[Federal Register Volume 71, Number 76 (Thursday, April 20, 2006)]
[Proposed Rules]
[Pages 20357-20368]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-5947]


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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.

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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: http://www.regulations.gov. 
Follow the instructions for submitting comments.

[[Page 20358]]

     E-mail: You may submit comments directly to USCIS by e-
mail at [email protected]. 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 http://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 http://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 http://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 (http://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.'' (http://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, 
http://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 (http://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 (http://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 http://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 [email protected]. 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: http://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 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:


Sec.  103.39  Historical records.

    Historical Records are files, forms, and documents now located 
within the following records series:
    (a) Naturalization Certificate Files (C-Files), 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 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

[[Page 20367]]

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:


Sec.  103.40  Genealogical research requests.

    (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.
    (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:


Sec.  103.41  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:


Sec.  299.1  Prescribed forms.

* * * * *

------------------------------------------------------------------------
          Form No.                Edition date              Title
------------------------------------------------------------------------
 
                              * * * * * * *
G-1041......................  ....................  Genealogy Search
                                                     Request.
G-1041A.....................  ....................  Genealogy Records
                                                     Request.
 
                              * * * * * * *
------------------------------------------------------------------------

    9. Section 299.5 is amended in the table by adding Form ``G-1041'' 
and Form ``G-1041A'', in proper alpha/numeric sequence, to read as 
follows:


Sec.  299.5  Display of control numbers.

* * * * *

[[Page 20368]]



------------------------------------------------------------------------
                                                              Currently
                                                               assigned
             Form No.                     Form title         OMB control
                                                                 No.
------------------------------------------------------------------------
 
                              * * * * * * *
G-1041...........................  Genealogy Search Request    1615-XXXX
G-1041A..........................  Genealogy Records           1615-XXXX
                                    Request.
 
                              * * * * * * *
------------------------------------------------------------------------


    Dated: April 13, 2006.
Michael Chertoff,
Secretary.
 [FR Doc. E6-5947 Filed 4-19-06; 8:45 am]
BILLING CODE 4410-10-P