 through 103.41 comprise
the regulations of the Genealogy Program. The regulations apply only to
searches of and records maintained within those record series
determined by the Genealogy Program Office (GPO) to be historical
records as described in 8 CFR 103.39. The regulations set forth the
procedures by which individuals may reque
