Extract data from categories.ipynb

{
 "cells": [
  {
   "cell_type": "markdown",
   "metadata": {},
   "source": [
    "### This code extracts documents and related comments from documents in different categories. There are 10 categories in regulation.gov"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 1,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "from pickle import dump, load\n",
    "import pandas\n",
    "import requests\n",
    "import urllib.request\n",
    "from bs4 import BeautifulSoup\n",
    "import PyPDF2\n",
    "api_key = 'b5Uc6UQwdVYBhNV20O11AZFc6s2cMZ8tpYrUc9tV' # has increased rate of 2500 -- 1247 comments at a time"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 2,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "def read_file_get_docid(filepath):\n",
    "    dump_df = load(open(filepath,'rb'))\n",
    "    df_with_comments = dump_df[dump_df.numberOfCommentsReceived > 0]\n",
    "    df_with_comments =df_with_comments.sort(['numberOfCommentsReceived'], ascending=[False])\n",
    "    doc_id = df_with_comments.documentId\n",
    "    doc_type = df_with_comments.documentType\n",
    "    #return [doc_id,set(doc_type)]\n",
    "    return df_with_comments"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 16,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "name": "stdout",
     "output_type": "stream",
     "text": [
      "{'Proposed Rule', 'Rule', 'Other', 'Notice'}\n"
     ]
    },
    {
     "name": "stderr",
     "output_type": "stream",
     "text": [
      "/Users/kinshuk/anaconda/lib/python3.5/site-packages/ipykernel/__main__.py:4: FutureWarning: sort(columns=....) is deprecated, use sort_values(by=.....)\n"
     ]
    },
    {
     "data": {
      "text/plain": [
       "4421"
      ]
     },
     "execution_count": 16,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "# [doc_id_list,types] = read_file_get_docid('data/AD_doc_list') #choose the category dump file\n",
    "# print(types)\n",
    "# # document ID with 4 parts represent documents. 3 parts represent dockets \n",
    "# doc_ids = [doc_id for doc_id in doc_id_list if len(doc_id.split('-')) == 4]\n",
    "# len(doc_ids)"
   ]
  },
  {
   "cell_type": "markdown",
   "metadata": {},
   "source": [
    "### Using regulations.gov API\n",
    "* We need to use the API to retrieve each document content. This API will use document_id that we extracted from the file above.\n",
    "* For each document_id, we will need to construct comment_id based on the total number of comments on it."
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 3,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "def download_file(download_url):\n",
    "    try:\n",
    "        response = urllib.request.urlopen(download_url)\n",
    "        file = open(\"document.pdf\", 'wb')\n",
    "        file.write(response.read())\n",
    "        file.close()\n",
    "    except:\n",
    "        print(\"(downloading the pdf exception)error log\" +  download_url)\n",
    "    \n",
    "def get_attached_comments(comment_id, key=api_key):\n",
    "    #print(each_id) # fro debugging\n",
    "    #open the api to get file url\n",
    "    url = \"http://api.data.gov:80/regulations/v3/document.json?api_key=\"+key+\"&documentId=\"+comment_id\n",
    "    try:\n",
    "        response = requests.get(url)\n",
    "    except:\n",
    "        print(\"(api opening of attached comment exception)error log\" +  url)\n",
    "        return \"\"\n",
    "    if response.status_code != 200:\n",
    "        print(\"status code \" +str(response.status_code)+\" (get_attached_comments) program will break at this point which is ok because we dont need inconsistent data. Run again \")\n",
    "    data = response.json()\n",
    "    att_count = 0\n",
    "    for i in range(len(data[\"attachments\"])):\n",
    "        if \"fileFormats\" in data[\"attachments\"][i]:\n",
    "            att_count = len(data[\"attachments\"][0][\"fileFormats\"])\n",
    "    comment_text =\"\"\n",
    "    for i in range(att_count):\n",
    "        if data[\"attachments\"][0][\"fileFormats\"][i].endswith(\"pdf\"):\n",
    "            link = data[\"attachments\"][0][\"fileFormats\"][i] \n",
    "            access_link = link+'&api_key='+key\n",
    "            #download file(pdf) and read pdf (page by page)\n",
    "            download_file(access_link)\n",
    "            pdfFileObj = open('document.pdf','rb')     #'rb' for read binary mode\n",
    "            try:\n",
    "                pdfReader = PyPDF2.PdfFileReader(pdfFileObj)\n",
    "                pno = pdfReader.numPages\n",
    "                for i in range(pno):\n",
    "                    pageObj = pdfReader.getPage(i)          #'i' is the page number\n",
    "                    comment_text += pageObj.extractText()\n",
    "            except:\n",
    "                print(\"(pdf exception)cant read \"+comment_id ) # prints in case we are not able to read file\n",
    "            break # execute the whole thing for 1st found pdf\n",
    "    return comment_text"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 4,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "def get_document_comments_from_api(docketId,key=api_key):\n",
    "    offset=0\n",
    "    url = \"http://api.data.gov:80/regulations/v3/documents.json?api_key=\"+key+\"&countsOnly=1&dct=PS&dktid=\"+docketId\n",
    "    try:\n",
    "        response = requests.get(url)\n",
    "    except:\n",
    "        print(\"(api opening comment count)error log\"+url) # prints in case we are not able to read file\n",
    "    if response.status_code != 200:\n",
    "        print(\"status code\"+str(response.status_code) + \" (get_document_comments_from_api) program will break at this point which is ok because we dont need inconsistent data. Run again\")\n",
    "    data = response.json()\n",
    "    total = data['totalNumRecords']\n",
    "    com_list =[]\n",
    "    for i in range(0,total,1000):\n",
    "        url = \"http://api.data.gov:80/regulations/v3/documents.json?api_key=\"+key+\"&countsOnly=0&&rpp=1000&po=\"+str(i)+\"&dct=PS&dktid=\"+docketId\n",
    "        try:\n",
    "            response = requests.get(url)\n",
    "        except:\n",
    "            print(\"(api opening actual comments)error log\"+url) # prints in case we are not able to read file\n",
    "        #print(\"Offset:\"+str(i)+\" Code:\"+str(response.status_code))\n",
    "        if response.status_code != 200:\n",
    "            print(response.status_code)\n",
    "        data = response.json()\n",
    "        com_list += data['documents']\n",
    "    com_df = pandas.DataFrame(com_list)\n",
    "    return com_df\n",
    "\n",
    "def get_document_content_from_api(docId,key=api_key):\n",
    "    url = \"http://api.data.gov:80/regulations/v3/document.json?api_key=\"+key+\"&documentId=\"+docId\n",
    "    try:\n",
    "        response = requests.get(url)\n",
    "    except:\n",
    "         print(\"(api opening doc exception) error log\"+url)   \n",
    "    if response.status_code != 200:\n",
    "        print(\"status code \"+str(response.status_code)+\" (get_document_content_from_api) program will break at this point which is ok because we dont need inconsistent data. Run again\")\n",
    "    data = response.json()\n",
    "    \n",
    "    # Get HTML for document content\n",
    "    if(len(data['fileFormats']) == 2):    \n",
    "        link = data['fileFormats'][1] # The second link is the document in HTML format\n",
    "    else:\n",
    "        link = data['fileFormats'][0]\n",
    "    access_link = link+'&api_key='+key\n",
    "    \n",
    "    try:\n",
    "        with urllib.request.urlopen(access_link) as response:\n",
    "            html = response.read()\n",
    "    except:\n",
    "        print(\"doc file opening exception\")\n",
    "    \n",
    "    # We are interested in the pre tag of the HTML content\n",
    "    soup = BeautifulSoup(html, \"lxml\")\n",
    "    content = soup.find_all('pre')\n",
    "    \n",
    "    # Now we need to construct comment_id from document_id\n",
    "    docket_id = '-'.join(docId.split('-')[:3])\n",
    "    comment_df = get_document_comments_from_api(docket_id)\n",
    "    # get comment text where exists\n",
    "    comment_list =[]\n",
    "    if not comment_df.empty:\n",
    "        if \"commentText\" in comment_df:\n",
    "            comment_text =comment_df[comment_df.commentText.notnull()].commentText\n",
    "            comment_list =comment_text.tolist()\n",
    "        #get doc id where there is attchment\n",
    "        c_ids = comment_df[comment_df.attachmentCount>0].documentId\n",
    "        # get comment for each id in list\n",
    "        for each_id in c_ids.unique():\n",
    "            comment_list.append(get_attached_comments(each_id))\n",
    "    doc_dict = {\n",
    "        \"text\":content,\n",
    "        \"comment_list\":comment_list\n",
    "    }\n",
    "    return doc_dict"
   ]
  },
  {
   "cell_type": "markdown",
   "metadata": {},
   "source": [
    "#### Running it on one document"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 9,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "# data format is array of dicts\n",
    "def get_one_doc(name,docid):\n",
    "    #open file - get present data (empty to begin witj)\n",
    "    filepath = \"data/\"+name+\"_doc_content\"\n",
    "    inp =open(filepath,'rb')\n",
    "    doc_collection = load(inp)\n",
    "    inp.close()\n",
    "    #get that one doc\n",
    "    #resp = get_document_content_from_api(docid)\n",
    "    doc_collection.append(docid)\n",
    "    #put back in file \n",
    "    output = open(filepath, 'wb')\n",
    "    dump(doc_collection, output, -1)\n",
    "    output.close()\n"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 15,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "# run this line once every 1 hr\n",
    "get_one_doc(\"Master2\",one_dc)"
   ]
  },
  {
   "cell_type": "markdown",
   "metadata": {
    "collapsed": false
   },
   "source": [
    "# BELOW THIS IS TESTING, NOT NEEDED TO GET DOCUMENT AND COMMENTS CURRENTLY"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 12,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "name": "stderr",
     "output_type": "stream",
     "text": [
      "PdfReadWarning: Xref table not zero-indexed. ID numbers for objects will be corrected. [pdf.py:1736]\n"
     ]
    }
   ],
   "source": [
    "one_dc=get_document_content_from_api('SBA-2010-0001-0001')"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 14,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "[<pre>\n",
       " [Federal Register: March 4, 2010 (Volume 75, Number 42)]\n",
       " [Proposed Rules]               \n",
       " [Page 10029-10058]\n",
       " From the Federal Register Online via GPO Access [wais.access.gpo.gov]\n",
       " [DOCID:fr04mr10-29]                         \n",
       " \n",
       " \n",
       " [[Page 10029]]\n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " Part II\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " Small Business Administration\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " \n",
       " \n",
       " 13 CFR Parts 121, 127, and 134\n",
       " \n",
       " \n",
       " \n",
       " Women-Owned Small Business Federal Contract Program; Proposed Rule\n",
       " \n",
       " \n",
       " [[Page 10030]]\n",
       " \n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " SMALL BUSINESS ADMINISTRATION\n",
       " \n",
       " 13 CFR Parts 121, 127, and 134\n",
       " \n",
       " RIN 3245-AG06\n",
       " \n",
       "  \n",
       " Women-Owned Small Business Federal Contract Program\n",
       " \n",
       " AGENCY: Small Business Administration.\n",
       " \n",
       " ACTION: Notice of proposed rulemaking; withdrawal of proposed rule.\n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " SUMMARY: The U.S. Small Business Administration (SBA) proposes to amend \n",
       " its regulations governing small business contracting procedures. This \n",
       " Proposed Rule would amend part 127, that was promulgated in a Final \n",
       " Rule on October 1, 2008, and entitled ``The Women-Owned Small Business \n",
       " Federal Contract Assistance Procedures,'' RIN 3245-AF40. This Proposed \n",
       " Rule would implement procedures authorized by the Small Business Act \n",
       " (Act) (Pub. L. 85-536, as amended) to help ensure a level playing field \n",
       " on which Women-Owned Small Businesses (WOSBs) can compete for Federal \n",
       " contracting opportunities. SBA proposes changes to part 127 that \n",
       " include eliminating the requirement for an agency-by-agency \n",
       " determination of discrimination, adopting both ``numbers'' and \n",
       " ``dollars'' measures of underrepresentation, and using the Fiscal Year \n",
       " 2006 Central Contractor Registration (CCR) database as the data source \n",
       " for determining eligible industries under the WOSB Program. This \n",
       " Proposed Rule thus identifies the eligible industries under the Program \n",
       " as those industries in which WOSBs are underrepresented or \n",
       " substantially underrepresented using either the numbers or the dollars \n",
       " approach. This Proposed Rule seeks to retain, for the most part, parts \n",
       " 121 and 134 of the Final Rule published on October 1, 2008, titled \n",
       " ``The Women-Owned Small Business Federal Contract Assistance \n",
       " Procedures,'' RIN 3245-AF40; these portions of the rule govern various \n",
       " implementation procedures of the Program, as more fully discussed \n",
       " below.\n",
       "     In addition, SBA is withdrawing its proposed rule entitled ``The \n",
       " Women-Owned Small Business Federal Contract Assistance Procedures,'' \n",
       " which was published on October 1, 2008, in the Federal Register \n",
       " together with a request for comments on two data sets used to determine \n",
       " the eligible industries under the WOSB Program.\n",
       " \n",
       " DATES: \n",
       "     Date of Withdrawal: The proposed rule published on October 1, 2008, \n",
       " in the Federal Register at 73 FR 57014 is withdrawn as of March 4, \n",
       " 2010.\n",
       "     Comment Date: Submit comments on or before May 3, 2010.\n",
       " \n",
       " ADDRESSES: You may submit comments, identified by 3245-AG06, by any of \n",
       " the following methods:\n",
       "     <bullet> Federal eRulemaking Portal: <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.regulations.gov\">http://www.regulations.gov</a>. \n",
       " Follow the instructions for submitting comments.\n",
       "     <bullet> Mail, Hand Delivery/Courier: Dean Koppel, Assistant \n",
       " Director, Office of Policy and Research, Office of Government \n",
       " Contracting, U.S. Small Business Administration, 409 Third Street, SW., \n",
       " Washington, DC 20416.\n",
       "     All comments will be posted on <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.regulations.gov\">http://www.regulations.gov</a>. If you \n",
       " wish to submit confidential business information (CBI) as defined in \n",
       " the User Notice at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.regulations.gov\">http://www.regulations.gov</a>, please submit the \n",
       " comments to Dean Koppel and highlight the information that you consider \n",
       " to be CBI and explain why you believe this information should be held \n",
       " confidential. SBA will make a final determination as to whether the \n",
       " comments will be published or not.\n",
       " \n",
       " FOR FURTHER INFORMATION CONTACT: Dean Koppel, Assistant Director, \n",
       " Office of Policy and Research, Office of Government Contracting, U.S. \n",
       " Small Business Administration, 409 Third Street, SW., Washington, DC \n",
       " 20416.\n",
       " \n",
       " SUPPLEMENTARY INFORMATION: \n",
       " \n",
       " I. Background\n",
       " \n",
       "     On December 21, 2000, Congress enacted the Small Business \n",
       " Reauthorization Act of 2000, Public Law 106-554. Section 811 of that \n",
       " Act addressed the difficulties women-owned businesses have endured in \n",
       " competing for Federal procurement contracts by adding a new section \n",
       " 8(m), 15 U.S.C. 637(m), authorizing Federal contracting officers to \n",
       " restrict competition to eligible Women-Owned Small Businesses (WOSBs) \n",
       " for Federal contracts in certain industries. The law responds to \n",
       " decades of sex discrimination that have inhibited the ability of women \n",
       " to form firms and then to compete equally for contracts. By providing \n",
       " small, women-owned businesses an opportunity to gain a critical \n",
       " foothold in the Federal procurement market, the statute helps WOSBs \n",
       " overcome the economic barriers they have faced and helps ensure that \n",
       " the Federal government does not perpetuate the effects of economic sex \n",
       " discrimination.\n",
       "     In enacting this statute, Congress acted against a backdrop of \n",
       " discrimination against women that has been examined in Congressional \n",
       " hearings over many years and which persists to this day, as well as a \n",
       " history of largely unsuccessful Federal attempts to remedy that \n",
       " discrimination and provide a level playing field for WOSBs to compete \n",
       " for Federal contracts. Women-owned firms have been persistently \n",
       " underrepresented in Federal procurement contracting. For example, in \n",
       " 1979, when Executive Order 12138\n",
       " \n",
       " charged Federal agencies with responsibility for providing \n",
       " procurement assistance to women-owned businesses, WOSBs received \n",
       " only 0.2% of all Federal procurements.\n",
       " \n",
       " LaLa Wu and Kate Collier, The National Plan of Action: Then and Now, \n",
       " Bella Abzug Leadership Institute, Nov. 2007 (hereinafter referred to as \n",
       " National Plan of Action), publicly available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.abzuginstitute.org/NationalPlanofAction_ThenandNow-Final.pdf\">http://\n",
       " www.abzuginstitute.org/NationalPlanofAction_ThenandNow-Final.pdf</a>.\\1\\ \n",
       " In the nine succeeding years (through 1989), the percentage of WOSB \n",
       " Federal procurements grew to 1 percent. See id. In later years,\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\1\\ In 1988, the Women's Business Ownership Act, Public Law 100-\n",
       " 588 (Oct. 25, 1988), ``was enacted to assist women in starting, \n",
       " managing and growing small businesses.'' Ibid. The National Plan of \n",
       " Action reported that ``while this program has assisted thousands of \n",
       " women in obtaining business financing and information, it has had \n",
       " less success'' at increasing the percentage of the total value of \n",
       " all prime contract and subcontract awards going to WOSBs or \n",
       " increasing the WOSB share in the economy because WOSBs have not \n",
       " experienced a proportional increase in their share of Federal \n",
       " contracting dollars. Subsequently, in 1994, section 7106 of the \n",
       " Federal Acquisition Streamlining Act (FASA), Public Law 103-355, \n",
       " ``amended the Small Business Act by establishing a target that was \n",
       " aimed at increasing opportunities for women to compete for Federal \n",
       " contracts.'' Id. ``FASA, among other things, established a \n",
       " government-wide goal for participation by WOSBs in procurement \n",
       " contracts of not less than 5 percent of the total value of all prime \n",
       " contract and subcontract awards for each fiscal year.'' Ibid. That \n",
       " goal has not been reached to date.\n",
       " \n",
       " [a]lthough the growth rate in the number of women-owned small \n",
       " businesses (WOSBs) was almost twice that of all firms between 1997 \n",
       " and 2002, WOSBs [did] not experience[] a proportional increase in \n",
       " ---------------------------------------------------------------------------\n",
       " their share of Federal contracting dollars.\n",
       " \n",
       " See id.\n",
       " \n",
       "     Evidence presented to Congress shows that women-owned firms \n",
       " continue to be significantly underrepresented in Federal \n",
       " contracting.\\2\\ In 2002, for example, there\n",
       " \n",
       " [[Page 10031]]\n",
       " \n",
       " were 6.5 million women-owned firms in the United States, which \n",
       " accounted for 28.2 percent of all non-farm businesses in the United \n",
       " States. See SBA Office of Advocacy, Women in Business: A Demographic \n",
       " Review of Women's Business Ownership, 2007 (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/advo/research/rs280tot.pdf\">http://\n",
       " www.sba.gov/advo/research/rs280tot.pdf</a>). Despite this presence, \n",
       " however, the share of women-owned small business prime contract awards \n",
       " (in dollar terms) was 2.9 percent in FY 2002 and 3.39 percent in FY \n",
       " 2008. See Federal Procurement Data System/Next Generation (available at \n",
       " <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.fpds.gov/fpdsng_cms/\">http://www.fpds.gov/fpdsng_cms/</a>).\\3\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\2\\ This underrepresentation is mirrored by disparities that \n",
       " women-owned firms face in the marketplace more generally. See, e.g., \n",
       " Opportunities and Challenges for Women Entrepreneurs on the 20th \n",
       " Anniversary of the Women's Business Ownership Act: Roundtable Before \n",
       " the S. Comm. on Small Business and Entrepreneurship, 110th Cong. 3 \n",
       " (2008) (available at <a href=\"http://www.access.gpo.gov/congress/Senate/Senate17ch110.html\">http://www.access.gpo.gov/congress/Senate/\n",
       " Senate17ch110.html</a>); Expanding Opportunities for Women \n",
       " Entrepreneurs: The Future of Women's Small Business Programs: \n",
       " Hearing Before the S. Comm. on Small Business and Entrepreneurship, \n",
       " 110th Cong. 2 (2007) (statement of the Hon. John F. Kerry, Chairman \n",
       " and Sen. from Massachusetts) (stating that ``women owned small \n",
       " businesses still continue to have markedly lower revenue and fewer \n",
       " employees than firms, even comparable ones, owned by men'') \n",
       " (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://sbc.senate.gov/hearings/20070920.cfm\">http://sbc.senate.gov/hearings/20070920.cfm</a>); Women in \n",
       " Business: Leveling the Playing Field: Roundtable Before the S. Comm. \n",
       " on Small Business and Entrepreneurship, 110th Cong. 8 (2008) \n",
       " (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://sbc.senate.gov/hearings/20080319.cfm\">http://sbc.senate.gov/hearings/20080319.cfm</a>).\n",
       "     \\3\\ See also Small Business Administration, FY 2008 Official \n",
       " Goaling Report; Small Business Administration (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/aboutsba/sbaprograms/goals/index.html\">http://\n",
       " www.sba.gov/aboutsba/sbaprograms/goals/index.html</a> (last visited \n",
       " February 12, 2010).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Substantial academic literature and evidence presented to Congress \n",
       " demonstrates that women face discrimination both in the ability to form \n",
       " and grow their businesses and in the treatment they receive in \n",
       " contracting markets.\\4\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\4\\ See, e.g., Women in Business: Leveling the Playing Field: \n",
       " Roundtable Before the S. Comm. on Small Business and \n",
       " Entrepreneurship, 110th Cong. 8 (2008) (discussing challenges facing \n",
       " women business owners) (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://sbc.senate.gov/hearings/20080319.cfm\">http://sbc.senate.gov/hearings/\n",
       " 20080319.cfm</a>); The Department of Transportation's Disadvantaged \n",
       " Business Enterprises Program: Hearing Before the H. Comm. on Transp. \n",
       " and Infrastructure, 111th Cong. 299 (2009) (statement of Joann \n",
       " Payne, President, Women First National Legislative Committee) \n",
       " (describing sex discrimination in business lending) (available at \n",
       " <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://transportation.house.gov/hearings/hearingdetail.aspx?NewsID=859\">http://transportation.house.gov/hearings/\n",
       " hearingdetail.aspx?NewsID=859</a>); Opportunities and Challenges for \n",
       " Women Entrepreneurs: Roundtable Before the S. Comm. on Small \n",
       " Business and Entrepreneurship, 110th Cong. 25 (2008) (detailing, \n",
       " among other things, sex discrimination in lending, and women's \n",
       " exclusion from informal business networks that are a crucial source \n",
       " of business opportunities) (available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://sbc.senate.gov/hearings/20080909.cfm\">http://sbc.senate.gov/\n",
       " hearings/20080909.cfm</a>); National Economic Research Associates, Inc., \n",
       " Race, Sex and Business Enterprise: Evidence from Memphis, Tennessee \n",
       " 100 (2008) (explaining that discrimination in the labor force \n",
       " reduces the future availability of women-owned businesses by \n",
       " limiting women's ability to obtain the kinds of employment \n",
       " experiences that are most likely to lead to entrepreneurial \n",
       " opportunities) (The Minority Business Development Agency: Enhancing \n",
       " the Prospects for Success: Hearing Before the H. Subcomm. on \n",
       " Commerce, Trade, and Consumer Protection of the H. Comm. on Energy \n",
       " and Commerce, 111th Cong. (2009) available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://energycommerce.house.gov/index.php?option=com_content%26view=article%26id=1772:the-minority-business-development-agency-enhancing-the-prospects-for-success%26catid=129:subcommittee-on-commerce-trade-and-consumer-protection%26Itemid=70\">http://\n",
       " energycommerce.house.gov/index.php?option=com_\n",
       " content&amp;view=article&amp;id=1772:the-minority-business-development-\n",
       " agency-enhancing-the-prospects-for-success&amp;catid=129:subcommittee-\n",
       " on-commerce-trade-and-consumer-protection&amp;Itemid=70</a>).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The following sections explain the operation of the Program.\n",
       " \n",
       " II. Section 8(m): The WOSB Program Legislation\n",
       " \n",
       "     Congress established the WOSB Program as a tool to enable \n",
       " contracting officers to identify and establish a sheltered market for \n",
       " competition among WOSBs for the provision of goods and services to the \n",
       " Federal Government. H.R. Rep. No. 106-879, at 2 (2000) (publicly \n",
       " available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://thomas.loc.gov/cgi-bin/cpquery/T?%26report=hr879%26dbname=106%26\">http://thomas.loc.gov/cgi-bin/cpquery/\n",
       " T?&amp;report=hr879&amp;dbname=106&amp;</a>). Consistent with these goals, section 8(m) \n",
       " of the Act authorizes contracting officers to restrict competition for \n",
       " ``any contract for the procurement of goods or services by the Federal \n",
       " Government'' to WOSBs under certain enumerated circumstances. 15 U.S.C. \n",
       " 637(m)(2). To be deemed a WOSB for purposes of section 8(m), a firm \n",
       " must be a ``small business concern owned and controlled by women.'' As \n",
       " defined in section 3(n) of the Act, this means that at least 51 percent \n",
       " of the concern must be owned by one or more women, and that the \n",
       " management and daily business operations of the concern must be \n",
       " controlled by one or more women. 15 U.S.C. 632(n).\n",
       "     Section 8(m) establishes six criteria that must be satisfied in \n",
       " order for a contracting officer to reserve an acquisition for WOSBs:\n",
       "     <bullet> First, each eligible concern must be not less than 51 \n",
       " percent owned by one or more women who are ``economically \n",
       " disadvantaged.'' However, SBA may waive this requirement of economic \n",
       " disadvantage if it determines that the concern is in an industry in \n",
       " which WOSBs are ``substantially underrepresented.''\n",
       "     <bullet> Second, the contracting officer must have a reasonable \n",
       " expectation that two or more WOSBs will submit offers for the contract.\n",
       "     <bullet> Third, the anticipated award price of the contract must \n",
       " not exceed $5 million in the case of manufacturing contracts and $3 \n",
       " million in the case of other contracts.\n",
       "     <bullet> Fourth, in the estimation of the contracting officer, the \n",
       " contract must be able to be awarded at a fair and reasonable price.\n",
       "     <bullet> Fifth, each competing concern must be duly certified by a \n",
       " Federal agency, a State government, or an SBA-approved entity as a \n",
       " WOSB, or must certify to the contracting officer and provide adequate \n",
       " documentation that it is a WOSB. The statute imposes penalties for a \n",
       " concern's misrepresentation of its status as a WOSB.\n",
       "     <bullet> Sixth, paragraph (2)(C) of the Act provides that the \n",
       " contract for which competition is restricted must be for the \n",
       " procurement of goods or services with respect to an industry identified \n",
       " by SBA ``pursuant to paragraph (3).'' However, the reference to \n",
       " paragraph (3) of the Act appears to be a drafting error that resulted \n",
       " from a floor amendment, and the intent of the provision appears to be \n",
       " to identify eligible contracts as those concerning an industry \n",
       " identified pursuant to paragraph (4).\\5\\ Thus, accounting for the \n",
       " apparent drafting error, the sixth condition for the restriction of \n",
       " Federal procurement contracts to WOSBs is that the contract be for the \n",
       " procurement of goods or\n",
       " \n",
       " [[Page 10032]]\n",
       " \n",
       " services with respect to an industry identified by SBA pursuant to the \n",
       " study mandated by paragraph (4) as one in which WOSBs are \n",
       " underrepresented with respect to Federal procurement contracting.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\5\\ Paragraph (3) as enacted permits SBA to waive the \n",
       " ``economically disadvantaged'' requirement for industries in which \n",
       " SBA has determined that WOSBs are substantially underrepresented. \n",
       " However, at the time that the WOSB bill was reported out of the \n",
       " House Committee on Small Business, then-paragraph (3) (eventually \n",
       " enacted as paragraph (4)) required the Administrator to conduct a \n",
       " study to identify industries in which WOSBs are underrepresented \n",
       " with respect to Federal procurement contracting. Thus, the House \n",
       " Committee viewed paragraph (2)(C) as requiring that contracts \n",
       " eligible for the 8(m) program be contracts ``for the procurement of \n",
       " goods and services in an industry identified by the Administrator of \n",
       " the Small Business Administration as one in which small business \n",
       " concerns owned and controlled by women are historically \n",
       " underrepresented.'' H.R. Rep. No. 106-879, at 4 (2000). There is \n",
       " nothing in the legislative history that indicates that Congress \n",
       " intended a different result.\n",
       "     In accord with the legislative history, and to give effect to \n",
       " each provision of the statute, SBA has concluded that paragraph \n",
       " (2)(C)'s reference to paragraph (3) is better understood as a \n",
       " reference to paragraph (4). Paragraph (2)(C) authorizes restricted \n",
       " competition with respect to industries ``identified'' by SBA \n",
       " pursuant to the referenced paragraph. Paragraph (4) uses the term \n",
       " ``identify,'' calling for SBA to conduct a study to ``identify'' \n",
       " industries in which WOSBs are underrepresented with respect to \n",
       " Federal procurement contracting. Paragraph (3), in contrast, does \n",
       " not use the term ``identify.''\n",
       "     Understanding the reference to paragraph (3) as a reference to \n",
       " paragraph (4) also preserves the independent effect of each \n",
       " paragraph in section 8(m), including paragraphs (2)(A) and (3). If, \n",
       " by contrast, paragraph (2)(C) were applied literally, it would \n",
       " generate several anomalies. For example, it would undercut paragraph \n",
       " (2)(A)'s requirement of economic disadvantage (the first condition \n",
       " discussed above), because restricted competition would apply only to \n",
       " industries for which SBA had waived the economic disadvantage \n",
       " requirement. Further, a literal reading of paragraph 2(C) would turn \n",
       " paragraph (3), which is clearly phrased as a waiver provision, into \n",
       " an affirmative condition for restricted competition, authorizing \n",
       " restricted competition only in industries in which WOSBs are \n",
       " ``substantially underrepresented.'' In addition, the literal \n",
       " application of paragraph (2)(C) would undercut paragraph (4), which \n",
       " requires SBA to conduct a study to identify industries in which \n",
       " WOSBs are ``underrepresented'' with respect to Federal procurement \n",
       " contracting. If restricted competition were permitted only in \n",
       " industries in which SBA had determined WOSBs to be ``substantially \n",
       " underrepresented,'' there would be no need for SBA to conduct a \n",
       " study to determine underrepresentation (as opposed to substantial \n",
       " underrepresentation).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Based on its understanding of the meaning and intent of section \n",
       " 8(m) read as a whole, SBA interprets the statute to authorize \n",
       " restricted competition for industries in which it has determined WOSBs \n",
       " to be underrepresented or substantially underrepresented in Federal \n",
       " procurements, provided the other conditions of section 8(m) are met. \n",
       " This Proposed Rule is drafted accordingly.\n",
       " \n",
       " III. The RAND Report\n",
       " \n",
       "     Shortly after section 8(m) was enacted, and pursuant to the \n",
       " requirement of paragraph (4) of the law, SBA, using its own internal \n",
       " resources, conducted a study to identify the industries in which WOSBs \n",
       " are underrepresented with respect to Federal procurement contracting. \n",
       " SBA initially completed its study in September 2001, and contracted \n",
       " with the National Academy of Sciences (NAS) to review the study before \n",
       " publication. In March of 2005, the National Research Council, which \n",
       " functions under the auspices of the NAS and other National Academies, \n",
       " issued an independent evaluation concluding that SBA's study was flawed \n",
       " and offering various recommendations for a revised study. In response \n",
       " to this evaluation, SBA issued a solicitation in October 2005 seeking a \n",
       " contractor to perform a revised study in accordance with the NAS \n",
       " recommendations. In February 2006, SBA awarded a contract to the \n",
       " Kauffman-RAND Institute for Entrepreneurship Public Policy (RAND) to \n",
       " complete a revised study of the underrepresentation of WOSBs in Federal \n",
       " prime contracts by industry code. The resulting study--the RAND \n",
       " Report--was published in April 2007 and is available to the public at \n",
       " <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.RAND.org/pubs/technical_reports/TR442\">http://www.RAND.org/pubs/technical_reports/TR442</a>.\n",
       "     As the RAND Report explains more fully, RAND measured WOSB \n",
       " representation in each industry code through a ``disparity ratio,'' \n",
       " which is a measure comparing the utilization of WOSBs in Federal \n",
       " contracting in a particular code to their availability for such \n",
       " contracts. The disparity ratio itself is defined as utilization divided \n",
       " by availability. Utilization and availability, in turn, are themselves \n",
       " ratios. The disparity ratio is therefore a ratio of ratios. This \n",
       " disparity ratio provides an estimate of the extent to which WOSBs that \n",
       " are available for Federal contracts in specific industries are actually \n",
       " being utilized to perform such contracts.\n",
       "     Consistent with the NAS's recommendation, RAND measured utilization \n",
       " and availability in two ways: in terms of dollars and numbers. When \n",
       " using dollars as the measure, RAND calculated utilization as the ratio \n",
       " of Federal contract dollars awarded to WOSBs in a given industry code \n",
       " to total Federal contract dollars awarded in that industry code. It \n",
       " calculated availability as the ratio of the gross receipts (revenues) \n",
       " of WOSBs in a particular industry code to the gross receipts (revenues) \n",
       " of all firms in that code.\\6\\ When using numbers as the measure, RAND \n",
       " calculated utilization as the ratio of the number of Federal contracts \n",
       " awarded to WOSBs in a particular industry code to the number of Federal \n",
       " contracts awarded overall in that code, and availability as the ratio \n",
       " of the number of WOSBs in a particular industry code to the total \n",
       " number of firms in that code.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\6\\ This is a fairly conservative method of determining \n",
       " availability and may underestimate the availability of WOSBs because \n",
       " discrimination may limit the revenues of WOSBs that nonetheless are \n",
       " ready, willing, and able to perform work on Federal contracts.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     According to the RAND Report, if the disparity ratio in an industry \n",
       " code is equal to 1.0 when measuring in terms of dollars, that indicates \n",
       " that WOSBs have been awarded contract dollars in the same proportion as \n",
       " their economic representation in the industry; that is, they are \n",
       " awarded contracting dollars in proportion to their share of total \n",
       " business in that industry, and are therefore neither over- nor under-\n",
       " represented. Similarly, if the disparity ratio in an industry code is \n",
       " equal to 1.0 when measuring in terms of numbers, this indicates that \n",
       " WOSBs are awarded contracts (of whatever dollar value) in the same \n",
       " proportion as their numerical representation in the industry. A ratio \n",
       " of less than 1.0 (lower utilization than availability) suggests some \n",
       " degree of underrepresentation with respect to that particular means of \n",
       " measuring disparity (dollars or numbers); a ratio of greater than 1.0 \n",
       " (greater utilization than availability) suggests some measure of \n",
       " overrepresentation with respect to a given metric. Following the NAS \n",
       " report's recommendations, RAND classified an industry as \n",
       " ``underrepresented'' if its disparity ratio was between 0.5 and 0.8 \n",
       " using either the numbers or dollars approach, and ``substantially \n",
       " underrepresented'' if its ratio was less than 0.5. It is important to \n",
       " note that RAND states\n",
       " \n",
       " disparity ratios are not in and of themselves measures of \n",
       " discrimination, although they have been used in numerous court cases \n",
       " to infer discrimination. Nonetheless they are a starting point, a \n",
       " way to identify whether there are any differences in outcomes \n",
       " between different types of firms.\n",
       " \n",
       " (RAND Report at 30; see also discussion at 4 and 5).\n",
       " \n",
       "     RAND calculated these ratios using a variety of different data \n",
       " sets. For the utilization component of the disparity ratio, RAND used \n",
       " the data from the FY 2005 Federal Procurement Data System/Next \n",
       " Generation (FPDS/NG) procurement database. This was the only data \n",
       " source identified by RAND with respect to the utilization component of \n",
       " the disparity ratio. However, RAND did adjust the FPDS to account for \n",
       " possible miscoding of business size. Specifically, RAND linked the FPDS \n",
       " data to 2004 Dun and Bradstreet (D&amp;B) data using the Data Universal \n",
       " Numbering System (DUNS) to identify the parent companies of local \n",
       " establishments, and then used the DUNS to assess whether a firm was \n",
       " small. However, because the data file was also prone to error, RAND \n",
       " presented results both with and without the DUNS cross-reference.\n",
       "     For the availability component of the disparity ratio, RAND used \n",
       " two different databases: The 2002 Survey of Business Owners (SBO) from \n",
       " the five-year Economic Census, and the FY 2006 Central Contractor \n",
       " Registration (CCR) registration database. Using the SBO database, RAND \n",
       " presented results only at the two-digit industry code level, a \n",
       " comparatively generalized level of industry disaggregation. Using the \n",
       " CCR, in contrast, RAND presented results at the two-, three-, and four-\n",
       " digit industry code levels. RAND also presented full sample results and \n",
       " trimmed sample results (eliminating the top and bottom 0.5 percent of \n",
       " the data) for each disparity ratio. RAND did this in order to examine \n",
       " the sensitivity of the disparity ratio to extreme values, such as very \n",
       " large contracts or negative dollar amounts resulting from contract \n",
       " actions based on multi-year contracts or modifications to such \n",
       " contracts to earlier contracts.\n",
       "     Using these different data sources and various adjustments, the \n",
       " RAND Report identified twenty-eight different possible approaches to \n",
       " determining the degree of underrepresentation of WOSBs in Federal \n",
       " procurement contracting. The parameters and results of each approach \n",
       " are summarized in the RAND Report at Table 4.6.\n",
       " \n",
       " IV. Regulatory History\n",
       " \n",
       "     On June 15, 2006, SBA published in the Federal Register, at 71 FR \n",
       " 34550, a Proposed Rule (RIN 3245-AE65), with\n",
       " \n",
       " [[Page 10033]]\n",
       " \n",
       " request for comments, that proposed to amend its regulations in \n",
       " accordance with section 8(m). The Proposed Rule contained the \n",
       " infrastructure rules necessary for the WOSB Program implementation, but \n",
       " did not identify the eligible industries for the WOSB Program because \n",
       " the RAND Report had not been published at the time of the issuance of \n",
       " that Proposed Rule. The RAND Report was subsequently published on April \n",
       " 27, 2007. Based on SBA's evaluation of the public and inter-agency \n",
       " comments received on the June 15, 2006 Proposed Rule, as well as \n",
       " discussions with the U.S. Department of Justice (DOJ) and the Office of \n",
       " Federal Procurement Policy (OFPP), and further examination of section \n",
       " 8(m), it was determined that the June 15, 2006 Proposed Rule required \n",
       " significant changes that warranted further public comment and \n",
       " consideration. In addition, SBA had the results of the RAND study.\n",
       "     Therefore, on December 27, 2007, SBA published a new Proposed Rule, \n",
       " titled Women-Owned Small Business Federal Contract Assistance \n",
       " Procedures, RIN 3245-AF40, at 72 FR 73285, that consolidated the \n",
       " infrastructure rules necessary for the WOSB Program implementation with \n",
       " the RAND study findings, which were used to determine the industries in \n",
       " which WOSBs would be eligible for Federal contracting under the WOSB \n",
       " Program.\n",
       "     In determining the eligible industries, the December 2007 Proposed \n",
       " Rule employed the full-sample 4-digit NAICS code dollars approach \n",
       " (using the dollar value of contract awards and the receipts of \n",
       " businesses) to identify the eligible industries under the WOSB Program. \n",
       " This approach identified four industries in which WOSBs were either \n",
       " underrepresented or substantially underrepresented. The comment period \n",
       " for the December 2007 Proposed Rule closed on March 31, 2008. SBA \n",
       " received approximately 1,720 comments on the proposed rule. Of the \n",
       " 1,720 comments received, 1,689 requested withdrawal of the Proposed \n",
       " Rule and/or stated opposition to some portion of the Proposed Rule. \n",
       " Subsequently, on October 1, 2008, SBA published a Final Rule in the \n",
       " Federal Register at 73 FR 56940, RIN 3245-AF40. This Final Rule \n",
       " implemented the infrastructure regulations for the WOSB Program, but \n",
       " did not identify the eligible industries for the WOSB Program.\n",
       "     The reason for the approach was that after identifying eligible \n",
       " industries under the program in December 2007, SBA discovered certain \n",
       " limitations in the data RAND used. Therefore, SBA published a Proposed \n",
       " Rule; Request for Comment on October 1, 2008, at 73 FR 57014, which \n",
       " provided for a 30-day public comment period and requested comments on \n",
       " two data sets that SBA could use to determine the eligible industries \n",
       " for the WOSB Program. SBA elected to publish the October 1, 2008, \n",
       " Proposed Rule, rather than a Final Rule, on the identification of the \n",
       " eligible industries to engage in a further review and examination of \n",
       " the RAND study and potential measures of disparity. As a result of this \n",
       " further examination, SBA stated in the Proposed Rule; Request for \n",
       " Comments that it had identified a limitation inherent in the CCR data \n",
       " set when the dollars approach was used. Specifically, SBA explained \n",
       " that vendors input information into CCR relating to the firm's revenues \n",
       " and NAICS codes, which are a method for classifying business \n",
       " establishments. Vendors must supply at least one NAICS code for \n",
       " registration into CCR to be complete, but can supply more than one. \n",
       " Vendors do not input the business's revenues for each NAICS code listed \n",
       " or for each NAICS code in which it does business; rather, vendors input \n",
       " total revenues for the firm. Thus, CCR does not provide information \n",
       " concerning the revenue of a firm in each of the NAICS codes, or \n",
       " industries, it sets forth in its CCR registration. Therefore, when RAND \n",
       " computed the disparity ratio using the CCR dollars approach to \n",
       " determine underrepresentation, each firm's total revenue was counted in \n",
       " every NAICS code associated with the firm.\n",
       "     Upon discovering the CCR data set limitation, SBA contacted the \n",
       " United States Census Bureau (Census Bureau) to determine the \n",
       " availability of an alternative data set. The Census Bureau provided SBA \n",
       " with a data set for the availability component of the disparity ratio \n",
       " that consists of data from the 2002 Survey of Business Owners (SBO) \n",
       " collected through the 5-year Economic Census for firms with employees \n",
       " (hereinafter referred to as ``Census SBO data''). Although this data \n",
       " set was not used in the RAND report results, it was mentioned in the \n",
       " RAND report as restricted data which would be available to SBA at a \n",
       " more disaggregated NAICS code level than the public SBO data. The \n",
       " Census Bureau report and associated data are available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/idc/groups/public/documents/sba_homepage/census_bureau.pdf\">http://\n",
       " www.sba.gov/idc/groups/public/documents/sba_homepage/census_\n",
       " bureau.pdf</a>.\n",
       "     In its October 1, 2008 Proposed Rule; Request for Comment, SBA \n",
       " sought input from the public on this CCR data limitation as well as the \n",
       " Census SBO data set alternative. SBA received 38 comments on that \n",
       " Proposed Rule. The majority of these comments generally opposed the use \n",
       " of the Census SBO data because the disaggregated data set was not \n",
       " available publicly without undergoing a screening process due to \n",
       " statutory restrictions to protect the confidentiality of the data. No \n",
       " comments addressed the substantive findings of the Census data or \n",
       " challenged its accuracy.\n",
       "     SBA has reviewed the October 1, 2008 Final Rule and the Proposed \n",
       " Rule, as well as the public comments, and determined that changes to \n",
       " both rules are necessary. After careful review of the comments, SBA has \n",
       " decided to withdraw the October 1, 2008 Proposed Rule for the reasons \n",
       " identified in the currently proposed rule. Consequently, SBA has set \n",
       " forth below a new Proposed Rule for the WOSB Program which includes \n",
       " both the infrastructure regulations and the identification of the \n",
       " eligible industries. SBA has set forth the entire Proposed Rule below, \n",
       " rather than only the portions of part 127 that SBA has decided to \n",
       " amend, in order to afford the public an opportunity to comment on all \n",
       " aspects of the program. SBA has determined that setting forth the \n",
       " entire infrastructure and industries in a Proposed Rule will best serve \n",
       " the public's ability to address any concerns or opinions regarding this \n",
       " WOSB Program. For ease of reference, following is a discussion of the \n",
       " substantive changes that the rule proposes to make to the Final Rule \n",
       " and Proposed Rule published on October 1, 2008 at 73 FR 56940 and 73 FR \n",
       " 57014, respectively.\n",
       " \n",
       " V. Identification of the Eligible Industries\n",
       " \n",
       " 1. Choice of Data sets\n",
       " \n",
       "     As stated earlier, the RAND Report, using various combinations of \n",
       " data sources and methods, identified twenty-eight possible approaches \n",
       " to measuring the underrepresentation and substantial \n",
       " underrepresentation of WOSBs in Federal procurement contracting. Twenty \n",
       " of these approaches compare FY 2006 CCR registration data to FY 2005 \n",
       " FPDS/NG procurement data, while eight of the approaches compare the \n",
       " 2002 SBO data from the five-year Economic Census to FYs 2002/2003 FPDS/\n",
       " NG procurement data.\n",
       "     SBA proposes not to use the eight approaches that rely on a \n",
       " comparison of the 2002 SBO data to FYs 2002/2003 FPDS/NG procurement \n",
       " data for the following reasons:\n",
       "     <bullet> The SBO data set generally considers all firms in the \n",
       " economy, and not simply the number of firms that are ready, willing, \n",
       " and able to perform\n",
       " \n",
       " [[Page 10034]]\n",
       " \n",
       " Federal contracts. In contrast, because firms are generally required to \n",
       " register on the CCR database prior to bidding on a Federal contract, a \n",
       " firm's presence in the CCR reflects its willingness to bid on a Federal \n",
       " contract. However, it is possible that a firm's inability to bid on \n",
       " Federal contracts, and therefore its reluctance to register on the CCR \n",
       " could itself result from gender discrimination.\n",
       "     <bullet> The SBO does not distinguish between WOSBs and women-owned \n",
       " businesses in general, large and small. The CCR, in contrast, contains \n",
       " self-reported information on whether a business is small. And the \n",
       " procedures authorized by section 8(m) are specifically targeted towards \n",
       " only small businesses owned by women.\n",
       "     <bullet> The SBO is generally not available for two years after the \n",
       " survey is completed. CCR data, in contrast, are updated continuously \n",
       " and made available immediately. It is not clear, however, the degree to \n",
       " which data regarding business ownership and size economic size change \n",
       " from year to year, and therefore not clear how much weight this \n",
       " distinction should carry.\n",
       "     In addition, the SBO data in the RAND Report do not disaggregate \n",
       " industry groupings beyond the two-digit NAICS level. In the NAS 2005 \n",
       " report examining SBA's 2002 internal study, NAS criticized SBA's use of \n",
       " the two-digit Major Group Standard Industrial Classification (SIC) \n",
       " industry codes as inadequate. The two-digit Major Group SIC designation \n",
       " corresponds to the current three-digit Subsector NAICS designation. \n",
       " Thus, while NAS criticized SBA's use of two-digit SIC information, the \n",
       " SBO two-digit NAICS data is even less precise than the two-digit SIC \n",
       " data. Both the CCR and the FPDS/NG, in contrast, provide the capability \n",
       " to use four-digit NAICS classifications.\n",
       "     SBA solicits comment on its decision, in light of the foregoing \n",
       " considerations, not to use any of RAND's approaches that utilize the \n",
       " SBO data and to focus instead on only those approaches that use the CCR \n",
       " data. A further discussion on the appropriateness of the use of the CCR \n",
       " data is set forth below.\n",
       "     Because the NAS criticized SBA's use of the two-digit SIC code and \n",
       " recommended that SBA use industry detail as disaggregated as the data \n",
       " will support, SBA also proposes to eliminate the sixteen approaches \n",
       " that used CCR and FPDS/NG FY 2005 procurement data at the two and \n",
       " three-digit NAICS code level.\n",
       "     Of the remaining four approaches, two are based on full sample \n",
       " results, while the other two are based on trimmed sample results \n",
       " (eliminating the top and bottom 0.5 percent of the data). The RAND \n",
       " Report found little benefit to trimming the sample, and placed more \n",
       " weight on the full sample results. Based on RAND's finding, SBA \n",
       " proposes to eliminate the two approaches based on the trimmed-sample \n",
       " results.\n",
       "     This leaves two possible approaches, both of which use 2004 CCR and \n",
       " 2005 FPDS/NG procurement data at the four-digit NAICS code level.\n",
       " \n",
       "  2. Numbers and Dollars Approaches\n",
       " \n",
       "     After careful analysis of the comments on SBA's 2007 and 2008 \n",
       " Proposed Rules and reconsidering the data and analysis in the RAND \n",
       " Report, SBA has determined that both of the remaining approaches, using \n",
       " numbers and dollars, are viable and appropriate means of identifying \n",
       " industries in which WOSBs are underrepresented or substantially \n",
       " underrepresented for purposes of section 8(m). Both approaches \n",
       " represent legitimate and complementary interpretations of the statutory \n",
       " term ``underrepresentation.'' SBA likewise believes that applying the \n",
       " section 8(m) program in these industries would reduce the effects of \n",
       " the discrimination affecting women-owned small businesses, consistent \n",
       " with Congress's goals, and that both numbers and dollars approaches are \n",
       " substantially related to the purpose of the Program. As a result, as is \n",
       " explained in more detail below, the Proposed Rule would amend the \n",
       " definitions of underrepresentation and substantial underrepresentation \n",
       " and identify the eligible industries under this Program as those \n",
       " industries in which WOSBs are underrepresented or substantially \n",
       " underrepresented using either the numbers or the dollars approach. SBA \n",
       " recognizes that this approach may enable competition restricted to \n",
       " WOSBs in industries where using only one or the other of the disparity \n",
       " measurement methodologies in the RAND study might not show \n",
       " underrepresentation of WOSBs in that industry. SBA therefore seeks \n",
       " comment on this proposed approach.\n",
       "     Section 8(m) instructs SBA to\n",
       " \n",
       " conduct a study to identify industries in which small business \n",
       " concerns owned and controlled by women are underrepresented with \n",
       " respect to Federal procurement contracting.\n",
       " \n",
       " 15 U.S.C. 637(m)(4). The statute does not specify how \n",
       " underrepresentation should be identified, or state that only a single \n",
       " disparity measure can be used to identify underrepresentation. SBA must \n",
       " therefore determine the appropriate methods for identifying WOSB \n",
       " underrepresentation, recognizing that it is not bound to any one \n",
       " disparity measure to achieve that goal. As discussed above, the dollars \n",
       " approach compares the proportion of the dollar value of contracts in a \n",
       " particular NAICS code awarded to WOSBs with the proportion of gross \n",
       " receipts (revenues) in that NAICS code earned by WOSBs. The numbers \n",
       " approach compares the proportion of contracts (calculated in terms of \n",
       " number of contracts) awarded to WOSBs in a particular NAICS code with \n",
       " the number of WOSBs in that particular NAICS code.\n",
       "     After reviewing comments and conducting further analysis, SBA \n",
       " concludes that both approaches provide sound and complementary \n",
       " analytical bases for determining the industries in which WOSBs are \n",
       " underrepresented and substantially underrepresented.\n",
       "     Specifically, underrepresentation can occur when WOSBs are not \n",
       " being awarded Federal contracting dollars in proportion to their \n",
       " economic representation (measured by their gross receipts) in an \n",
       " industry. This might occur if, for example, WOSBs were awarded \n",
       " contracts in numbers proportional to their numerical representation in \n",
       " an industry, but received much less in Federal contracting dollars than \n",
       " their non-WOSB counterparts. But underrepresentation can also occur \n",
       " where there is disparity in the number of contracts being awarded to \n",
       " WOSBs, even if there is no measured disparity in contract dollars, due \n",
       " to a handful of WOSBs winning large-dollar contracts. Indeed, as the \n",
       " RAND Report results show, during FY 2005, the top WOSB firm was awarded \n",
       " $673 million dollars in contracts, or 6 percent of the value of all \n",
       " Federal prime contracts awarded to WOSBs ($10.5 billion dollars). In \n",
       " addition, the top 10 WOSBs garnered $1.6 billion, or 15 percent of \n",
       " Federal prime contracts going to WOSBs, and the top 25 WOSBs were \n",
       " awarded $2.1 billion, or 20 percent of Federal prime contracts going to \n",
       " WOSBs. Accordingly, the number of contracts, regardless of size, is a \n",
       " valid alternative measure of whether WOSBs have been offered equality \n",
       " of opportunity.\n",
       "     It is true that the statutory goal for WOSB participation in \n",
       " government contracting is expressed in terms of dollars. However, upon \n",
       " further analysis, SBA does not believe that this fact counsels against \n",
       " use of a numbers approach for purposes of identifying the industries in \n",
       " which the WOSB Program should operate. The 5 percent participation \n",
       " goal--which appears in a different section of the statute from section \n",
       " 8(m)--is a measure of the total volume of Government-awarded prime \n",
       " contracts and subcontracts that, ideally, will be awarded to WOSBs each \n",
       " year.\n",
       " \n",
       " [[Page 10035]]\n",
       " \n",
       " The goal includes both contracts awarded under the section 8(m) program \n",
       " and contracts awarded in industries deemed ineligible for that program. \n",
       " Section 8(m)'s ``underrepresent[ation]'' requirement, in contrast, \n",
       " concerns the identification of industries in which the statutorily \n",
       " prescribed contracting assistance to WOSBs should be permitted. There \n",
       " is no basis in the statutory language for determining that \n",
       " ``underrepresentation'' for purposes of authorizing specific \n",
       " contracting assistance to WOSBs must be measured by the same metric as \n",
       " the total volume of Federal contracts awarded to WOSBs for purposes of \n",
       " an overall participation goal. As discussed above, the numbers approach \n",
       " identifies a valid and important meaning of ``underrepresentation'' \n",
       " that may exist even in situations where the dollars approach does not \n",
       " identify underrepresentation.\n",
       "     SBA recognizes that these different means of measuring and \n",
       " evaluating underrepresentation are tools to identify those industries \n",
       " in which competition restricted to WOSBs will be authorized. Where \n",
       " different analytical methodologies yield different outcomes on the \n",
       " issue of WOSB underrepresentation in a particular industry, SBA must \n",
       " identify a reasonable means for evaluating, reconciling and applying \n",
       " these methodologies in order to serve the statutory goal of improving \n",
       " WOSBs equal access to Federal contracting in those industries where \n",
       " WOSBs are underrepresented. SBA therefore seeks comment on its proposed \n",
       " approaches to identifying underrepresentation.\n",
       " \n",
       "  3. Appropriateness of Using the CCR Database\n",
       " \n",
       "     Comments on the prior Proposed Rules raised concerns about the RAND \n",
       " study's use of revenue data from the CCR database, concerns SBA noted \n",
       " in its withdrawn 2008 Final Rule. One concern centered on the way \n",
       " vendors, i.e., businesses registering for Federal contracts, input data \n",
       " into the CCR. As described above, the CCR database reflects each firm's \n",
       " total revenue in every NAICS code associated with the firm, rather than \n",
       " the amount of revenue associated with the particular NAICS code at \n",
       " issue. SBA noted in its 2007 Proposed Rule that this feature of the CCR \n",
       " data might result in overstating firms' revenues in some or all NAICS \n",
       " codes.\n",
       "     At least one commenter, in response to a prior version of the rule, \n",
       " asserted that the CCR data only takes into consideration current \n",
       " Federal contractors, whereas the SBO data could include all WOSB that \n",
       " are ready, willing and able to perform Federal work. A further \n",
       " potential viewpoint is that when using the SBO data set, the RAND Study \n",
       " found underrepresentation in a smaller number of industries, which \n",
       " could imply that women-owned firms were ``over-represented'' in \n",
       " numerous other industries in terms of the dollars of Federal \n",
       " procurement relative to their size in the economy. Consequently, it \n",
       " might be asserted that using the CCR data will allow set-asides in \n",
       " industries where other credible data (SBO data) show women-owned small \n",
       " businesses are not underrepresented in terms of Federal procurement.\n",
       "     Based on further analysis, SBA has concluded that the CCR data set \n",
       " is the best available data to use to determine the availability \n",
       " component of the disparity rations. First, the fact that the CCR \n",
       " database reflects each firm's total revenue in every NAICS code \n",
       " associated with the firm, rather than the amount of revenue associated \n",
       " with the particular NAICS code at issue, does not render unreliable the \n",
       " disparity ratios calculated using the dollars component of the CCR \n",
       " database.\\7\\ As previously discussed, the dollars-based disparity \n",
       " ratios are themselves based on a comparison between two different \n",
       " ratios: the value of the government contracts awarded to WOSBs in a \n",
       " particular industry compared to the value of all government contracts \n",
       " awarded in that industry, on the one hand; and the gross receipts (in \n",
       " the economy at large) of WOSBs registered in the CCR database for that \n",
       " industry compared to the gross receipts for all businesses registered \n",
       " for that industry, on the other. The numerator of this ratio--the value \n",
       " of government contracts awarded to WOSBs and to industries in general \n",
       " within a given industry code--is not calculated using the CCR database.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\7\\ This feature of the CCR database has no effect on disparity \n",
       " ratios calculated according to the numbers method, since that method \n",
       " does not make reference to firms' gross receipts.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In addition, with respect to the denominator, SBA believes that it \n",
       " is reasonable to assume that WOSBs and non-WOSBs register in the CCR \n",
       " database and identify industries for which they are available in a \n",
       " similar manner. Thus, if a WOSB in a particular kind of business \n",
       " registers in (and effectively overstates its revenues in) three NAICS \n",
       " codes, a non-WOSB in the same kind of business is likely to register in \n",
       " (and overstate its revenues in) the same three NAICS codes. And because \n",
       " the denominator of the dollars-based disparity ratio is calculated \n",
       " based on a comparison between gross receipts earned by WOSBs and non-\n",
       " WOSBs, rather than the absolute values of those receipts, the potential \n",
       " over-reporting of revenue in each NAICS code does not raise serious \n",
       " concerns about the reliability of the dollars analysis of the RAND \n",
       " study.\n",
       "     SBA has also concluded the CCR database appropriately captures \n",
       " those firms ready, willing and able to compete for Federal contracts. \n",
       " The firms in the CCR database have indicated by registering to submit \n",
       " an offer on Federal prime contracts that they are ``willing'' to \n",
       " perform work on such contracts and have self-identified as firms that \n",
       " are ready and able to perform such work. RAND's review of the data \n",
       " identified no additional means of determining which firms are ready and \n",
       " able to work on these contracts.\\8\\ However, RAND ensured that the \n",
       " firms each had at least one employee as a ``proxy for `able.' '' RAND \n",
       " Study at 30. Further, because the SBO data generally considers all \n",
       " firms in the economy, it is possible that it may actually overestimate \n",
       " the number of firms that are ready, willing and able to perform Federal \n",
       " contracts, thus potentially overestimating underrepresentation.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\8\\ For instance, although size may be relevant to the ability \n",
       " to perform certain work, RAND found that small firms successfully \n",
       " competed for Federal contracts, and that it was not possible to \n",
       " identify a natural break point in contract size beyond which small \n",
       " businesses generally could not compete.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Although the CCR data account for a firm's willingness to submit an \n",
       " offer and receive a Federal contract without also expressly accounting \n",
       " for firm qualifications or abilities, SBA believes that the CCR data is \n",
       " nevertheless an appropriate measure of firm availability. Although some \n",
       " contracting assistance programs may rely on actual bidder lists as the \n",
       " utilized measure of ready, willing, and able firms, see, e.g., Eng'g \n",
       " Contractors Ass'n of S. Fla., Inc. v. Metro. Dade County, 122 F.3d 895, \n",
       " 912 (11th Cir. 1997), some programs do not, and courts have upheld such \n",
       " programs against challenges. See Concrete Works of Colorado, Inc. v. \n",
       " City and County of Denver, 321 F.3d 950, 983 (10th Cir. 2003) \n",
       " (rejecting argument that underutilization must be measured by examining \n",
       " ``only those firms actually bidding on City construction projects''). \n",
       " In Concrete Works, the court noted that even those firms that did \n",
       " submit bids might be unqualified, so that the city would always have to \n",
       " make some assumption about qualifications, and further observed that \n",
       " bidder lists might not capture all firms that are qualified. Id. The \n",
       " court concluded that disparity studies may make assumptions about \n",
       " qualifications ``as long as the same\n",
       " \n",
       " [[Page 10036]]\n",
       " \n",
       " assumptions can be made for all firms.'' Id.; cf. Adarand Constructors, \n",
       " Inc. v. Slater, 228 F.3d 1147, 1173 (2000) (noting that there was no \n",
       " evidence in the record that ``those minority subcontractors who have \n",
       " been utilized have performed inadequately or otherwise demonstrated a \n",
       " lack of necessary qualifications''). The court also noted that a firm's \n",
       " ability to perform contracts is not static: firms can generally perform \n",
       " services by hiring additional employees or using subcontractors. \n",
       " Concrete Works, 321 F.3d at 981. Of course, to the extent that the age \n",
       " and size of a firm may themselves be effectively limited by barriers \n",
       " tied to historical discrimination, using these factors to assess \n",
       " capacity and availability may in some instances extend the effects of \n",
       " past discrimination into this statistical assessment.\n",
       "     For the reasons stated above, this Proposed Rule proposes to \n",
       " evaluate underrepresentation and substantial underrepresentation by \n",
       " using the CCR database and applying both the numbers and dollars \n",
       " approaches to identify eligible industries. Using this methodology, the \n",
       " RAND study found one hundred and nine (109) year-2002 NAICS codes in \n",
       " which WOSBs were either underrepresented or substantially \n",
       " underrepresented.\n",
       "     Because SBA has received comments on this issue in the past, and \n",
       " there is a more detailed data set available (SBO data), it is \n",
       " interested in hearing from the public about this proposal to utilize \n",
       " the CCR data set, and specifically requests comments on whether the \n",
       " WOSB Program should operate, or whether its operation should require \n",
       " special justification, in sectors where women-owned businesses appear \n",
       " not be underrepresented based on other data.\n",
       " \n",
       " 4. The Eligible Industry Codes\n",
       " \n",
       "     NAICS codes are revised every five years (in the years ending in \n",
       " '2' and '7'). RAND used the 2002 NAICS codes in its study. All but \n",
       " three of the 109 2002 NAICS codes identified by RAND correspond with \n",
       " the current 2007 NAICS codes. The three 2002 NAICS codes which do not \n",
       " correspond are: 5161--Internet Publishing and Broadcasting; 5173--\n",
       " Telecommunications Resellers; and 5181--Internet Service Providers and \n",
       " Web Search Portals. However, these three 2002 NAICS codes were made \n",
       " part of other NAICS codes in 2007 that were also designated by RAND as \n",
       " substantially underrepresented--2002 NAICS code 5161 is now part of \n",
       " 2007 NAICS code 5191; 2002 NAICS code 5173 is now a part of 2007 NAICS \n",
       " code 5179; and 2002 NAICS code 5181 is now split between 2007 NAICS \n",
       " codes 5171 and 5179. Because the RAND study found NAICS codes 5191, \n",
       " 5179 and 5171 also to be substantially underrepresented, the change in \n",
       " NAICS code affects only the designation of industries to the extent \n",
       " that there are 106 2007 NAICS codes instead of 109 2002 NAICS codes but \n",
       " does not affect the types of WOSBs eligible under the WOSB Program.\n",
       "     However, the WOSB Program will not operate in three of the 106 2007 \n",
       " NAICS codes in sector 92 (2002 and 2007) because those NAICS codes do \n",
       " not apply to the private sector. These NAICS codes are: 9211--\n",
       " Executive, Legislative, and other General Government Support; 9231--\n",
       " Administration of Human Resource Programs; and 9281--National Security \n",
       " and International Affairs. Firms in these NAICS codes are:\n",
       " \n",
       "     Federal, state, and local government agencies which administer \n",
       " and oversee government programs and activities that are not \n",
       " performed by private establishments,\n",
       " \n",
       " see 13 CFR 121.201 n. 19, and contracts are not classified with this \n",
       " NAICS code. See 13 CFR 121.402(b).\n",
       "     In addition, twenty of the 106 NAICS codes in sectors 42, 44, and \n",
       " 45 (2002 and 2007) are not available for contracting assistance under \n",
       " the Program. These industries codes are: 4231--Motor Vehicle and Motor \n",
       " Vehicle Parts and Supplies Merchant Wholesalers; 4232--Furniture and \n",
       " Home Furnishing Merchant Wholesalers; 4233--Lumber and Other \n",
       " Construction Materials Merchant Wholesalers; 4234--Professional and \n",
       " Commercial Equipment and Supplies Merchant Wholesalers; 4236--\n",
       " Electrical and Electronic Goods Merchant Wholesalers; 4239--\n",
       " Miscellaneous Durable Goods Merchant Wholesalers; 4241--Paper and Paper \n",
       " Product Merchant Wholesalers; 4243--Apparel, Piece Goods, and Notions \n",
       " Merchant Wholesalers; 4246--Chemical and Allied Products Merchant \n",
       " Wholesalers; 4248--Beer, Wine, and Distilled Alcoholic Beverage \n",
       " Merchant Wholesalers; 4249--Miscellaneous Nondurable Goods Merchant \n",
       " Wholesalers; 4412--Other Motor Vehicle Dealers; 4421--Furniture Stores; \n",
       " 4422--Home Furnishings Stores; 4431--Electronics and Appliance Stores; \n",
       " 4461--Health and Personal Care Stores; 4511--Sporting Goods, Hobby, and \n",
       " Musical Instrument Stores; 4532--Office Supplies, Stationery, and Gift \n",
       " Stores; 4541--Electronic Shopping and Mail-Order Houses; and 4543--\n",
       " Direct Selling Establishments.\n",
       "     These twenty NAICS codes fall under the 2-digit NAICS code sectors \n",
       " 42, 44 and 45, which cover wholesalers and retailers. Contracts are not \n",
       " classified with these NAICS codes. See 13 CFR 121.402(b). SBA \n",
       " regulations specifically state that sectors 42, 44 and 45 are ``not \n",
       " applicable to Government procurement of supplies.'' 13 CFR 121.201. \n",
       " These NAICS codes are not available for set-asides because contracting \n",
       " officers must classify any contract for the procurement of supplies \n",
       " under the applicable manufacturing NAICS code (and then the \n",
       " nonmanufacturer rule would apply to any offerors that are \n",
       " nonmanufacturers of the supply). 13 CFR 121.402.\n",
       "     As a result of the above, this Proposed Rule treats eighty-three \n",
       " NAICS codes as eligible for Federal contracting under the WOSB Program. \n",
       " There are forty-five NAICS codes in which WOSBs are underrepresented \n",
       " and thirty-eight NAICS codes in which WOSBs are substantially \n",
       " underrepresented.\n",
       "     The forty-five NAICS codes in which WOSBs are underrepresented are: \n",
       " 2213--Water, Sewage and Other systems; 2361--Residential Building \n",
       " Construction; 2371--Utility System Construction; 2381--Foundation, \n",
       " Structure, and Building Exterior Contractors; 2382--Building Equipment \n",
       " Contractors; 2383--Building Finishing Contractors; 2389--Other \n",
       " Specialty Trade Contractors; 3149--Other Textile Product Mills; 3159--\n",
       " Apparel Accessories and Other Apparel Manufacturing; 3219--Other Wood \n",
       " Product Manufacturing; 3222--Converted Paper Product Manufacturing; \n",
       " 3321; Forging and Stamping; 3323--Architectural and Structural Metals \n",
       " Manufacturing; 3324--Boiler, Tank, and Shipping Container \n",
       " Manufacturing; 3333--Commercial and Service Industry Machinery \n",
       " Manufacturing; 3342--Communications Equipment Manufacturing; 3345--\n",
       " Navigational, Measuring, Electromedical, and Control Instruments \n",
       " Manufacturing; 3346--Manufacturing and Reproducing Magnetic and Optical \n",
       " Media; 3353--Electrical Equipment Manufacturing; 3359--Other Electrical \n",
       " Equipment and Component Manufacturing; 3369--Other Transportation \n",
       " Equipment Manufacturing; 4842--Specialized Freight Trucking; 4881--\n",
       " Support Activities for Air Transportation; 4884--Support Activities for \n",
       " Road Transportation; 4885--Freight Transportation Arrangement; 5121--\n",
       " Motion Picture and Video Industries; 5311--Lessors of Real Estate; \n",
       " 5413--Architectural, Engineering, and Related Services; 5414--\n",
       " Specialized Design\n",
       " \n",
       " [[Page 10037]]\n",
       " \n",
       " Services; 5415--Computer Systems Design and Related Services; 5416--\n",
       " Management, Scientific, and Technical Consulting Services; 5419--Other \n",
       " Professional, Scientific, and Technical Services; 5611--Office \n",
       " Administrative Services; 5612--Facilities Support Services; 5614--\n",
       " Business Support Services; 5616--Investigation and Security Services; \n",
       " 5617--Services to Buildings and Dwellings; 6116--Other Schools and \n",
       " Instruction; 6214--Outpatient Care Centers; 6219--Other Ambulatory \n",
       " Health Care Services; 7115--Independent Artists, Writers, and \n",
       " Performers; 7223--Special Food Services; 8111--Automotive Repair and \n",
       " Maintenance; 8113--Commercial and Industrial Machinery and Equipment \n",
       " (except Automotive and Electronic) Repair and Maintenance; and 8114--\n",
       " Personal and Household Goods Repair and Maintenance.\n",
       "     The thirty-eight NAICS codes in which WOSBs are substantially \n",
       " underrepresented are: 2372--Land Subdivision; 3152--Cut and Sew Apparel \n",
       " Manufacturing; 3231--Printing and Related Support Activities; 3259--\n",
       " Other Chemical Product and Preparation Manufacturing; 3328--Coating, \n",
       " Engraving, Heat Treating, and Allied Activities; 3329--Other Fabricated \n",
       " Metal Product Manufacturing; 3371--Household and Institutional \n",
       " Furniture and Kitchen Cabinet Manufacturing; 3372--Office Furniture \n",
       " (including Fixtures) Manufacturing; 3391--Medical Equipment and \n",
       " Supplies Manufacturing; 4841--General Freight Trucking; 4889--Other \n",
       " Support Activities for Transportation; 4931--Warehousing and Storage; \n",
       " 5111--Newspaper, Periodical, Book, and Directory Publishers; 5112--\n",
       " Software Publishers; 5171--Wired Telecommunications Carriers; 5172--\n",
       " Wireless Telecommunications Carriers (except Satellite); 5179--Other \n",
       " Telecommunications; 5182--Data Processing, Hosting, and Related \n",
       " Services; 5191--Other Information Services; 5312--Offices of Real \n",
       " Estate Agents and Brokers; 5324--Commercial and Industrial Machinery \n",
       " and Equipment Rental and Leasing; 5411--Legal Services; 5412--\n",
       " Accounting, Tax Preparation, Bookkeeping, and Payroll Services; 5417--\n",
       " Scientific Research and Development Services; 5418--Advertising, Public \n",
       " Relations, and Related Services; 5615--Travel Arrangement and \n",
       " Reservation Services; 5619--Other Support Services; 5621--Waste \n",
       " Collection; 5622--Waste Treatment and Disposal; 6114--Business Schools \n",
       " and Computer and Management Training; 6115--Technical and Trade \n",
       " Schools; 6117--Educational Support Services; 6242--Community Food and \n",
       " Housing, and Emergency and Other Relief Services; 6243--Vocational \n",
       " Rehabilitation Services; 7211--Traveler Accommodation; 8112--Electronic \n",
       " and Precision Equipment Repair and Maintenance; 8129--Other Personal \n",
       " Services; and 8139--Business, Professional, Labor, Political, and \n",
       " Similar Organizations.\n",
       " \n",
       " VI. Economic Disadvantage\n",
       " \n",
       "     SBA proposes to clarify current Sec.  127.203 concerning \n",
       " economically disadvantaged women-owned small businesses (EDWOSBs) to \n",
       " address certain interpretations and policies that have been followed \n",
       " informally by SBA with respect to the 8(a) Business Development (BD) \n",
       " Program and that SBA believes would apply to the WOSB Program as well. \n",
       " This includes certain interpretations and policies SBA recently set \n",
       " forth in a rule proposing to amend the 8(a) BD regulations. See 74 FR \n",
       " 55694 (Oct. 28, 2009). For example, this Proposed Rule specifically \n",
       " states that SBA does not take community property laws into account when \n",
       " determining economic disadvantage if the woman has no ownership \n",
       " interest. This means that property that is legally in the name of the \n",
       " husband would be considered wholly the husband's, whether or not the \n",
       " couple lived in a community property state. Since community property \n",
       " laws are usually applied when a couple separates, and since spouses in \n",
       " community property states generally have the freedom to keep their \n",
       " property separate while they are married, SBA proposes to treat \n",
       " property owned solely by one spouse as that spouse's property for \n",
       " economic disadvantage determinations. However, if both spouses own the \n",
       " property, SBA would attribute a half interest in such property to the \n",
       " woman claiming economic disadvantage, unless there is evidence to show \n",
       " that the interest in such property is greater or lesser.\n",
       "     This policy also results in equal treatment for applicants in \n",
       " community and non-community property states. In addition, and along the \n",
       " same lines, SBA proposes to provide that it may consider a spouse's \n",
       " financial situation in determining an individual's access to capital \n",
       " and credit.\n",
       "     SBA has also proposed exempting funds in Individual Retirement \n",
       " Accounts (IRAs) and other official retirement accounts from the \n",
       " calculation of net worth, provided that the funds cannot currently be \n",
       " withdrawn from the account prior to retirement age without a \n",
       " significant penalty. While such funds can be useful to an applicant \n",
       " seeking credit, SBA believes that retirement accounts are not assets to \n",
       " be currently enjoyed; rather, they are held for purposes of ensuring \n",
       " future income when an individual is no longer working. SBA believes it \n",
       " is unfair to count those assets as current assets. The basis for this \n",
       " proposal stems from SBA's experience with the 8(a) BD Program, where it \n",
       " has found that including IRAs and other retirement accounts in the \n",
       " calculation of an individual's net worth does not serve to disqualify \n",
       " wealthy individuals. Instead, such an exclusion has worked to make \n",
       " middle and lower income individuals ineligible to the extent they have \n",
       " invested prudently in accounts to ensure income at a time in their \n",
       " lives when they are no longer working.\n",
       "     SBA is cognizant of the potential for abuse of this proposed \n",
       " provision, with individuals attempting to hide current assets in funds \n",
       " labeled ``retirement accounts.'' SBA does not believe such attempts to \n",
       " remove certain assets from an individual's economic disadvantage \n",
       " determination would be appropriate. Therefore, this Proposed Rule \n",
       " states that in order for funds not to be counted in an economic \n",
       " disadvantage determination, the funds cannot be currently withdrawn \n",
       " from the account without a significant penalty. A significant penalty \n",
       " would be one equal or similar to the additional income tax on early \n",
       " distributions under section 72(t) of the Internal Revenue Code. In \n",
       " order for SBA to determine whether funds invested in a specific account \n",
       " labeled a ``retirement account'' may be excluded from a woman's net \n",
       " worth calculation, the woman must provide to SBA information about the \n",
       " terms and conditions of the account. SBA is interested in hearing from \n",
       " the public about this proposal, and specifically requests comments on \n",
       " how best to exclude legitimate retirement accounts without affording \n",
       " others a mechanism to circumvent the economic disadvantage criterion.\n",
       "     SBA has also proposed exempting income from a corporation taxed \n",
       " under Subchapter S of Chapter 1 of the Internal Revenue Code (S \n",
       " corporation) from the calculation of both income and net worth to the \n",
       " extent such income is reinvested in the firm or used to pay taxes \n",
       " arising from the normal course of operations of an S corporation. \n",
       " Although the income of an S corporation flows through and is taxed to \n",
       " individual shareholders in accordance with their interest in the S \n",
       " corporation for Federal tax purposes, SBA will take such income into \n",
       " account for economic disadvantage purposes\n",
       " \n",
       " [[Page 10038]]\n",
       " \n",
       " only if it is not reinvested in the business or used to pay the taxes. \n",
       " This proposal would result in equal treatment of corporate income for \n",
       " corporations taxed under Subchapter C of Chapter 1 of the Internal \n",
       " Revenue Code (C corporations) and S corporations. In cases where that \n",
       " income is reinvested in the firm or used to pay taxes arising from the \n",
       " normal course of operations of the S corporation and not retained by \n",
       " the woman, SBA believes it should be treated the same as C corporation \n",
       " income for purposes of determining economic disadvantage. In order to \n",
       " be excluded, the owner of the S corporation would be required to \n",
       " clearly demonstrate that the S corporation distribution was used to pay \n",
       " taxes or was reinvested back into the S corporation within 12 months of \n",
       " the distribution of income. Conversely, the woman owner of an S \n",
       " corporation could not subtract S corporation losses from the income \n",
       " paid by the S corporation to her or from her total income from whatever \n",
       " source. S corporation losses, like C corporation losses, are losses \n",
       " incurred by the company, not by the individual, and based upon the \n",
       " legal structure of the corporation and the protections afforded the \n",
       " principals through this structure, the individual is not personally \n",
       " liable for the debts representing any of those liabilities. Thus, it is \n",
       " inappropriate to consider these personal losses and women should not be \n",
       " able to use them to reduce their personal incomes for purposes of the \n",
       " economic disadvantage.\n",
       "     SBA also proposes to provide that it would presume that a woman is \n",
       " not economically disadvantaged if her yearly income averaged over the \n",
       " past two years exceeds $200,000. SBA considered incorporating into the \n",
       " regulation the present policy for the 8(a) BD Program that a woman is \n",
       " not economically disadvantaged if her adjusted gross income exceeds \n",
       " that for the top two percent of all wage earners according to IRS \n",
       " statistics. Under that approach for the 8(a) BD Program, SBA compares \n",
       " the income of the individual claiming disadvantage to the most \n",
       " currently available, final IRS income tax statistics. In some cases, \n",
       " SBA may be comparing IRS statistics relating to one tax year to an \n",
       " individual's income from a succeeding tax year because final IRS \n",
       " statistics are not available for that succeeding tax year.\n",
       "     Although that policy has been upheld by SBA's Office of Hearings \n",
       " and Appeals (OHA) and the Federal courts (see SRS Technologies v. \n",
       " United States, 894 F. Supp. 8 (D.D.C. 1995); Matter of Pride \n",
       " Technologies, Inc., SBA No. 557 (1996) SBA No. MSB-557) for the 8(a) BD \n",
       " Program, SBA believes that a straight line numerical figure is more \n",
       " understandable, easier to implement, and avoids any appearance of \n",
       " unfair treatment when statistics for one tax year are compared to an \n",
       " income level for another tax year. Therefore, SBA is proposing for the \n",
       " WOSB Program an income level of $200,000 because that figure closely \n",
       " approximates the income level corresponding to the top two percent of \n",
       " all wage earners, which has been upheld as a reasonable indicator of a \n",
       " lack of economic disadvantage. Although a $200,000 income may seem \n",
       " unduly high as a benchmark, we note that this amount is being used only \n",
       " to presume, without more information, that the woman is not \n",
       " economically disadvantaged. SBA may consider incomes lower than \n",
       " $200,000 as indicative of lack of economic disadvantage. However, it \n",
       " would not presume lack of economic disadvantage in that case. It may \n",
       " also consider income in connection with other factors when determining \n",
       " a woman's access to capital. SBA specifically requests comments on both \n",
       " the straight line approach proposed and the current comparison of \n",
       " income levels to the IRS statistics.\n",
       "     This proposed regulation would permit applicants to rebut the \n",
       " presumption of lack of economic disadvantage upon a showing that the \n",
       " income is not indicative of lack of economic disadvantage. For example, \n",
       " the presumption could be rebutted by a showing that the income was \n",
       " unusual (inheritance) and is unlikely to occur again. The presumption \n",
       " could also be rebutted, for example, by showing that the earnings were \n",
       " winnings that are offset by related losses as in the case of winnings \n",
       " and losses from gambling resulting in a net gain far less than the \n",
       " actual gambling income received. SBA may still consider any unusual \n",
       " earnings or windfalls as part of its review of total assets. Thus, \n",
       " although an inheritance of $5 million, for example, may be unusual \n",
       " income and excluded from SBA's determination of economic disadvantage \n",
       " based on income, it would not be excluded from SBA's determination of \n",
       " economic disadvantage based on total assets. In such a case, a $5 \n",
       " million inheritance would render the woman not economically \n",
       " disadvantaged based on total assets.\n",
       "     This rule also proposes to establish an objective standard by which \n",
       " a woman may not qualify as economically disadvantaged based on her \n",
       " total assets. With respect to the 8(a) BD Program, SBA's findings that \n",
       " an individual was not economically disadvantaged with total asset \n",
       " levels of $4.1 million and $4.6 million have been upheld as reasonable. \n",
       " See Matter of Pride Technologies, SBA No. 557 (1996), and SRS \n",
       " Technologies v. U.S., 843 F. Supp. 740 (D.D.C. 1994). Alternatively, \n",
       " and again with respect to the 8(a) BD Program, SBA's finding that an \n",
       " individual was not economically disadvantaged with total assets of \n",
       " $1.26 million was overturned. See Matter of Tower Communications, SBA \n",
       " No. 587 (1997). This rule proposes to eliminate any confusion as to \n",
       " what level of total assets qualifies as economic disadvantage for \n",
       " EDWOSB purposes as has occurred in the 8(a) BD Program. Under this \n",
       " Proposed Rule, a woman generally would not be considered economically \n",
       " disadvantaged if the fair market value of all her assets exceeds $3 \n",
       " million. While this Proposed Rule would exclude retirement accounts \n",
       " from a woman's net worth in determining economic disadvantage, it would \n",
       " not exclude such amounts from her total assets in determining economic \n",
       " disadvantage on that basis.\n",
       " \n",
       " VII. Certification\n",
       " \n",
       "     The Act sets forth the certification criteria for the WOSB Program. \n",
       " Specifically, the Act states that a WOSB or EDWOSB must: (1) Be \n",
       " certified by a Federal agency, a State government, or a national \n",
       " certifying entity approved by the Administrator, as a small business \n",
       " concern owned and controlled by women; or, (2) certify to the \n",
       " contracting officer that it is a small business concern owned and \n",
       " controlled by women and provide adequate documentation, in accordance \n",
       " with standards established by SBA, to support such certification.\n",
       "     The legislative history for this statutory provision explains that \n",
       " certification by a Federal agency, State government or national \n",
       " certifying entity should be acceptable if it tracks the statutory and \n",
       " regulatory definition of WOSB and EDWOSB. H.R. Rep. No. 106-879, at 4 \n",
       " (2000). Consequently, to identify approved third-party certifiers, SBA \n",
       " will review those entities that certify WOSBs and designate those with \n",
       " certification criteria meeting the requirements of this program at a \n",
       " later date.\n",
       "     In addition, the legislative history explains that\n",
       " \n",
       " the Committee expects the contracting officers will accept self-\n",
       " certification so long as the documentation provided along with the \n",
       " response to the solicitation enables the contracting officer to \n",
       " determine that\n",
       " \n",
       " the WOSB or EDWOSB meets the requirements of the program. Id. As a \n",
       " result of the statutory provision, and the\n",
       " \n",
       " [[Page 10039]]\n",
       " \n",
       " supporting legislative history, SBA has proposed a rule that will \n",
       " require WOSBs and EDWOSBs to first certify their status in the Online \n",
       " Representations and Certifications Application (ORCA) at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=https://orca.bpn.gov\">https://\n",
       " orca.bpn.gov</a>, and then provide the contracting officer with certain \n",
       " documents verifying their status.\n",
       "     SBA believes that the statute and supporting legislative history \n",
       " permit several means for providing the requisite documents to the \n",
       " contracting officer. Therefore, SBA is proposing to establish a \n",
       " repository (WOSB Program Repository) for the documents where WOSBs and \n",
       " EDWOSBs that certify in ORCA would submit the documents. The documents \n",
       " would be stored in a secure, web-based environment that would be \n",
       " accessible to WOSB and EDWOSB applicants, contracting community and \n",
       " SBA.\n",
       "     This idea is analogous to a system already utilized in the \n",
       " government. CCR\n",
       " \n",
       " is a web-enabled government-wide application that collects, \n",
       " validates, stores, and disseminates business information about the \n",
       " Federal government's trading partners in support of the contract \n",
       " award, grants, and the electronic payment processes.\n",
       " \n",
       " See Federal Agency Registration FAQs, publicly available at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=https://www.bpn.gov/FAR/docs/FAQ.pdf\">https://\n",
       " www.bpn.gov/FAR/docs/FAQ.pdf</a>. Although CCR is used to electronically \n",
       " share secure and encrypted data with the Federal agencies' finance \n",
       " offices to facilitate paperless payments through electronic funds \n",
       " transfer, and does not necessarily serve as a repository for documents, \n",
       " the concept would be similar.\n",
       "     WOSBs and EDWOSBs that certify in ORCA would be required to submit \n",
       " documents verifying their status to the repository at the time of \n",
       " initial self-certification in ORCA and then every year thereafter, and \n",
       " in addition if there is a change in such information that would \n",
       " necessitate the submission of supplemental or new information. The \n",
       " contracting officer would be able to access the documents prior to \n",
       " contract award to review the submitted documents. This proposal would \n",
       " mean that WOSBs and EDWOSBs would not have to submit documents each \n",
       " time they receive a WOSB or EDWOSB contract.\n",
       "     SBA also proposes that WOSBs or EDWOSBs will submit certain \n",
       " documents at the time of self certification in ORCA and then must \n",
       " submit additional documents in the event of a protest or program \n",
       " examination. SBA intends for those additional documents to be placed \n",
       " into the document repository, as well.\n",
       "     With respect to the specific documents that must be submitted at \n",
       " the time of initial certification (and updated anytime after) the \n",
       " Proposed Regulation sets forth several documents that will assist in \n",
       " verifying ownership and control. For those WOSBs and EDWOSBs that have \n",
       " not received an approved third-party certification, SBA reviewed the \n",
       " requirements and standards established for a similar program, the 8(a) \n",
       " BD Program, in determining which documents must be provided. In the \n",
       " 8(a) BD Program, the applicant must complete a standard form and \n",
       " provide SBA with appropriate documents to support and verify the \n",
       " statements made in the application.\n",
       "     Using the 8(a) BD Program application process as a guide, and in \n",
       " accordance with the proposed eligibility criteria for the WOSB Program, \n",
       " SBA has proposed that a WOSB or EDWOSB, which has not received a third-\n",
       " party certification from an approved certifier, provide the following \n",
       " documents to the repository:\n",
       "     <bullet> WOSBs or EDWOSBs that are corporations would need to \n",
       " submit their articles of incorporation, stock certificates (both \n",
       " sides), stock ledger, shareholders' agreements, by-laws and amendments.\n",
       "     <bullet> WOSBs or EDWOSBs that are LLCs must submit their articles \n",
       " of organization (also referred to as the certificate of organization or \n",
       " articles of formation) and any amendments and operating agreement with \n",
       " any amendments.\n",
       "     <bullet> WOSBs or EDWOSBs that are partnerships must submit an \n",
       " original and amended partnership agreement.\n",
       "     In addition, all WOSBs and EDWOSBs must submit evidence of gender \n",
       " and U.S. citizenship for women (women) owners(s), such as a copy of a \n",
       " birth certificate, naturalization papers or passport. EDWOSBs would \n",
       " also need to submit a Form 413, Personal Financial Statement, for at \n",
       " least each woman claiming economic disadvantage. Further, all EDWOSBs \n",
       " or WOSBs must also provide a copy of the joint venture agreement, if \n",
       " applicable.\n",
       "     SBA anticipates that the repository will also house copies of the \n",
       " third party certifications. With respect to those WOSBs or EDWOSBs that \n",
       " have received an approved third-party certification, this Proposed Rule \n",
       " requires that the WOSB or EDWOSB must provide a copy of the \n",
       " certification to the repository at the time of certification in ORCA. \n",
       " If the WOSB or EDWOSB has a third-party certification as a DOT \n",
       " Disadvantaged Business Enterprise (DBE), it must submit a copy of the \n",
       " DBE certification at the time of certification in ORCA showing that it \n",
       " received such certification because it is owned and controlled by \n",
       " women. In addition, the WOSB or EDWOSB must provide a statement \n",
       " identifying the woman or women upon whom eligibility was based and \n",
       " documents, such as birth certificates or passports, evidencing that the \n",
       " woman or women are citizens of the United States as defined by 13 CFR \n",
       " 127.102.\n",
       "     SBA believes that it is not necessary for these concerns to submit \n",
       " any other documents to verify eligibility, at that time, since such \n",
       " documents have already been submitted to and reviewed by a third party.\n",
       "     SBA intends that the WOSB Program Repository preclude modification \n",
       " or retrieval of any document submitted; however, documents can be \n",
       " supplemented in a separate submission. This would allow the system to \n",
       " be a historical site for each change in documentation. This historical \n",
       " data may be useful in determining whether, over a period of time, the \n",
       " data is consistent rather than contradictory.\n",
       "     Until SBA is able to establish a repository, or if the system is \n",
       " otherwise unavailable, then SBA is proposing that the WOSB or EDWOSBs \n",
       " submit the documents directly to the contracting officer prior to each \n",
       " WOSB or EDWOSB award. The contracting officer must retain these \n",
       " documents in the contract file so that SBA may later review the file \n",
       " for purposes of a status protest or eligibility examination. However, \n",
       " the WOSB or EDWOSB will also be required to post the documents to the \n",
       " WOSB Program Repository within thirty (30) days of the repository \n",
       " becoming available.\n",
       "     The Proposed Rule also explains the consequences for failure to \n",
       " provide the required documents and the contracting officer's duties in \n",
       " those situations. If the apparent successful WOSB or EDWOSB fails to \n",
       " provide any of the required documents, the contracting officer cannot \n",
       " make a WOSB or EDWOSB award to that concern and must file a protest \n",
       " with SBA. In addition, if the contracting officer believes that the \n",
       " apparent successful offeror does not meet the requirements of the \n",
       " program, the contracting officer must file a protest with SBA \n",
       " concerning the status of the concern.\n",
       "     In addition to the documents, SBA proposes that the WOSB or EDWOSB \n",
       " represent that it meets all of the eligibility of the program. \n",
       " Therefore, SBA is proposing that the WOSB represent the information in \n",
       " Table 1, Proposed WOSB Representations in ORCA, to ORCA.\n",
       " \n",
       " [[Page 10040]]\n",
       " \n",
       " Proposed WOSB Representations in ORCA\n",
       " \n",
       "     (i) It is certified as a WOSB by a certifying entity approved by \n",
       " SBA, the certifying entity has not issued a decision currently in \n",
       " effect finding that the concern does not qualify as a WOSB, and there \n",
       " have been no changes in its circumstances affecting its eligibility \n",
       " since its certification.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (ii) It is certified as a as a U.S. Department of Transportation \n",
       " (DOT) Disadvantaged Business Enterprise (DBE) because it is owned and \n",
       " controlled by one or more women who are citizens of the United States, \n",
       " as defined in 13 CFR Sec.  127.102.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (iii) It is certified by the U.S. Small Business Administration as \n",
       " an 8(a) BD Program Participant due to the owner(s) status as an \n",
       " economically disadvantaged woman (or women).\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (iv) If a corporation, the stock ledger and stock certificates \n",
       " evidence that at least 51 percent of each class of voting stock \n",
       " outstanding and 51 percent of the aggregate of all stock outstanding is \n",
       " unconditionally and directly owned by one or more women. In determining \n",
       " unconditional ownership of the concern, any unexercised stock options \n",
       " or similar agreements held by a woman will be disregarded. However, any \n",
       " unexercised stock option or other agreement, including the right to \n",
       " convert non-voting stock or debentures into voting stock, held by any \n",
       " other individual or entity will be treated as having been exercised.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (v) If a partnership, the partnership agreement evidences that at \n",
       " least 51 percent of each class of partnership interest is \n",
       " unconditionally and directly owned by one or more women.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (vi) If a limited liability company, the articles of organization \n",
       " and any amendments, and operating agreement and amendments, evidence \n",
       " that at least 51 percent of each class of member interest is \n",
       " unconditionally and directly owned by one or more women.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (vii) The birth certificates, naturalization papers, or passports \n",
       " for owners who are women show that the company is at least 51% owned \n",
       " and controlled by women who are U.S. citizens.\n",
       " [ballot] Yes [ballot] No\n",
       "     (viii) The ownership by women is not subject to any conditions, \n",
       " executory agreements, voting trusts, or other arrangements that cause \n",
       " or potentially cause ownership benefits to go to another.\n",
       " [ballot] Yes [ballot] No\n",
       "     (ix) The 51 percent ownership by women is not through another \n",
       " business entity (including employee stock ownership plan) that is, in \n",
       " turn, owned and controlled by one or more women.\n",
       " [ballot] Yes [ballot] No\n",
       "     (x) The 51 percent ownership by women is held through a trust, the \n",
       " trust is revocable, and the woman is the grantor, a trustee, and the \n",
       " sole current beneficiary of the trust.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xi) The management and daily business operations of the concern \n",
       " are controlled by one or more women. Control means that both the long-\n",
       " term decision making and the day-to-day management and administration \n",
       " of the business operations are conducted by one or more women.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xii) A woman holds the highest officer position in the concern and \n",
       " her resume evidences that she has the managerial experience of the \n",
       " extent and complexity needed to run the concern.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xiii) The woman manager does not have the technical expertise or \n",
       " possess the required license for the business but has ultimate \n",
       " managerial and supervisory control over those who possess the required \n",
       " licenses or technical expertise.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xiv) The woman who holds the highest officer position of the \n",
       " concern manages it on a full-time basis and devotes full-time to the \n",
       " business concern during the normal working hours of business concerns \n",
       " in the same or similar line of business.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xv) The woman who holds the highest officer position does not \n",
       " engage in outside employment that prevents her from devoting sufficient \n",
       " time and attention to the daily affairs of the concern to control its \n",
       " management and daily business operations.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xvi) If a corporation, the articles of incorporation and any \n",
       " amendments, articles of conversion, by-laws and amendments, shareholder \n",
       " meeting minutes showing director elections, shareholder meeting minutes \n",
       " showing officer elections, organizational meeting minutes, all issued \n",
       " stock certificates, stock ledger, buy-sell agreements, stock transfer \n",
       " agreements, voting agreements, and documents relating to stock options, \n",
       " including the right to convert non-voting stock or debentures into \n",
       " voting stock evidence that one or more women control the Board of \n",
       " Directors of the concern. Women are considered to control the Board of \n",
       " Directors when either: (1) one or more women own at least 51 percent of \n",
       " all voting stock of the concern, are on the Board of Directors and have \n",
       " the percentage of voting stock necessary to overcome any super majority \n",
       " voting requirements; or (2) women comprise the majority of voting \n",
       " directors through actual numbers or, where permitted by state law, \n",
       " through weighted voting.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xvii) If a partnership, the partnership agreement evidences that \n",
       " one or more women serve as general partners, with control over all \n",
       " partnership decisions.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xviii) If a limited liability company, the articles of \n",
       " organization and any amendments, and operating agreement and amendments \n",
       " evidence that one or more women serve as management members, with \n",
       " control over all decisions of the limited liability company.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xix) No males or other entity exercise actual control or have the \n",
       " power to control the concern.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xx) SBA, in connection with an examination or protest, has not \n",
       " issued a decision currently in effect finding that this company does \n",
       " not qualify as a WOSB.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxi) All required documents verifying eligibility for a WOSB \n",
       " requirement have been submitted to the WOSB Program Repository, \n",
       " including any supplemental documents if there have been changes since \n",
       " the last representation.\n",
       " [ballot] Yes [ballot] No\n",
       "     In addition, the EDWOSB must represent the information in Table 2, \n",
       " Proposed EDWOSB Representations in ORCA, to ORCA.\n",
       " \n",
       " [[Page 10041]]\n",
       " \n",
       " Proposed EDWOSB Representations in ORCA\n",
       " \n",
       "     (i) It is certified as an EDWOSB by a certifying entity approved by \n",
       " SBA, the certifying entity has not issued a decision currently in \n",
       " effect finding that the concern does not qualify as a EDWOSB, and there \n",
       " have been no changes in its circumstances affecting its eligibility \n",
       " since its certification.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (ii) It is certified as a as a U.S. Department of Transportation \n",
       " (DOT) Disadvantaged Business Enterprise (DBE) because it is owned and \n",
       " controlled by one or more women who are citizens of the United States, \n",
       " as defined in 13 CFR Sec.  127.102.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (iii) It is certified by the U.S. Small Business Administration as \n",
       " an 8(a) BD Program Participant due to the owner(s) status as an \n",
       " economically disadvantaged woman (or women).\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (iv) If a corporation, the stock ledger and stock certificates \n",
       " evidence that at least 51 percent of each class of voting stock \n",
       " outstanding and 51 percent of the aggregate of all stock outstanding is \n",
       " unconditionally and directly owned by one or more women who are \n",
       " economically disadvantaged. In determining unconditional ownership of \n",
       " the concern, any unexercised stock options or similar agreements held \n",
       " by an economically disadvantaged woman will be disregarded. However, \n",
       " any unexercised stock option or other agreement, including the right to \n",
       " convert non-voting stock or debentures into voting stock, held by any \n",
       " other individual or entity will be treated as having been exercised.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (v) If a partnership, the partnership agreement evidences that at \n",
       " least 51 percent of each class of partnership interest is \n",
       " unconditionally and directly owned by one or more economically \n",
       " disadvantaged women.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (vi) If a limited liability company, the articles of organization \n",
       " and any amendments, and operating agreement and amendments, evidence \n",
       " that at least 51 percent of each class of member interest is \n",
       " unconditionally and directly owned by one or more economically \n",
       " disadvantaged women.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (vii) The birth certificates, naturalization papers, or passports \n",
       " show that the company is at least 51% owned and controlled by \n",
       " economically disadvantaged women who are U.S. citizens.\n",
       " [ballot] Yes [ballot] No\n",
       "     (viii) The ownership by economically disadvantaged women is not \n",
       " subject to any conditions, executory agreements, voting trusts, or \n",
       " other arrangements that cause or potentially cause ownership benefits \n",
       " to go to another.\n",
       " [ballot] Yes [ballot] No\n",
       "     (ix) The 51 percent ownership by economically disadvantaged women \n",
       " is not through another business entity (including employee stock \n",
       " ownership plan) that is, in turn, owned and controlled by one or more \n",
       " economically disadvantaged women.\n",
       " [ballot] Yes [ballot] No\n",
       "     (x) The 51 percent ownership by economically disadvantaged women is \n",
       " held through a trust, the trust is revocable, and the economically \n",
       " disadvantaged woman is the grantor, a trustee, and the sole current \n",
       " beneficiary of the trust.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xi) The management and daily business operations of the concern \n",
       " are controlled by one or more economically disadvantaged women. Control \n",
       " means that both the long-term decision making and the day-to-day \n",
       " management and administration of the business operations are conducted \n",
       " by one or more economically disadvantaged women.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xii) An economically disadvantaged woman holds the highest officer \n",
       " position in the concern and her resume evidences that she has the \n",
       " managerial experience of the extent and complexity needed to run the \n",
       " concern.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xiii) The economically disadvantaged woman manager does not have \n",
       " the technical expertise or possess the required license for the \n",
       " business but has ultimate managerial and supervisory control over those \n",
       " who possess the required licenses or technical expertise.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xiv) The economically disadvantaged woman who holds the highest \n",
       " officer position of the concern manages it on a full-time basis and \n",
       " devotes full-time to the business concern during the normal working \n",
       " hours of business concerns in the same or similar line of business.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xv) The economically disadvantaged woman who holds the highest \n",
       " officer position does not engage in outside employment that prevents \n",
       " her from devoting sufficient time and attention to the daily affairs of \n",
       " the concern to control its management and daily business operations.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xvi) If a corporation, the articles of incorporation and any \n",
       " amendments, articles of conversion, by-laws and amendments, shareholder \n",
       " meeting minutes showing director elections, shareholder meeting minutes \n",
       " showing officer elections, organizational meeting minutes, all issued \n",
       " stock certificates, stock ledger, buy-sell agreements, stock transfer \n",
       " agreements, voting agreements, and documents relating to stock options, \n",
       " including the right to convert non-voting stock or debentures into \n",
       " voting stock evidence that one or more economically disadvantaged women \n",
       " control the Board of Directors of the concern. Economically \n",
       " disadvantaged women are considered to control the Board of Directors \n",
       " when either: (1) one or more economically disadvantaged women own at \n",
       " least 51 percent of all voting stock of the concern, are on the Board \n",
       " of Directors and have the percentage of voting stock necessary to \n",
       " overcome any super majority voting requirements; or (2) economically \n",
       " disadvantaged women comprise the majority of voting directors through \n",
       " actual numbers or, where permitted by state law, through weighted \n",
       " voting.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xvii) If a partnership, the partnership agreement evidences that \n",
       " one or more economically disadvantaged women serve as general partners, \n",
       " with control over all partnership decisions.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xviii) If a limited liability company, the articles of \n",
       " organization and any amendments, and operating agreement and amendments \n",
       " evidence that one or more economically disadvantaged women serve as \n",
       " management members, with control over all decisions of the limited \n",
       " liability company.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xix) No males or other entity exercise actual control or have the \n",
       " power to control the concern.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xx) The economically disadvantaged woman or women upon whom \n",
       " eligibility is based can demonstrate that their ability to compete in \n",
       " the free\n",
       " \n",
       " [[Page 10042]]\n",
       " \n",
       " enterprise system has been impaired due to diminished capital and \n",
       " credit opportunities as compared to others in the same or similar line \n",
       " of business (not considering community property laws when determining \n",
       " economic disadvantage when the woman has no ownership interest in the \n",
       " property).\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxi) The economically disadvantaged woman upon whom eligibility is \n",
       " based has read the SBA's regulations defining economic disadvantage and \n",
       " can demonstrate that her personal net worth is less than $750,000, \n",
       " excluding her ownership interest in the concern and her equity interest \n",
       " in her primary personal residence.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxii) The personal financial condition of the woman claiming \n",
       " economic disadvantage, including her personal income for the past two \n",
       " years (including bonuses, and the value of company stock given in lieu \n",
       " of cash), her personal net worth and the fair market value of all of \n",
       " her assets, whether encumbered or not, evidences that she is \n",
       " economically disadvantaged.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxiii) The adjusted gross income of the woman claiming economic \n",
       " disadvantage averaged over the two years preceding the certification \n",
       " does not exceed $200,000.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxiv) The adjusted gross income of the woman claiming economic \n",
       " disadvantage averaged over the two years preceding the certification \n",
       " exceeds $200,000; however, the woman can show that this income level \n",
       " was unusual and not likely to occur in the future, that losses \n",
       " commensurate with and directly related to the earnings were suffered, \n",
       " or that the income is not indicative of lack of economic disadvantage.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xxv) The fair market value of all the assets (including her \n",
       " primary residence and the value of the business concern but excluding \n",
       " funds invested in an Individual Retirement Account or other official \n",
       " retirement account that are unavailable until retirement age without a \n",
       " significant penalty) of the woman claiming economic disadvantage does \n",
       " not exceed $3 million.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxvi) The woman claiming economic disadvantage has not transferred \n",
       " any assets within two years of the date of the certification.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxvii) The woman claiming economic disadvantage has transferred \n",
       " assets within two years of the date of the certification. However, the \n",
       " transferred assets were: (1) to or on behalf of an immediate family \n",
       " member for that individual's education, medical expenses, or some other \n",
       " form of essential support; or (2) to an immediate family member in \n",
       " recognition of a special occasion, such as a birthday, graduation, \n",
       " anniversary, or retirement.\n",
       " [ballot] Yes [ballot] No [ballot] N/A\n",
       "     (xxviii) SBA, in connection with an examination or protest, has not \n",
       " issued a decision currently in effect finding that this company does \n",
       " not qualify as a EDWOSB.\n",
       " [ballot] Yes [ballot] No\n",
       "     (xxix) All required documents verifying eligibility for the EDWOSB \n",
       " requirement have been submitted to the WOSB Program Repository, \n",
       " including any supplemental documents if there have been changes since \n",
       " the last representation.\n",
       " [ballot] Yes [ballot] No\n",
       "     SBA is specifically requesting comments on all of these approaches \n",
       " to certification, or other alternatives that would meet the statutory \n",
       " requirements and ensure that only eligible small businesses receive \n",
       " WOSB or EDWOSB contracts.\n",
       " \n",
       " VIII. Eligibility Examinations\n",
       " \n",
       "     SBA also proposes amending current Sec.  127.400 concerning \n",
       " eligibility examinations. The rule currently states that SBA will \n",
       " conduct an examination to determine eligibility at the time of the \n",
       " examination. However, the Act states that the Administrator shall \n",
       " establish procedures for verification of the accuracy of any \n",
       " certifications and those procedures may provide for program \n",
       " examinations, including random examinations. 15 U.S.C. 637(m)(5). It is \n",
       " clear that the examinations are to serve as a mechanism against fraud, \n",
       " waste and abuse in the program. Thus, SBA believes that the purpose of \n",
       " such examinations is broader, and that examinations should be used to \n",
       " verify eligibility at any time, including when an EDWOSB or WOSB \n",
       " certifies it is such a concern in ORCA, CCR, or at the time of offer or \n",
       " award of a contract. Therefore, SBA has amended this rule to explain \n",
       " that eligibility examinations will be used to verify eligibility at \n",
       " those times, as well.\n",
       "     In addition, this Proposed Rule states that SBA will conduct such \n",
       " examinations, as a way to combat fraud and abuse of the program. \n",
       " Further, as permitted by statute, SBA may adopt one or more various \n",
       " approaches from time to time and as appropriate by the circumstances \n",
       " when determining which WOSBs or EDWOSBs to examine. This may include \n",
       " the utilization of robust random sampling, as well as higher levels of \n",
       " random examinations of WOSBS or EDWOSBs that have received the most \n",
       " contracts or most contract dollars during any applicable period. \n",
       " Further, SBA may decide to conduct examinations when it has received \n",
       " credible information that certain WOSBS or EDWOSBs do not meet the \n",
       " eligibility criteria of the WOSB Program.\n",
       "     As part of these examinations, the WOSB or EDWOSB must submit \n",
       " documents to verify its eligibility. Specifically, this Proposed Rule \n",
       " requires WOSBs and EDWOSBs to submit documents to verify eligibility, \n",
       " including those submitted under proposed Sec.  127.300(c), as well as \n",
       " copies of proposals or bids submitted in response to an EDWOSB or WOSB \n",
       " solicitation. In addition, EDWOSBs will be required to submit the two \n",
       " most recent personal income tax returns (including all schedules and W-\n",
       " 2 forms) for the women claiming economic disadvantage and their spouses \n",
       " and SBA Form 4506-T, Request for Tax Transcript Form. In some cases, \n",
       " SBA may be able to obtain those documents from the third-party \n",
       " certifier or the contracting officer's contract file.\n",
       "     However, because the examination may look at eligibility at the \n",
       " time of certification in ORCA, this Proposed Rule requires that WOSBs \n",
       " or EDWOSBs retain documents demonstrating satisfaction of the \n",
       " eligibility requirements for six (6) years from date of self-\n",
       " certification. SBA believes that WOSBs and EDWOSBs already retain this \n",
       " information in the ordinary course of business and that it does not \n",
       " impose a burden on these businesses.\n",
       " \n",
       " IX. Agency-by-Agency Determination\n",
       " \n",
       "     This Proposed Rule seeks to strike from the 2008 Final Rule the \n",
       " requirement at Sec.  127.501 for an agency-by-agency determination of \n",
       " discrimination. Specifically, in response to SBA's June 15, 2006 \n",
       " Proposed Rule, commenters voiced concerns over the requirement in \n",
       " proposed Sec.  127.501(b) that the procuring agency conduct its own \n",
       " additional analysis of its procurement history and make a determination \n",
       " whether the agency itself had discriminated against WOSBs in the \n",
       " relevant industry. The comments state\n",
       " \n",
       " [[Page 10043]]\n",
       " \n",
       " that this requirement would frustrate Congressional intent by applying \n",
       " an erroneous and overly restrictive standard of constitutional \n",
       " scrutiny. The comments also state that the disparity study analysis \n",
       " conducted by RAND is sufficient to satisfy the intermediate scrutiny \n",
       " standard that applies to the WOSB Program and that the agency \n",
       " determination of discrimination requirement exceeds what would be \n",
       " required even under the strict scrutiny standard applicable to \n",
       " classifications based on race and national origin. The comments further \n",
       " state that the requirement would inappropriately limit the industries \n",
       " in which WOSBs were recognized as underrepresented or substantially \n",
       " underrepresented. Lastly, the comments state that this requirement \n",
       " would substantially burden the procuring agencies and that the \n",
       " procuring agencies would avoid fulfilling the goals of the program to \n",
       " avoid self-incrimination and litigation.\n",
       "     Based on these comments and further analysis, SBA agrees that an \n",
       " agency-by-agency analysis is not required.\n",
       "     First, the equal protection requirements of the Fifth Amendment \n",
       " establish that programs that use gender as a factor in distributing \n",
       " benefits to individuals must further important governmental objectives \n",
       " and employ means that are substantially related to the achievement of \n",
       " those objectives. See United States v. Virginia, 518 U.S. 515, 533 \n",
       " (1996).\n",
       "     In applying this standard to the WOSB Program, the government has \n",
       " an important objective: to redress the effects of past discrimination \n",
       " against women in contracting and to ensure that the effects of that \n",
       " discrimination do not serve to limit WOSBs' opportunities to \n",
       " participate in Federal contracting opportunities. (See City of Richmond \n",
       " v. Croson Co., 488 U.S. at 492, ``It is beyond dispute that any public \n",
       " entity, state or federal, has a compelling interest in assuring that \n",
       " public dollars, drawn from the tax contributions of all citizens, do \n",
       " not serve to finance the evil of private prejudice.'')\n",
       "     This objective--to overcome the effects of past sex discrimination \n",
       " and to ensure that the effects of such discrimination are not extended \n",
       " into its own procurement activity--is sufficiently ``important'' to \n",
       " sustain the WOSB Program. See Califano v. Webster, 430 U.S. 313, 318 \n",
       " (1977). More specifically, the Court has repeatedly upheld as an \n",
       " important government objective the reduction of disparities in \n",
       " condition or treatment between men and women caused by the long history \n",
       " of discrimination against women. See Califano, 430 U.S. at 317; Miss. \n",
       " Univ. for Women v. Hogan, 458 U.S. 718, 728 (1982); Schlesinger v. \n",
       " Ballard, 419 U.S. 498 (1975); Kahn v. Shevin, 416 U.S. 351 (1974).\n",
       "     Moreover, the benefits provided through the WOSB program are not a \n",
       " result of ``archaic and overbroad generalizations'' about women, \n",
       " Schlesinger, 219 U.S. at 508, or of ``the role-typing society has long \n",
       " imposed'' upon women, Stanton v. Stanton, 421 U.S. 7, 15 (1975). \n",
       " Instead, they are a targeted means to redress the discrimination to \n",
       " which women have long been subjected and which has prevented them from \n",
       " competing equally for Federal contracts.\n",
       "     The means chosen by Congress to implement the WOSB Program ensure \n",
       " that the Program is substantially related to its goals. Congress \n",
       " expressly limited application of the WOSB Program only to industries in \n",
       " which women are substantially underrepresented or underrepresented in \n",
       " contracting. The RAND Report, as is more fully explained above, is a \n",
       " detailed analysis of WOSBs which identifies the disparity ratio of \n",
       " WOSBs in Federal prime contracting by 4-digit NAICS code.\n",
       "     This Proposed Rule is limited to the eligible industries identified \n",
       " in the RAND study, and SBA in the future may conduct new studies or \n",
       " update existing studies as appropriate.\n",
       "     In addition, SBA agrees with commenters that an agency-by-agency \n",
       " determination is not required for the WOSB Program to be substantially \n",
       " related to an important government objective or to be properly \n",
       " implemented. The Supreme Court has rejected the contention that \n",
       " government may adopt a race-conscious contracting program only ``to \n",
       " eradicate the effects of its own prior discrimination,'' and this \n",
       " conclusion also applies to gender-conscious contracting programs. \n",
       " Croson, 488 U.S. at 486. Accordingly, this Proposed Rule seeks to \n",
       " strike from the Final Rule at Sec.  127.501 the requirement for an \n",
       " agency-by-agency determination of discrimination.\n",
       " \n",
       " X. Contract File\n",
       " \n",
       "     This Proposed Rule requires contracting officers to document the \n",
       " contract file with results of market research and the fact that the \n",
       " NAICS code assigned to the contract is for an industry that SBA has \n",
       " designated as a substantially underrepresented industry with respect to \n",
       " WOSBs. SBA is considering adding the following additional language to \n",
       " Sec.  127.503(e):\n",
       " \n",
       "     In addition, the contracting officer must document the contract \n",
       " file showing that the apparent successful offeror's ORCA \n",
       " certifications and associated representations were reviewed.\n",
       " \n",
       " SBA is requesting comments on this proposal.\n",
       " \n",
       " XI. Joint Venture Requirements\n",
       " \n",
       "     SBA has also proposed amendments to the current joint venture \n",
       " regulation, permitting EDWOSB or WOSB joint ventures for EDWOSB or WOSB \n",
       " contracts. The rule currently provides that the EDWOSB or WOSB must \n",
       " perform a significant portion of the contract. SBA has proposed \n",
       " clarifying this requirement by requiring that not less than 51 percent \n",
       " of the net profits earned by the joint venture must be distributed to \n",
       " the EDWOSB or WOSB. SBA also proposes clarifying that the joint venture \n",
       " agreement must be in writing and set forth the following provisions: \n",
       " the purpose of the joint venture, that an EDWOSB or WOSB must be the \n",
       " managing venturer, that an employee of the managing venturer must be \n",
       " the project manager responsible for the performance of the contract, \n",
       " and the responsibilities of the parties with regard to contract \n",
       " performance, sources of labor, and negotiation of the EDWOSB or WOSB \n",
       " contract.\n",
       " \n",
       " XII. Request for Comments\n",
       " \n",
       "     SBA seeks comments on all aspects of this Proposed Rule. This \n",
       " includes comments relating to the eligible industries, and especially \n",
       " the use of the CCR data set and SBA's concerns with the use of the SBO \n",
       " data set. This also includes comments relating to the certification \n",
       " procedures, including the certification requirements, representations \n",
       " in ORCA, and submission of documents to the document repository.\n",
       " \n",
       " Compliance With Executive Orders 12866, 12988, 13132, the Paperwork \n",
       " Reduction Act (44 U.S.C., Chapter 35) and the Regulatory Flexibility \n",
       " Act (5 U.S.C. 601-612)\n",
       " \n",
       " Executive Order 12866\n",
       "     OMB has determined that this rule is a ``significant'' regulatory \n",
       " action under Executive Order 12866. The Regulatory Impact Analysis is \n",
       " set forth below.\n",
       " Regulatory Impact Analysis\n",
       " 1. Necessity of Regulation\n",
       "     This regulatory action implements section 8(m) of the Act, which \n",
       " was enacted as part of section 811 of the Small Business \n",
       " Reauthorization Act of 2000, Public Law 106-554. Section 8(m) \n",
       " authorizes the creation of the contracting assistance mechanism \n",
       " described in this regulation. Under this regulation, contracting \n",
       " officers will be\n",
       " \n",
       " [[Page 10044]]\n",
       " \n",
       " allowed to restrict competition to EDWOSBs in industries in which SBA \n",
       " has determined that WOSBs are underrepresented or substantially \n",
       " underrepresented and to WOSBs in industries in which SBA has determined \n",
       " that WOSBs are substantially underrepresented and waived the \n",
       " economically disadvantaged requirement. This Proposed Rule will \n",
       " establish the requirements and procedures necessary to administer these \n",
       " restricted competitions.\n",
       " 2. Alternative Approaches to Proposed Rule\n",
       "     In developing this Proposed Rule, SBA considered the costs and \n",
       " benefits of alternatives for certification of small business concerns \n",
       " that claim EDWOSB or WOSB status, particularly the alternatives \n",
       " provided by section 8(m) of the Act. Specifically, section 8(m)(2)(F) \n",
       " provides that in order to qualify as a WOSB or EDWOSB, a concern must \n",
       " either be certified by a Federal agency, a State government, or a \n",
       " national certifying entity approved by the Administrator, or, \n",
       " alternatively, must certify to the contracting officer that it is a \n",
       " small business concern owned and controlled by women and provide \n",
       " supporting documents. In light of this provision, SBA considered \n",
       " performing the certifications by requiring each concern to submit a \n",
       " formal application to SBA for a determination of its status. That \n",
       " approach, however, is not required or intended by the statute or \n",
       " legislative history.\n",
       "     In addition, SBA considered utilizing third-party certifiers. For \n",
       " the reasons set forth in the preamble, SBA has decided to propose the \n",
       " use of such third-party certifiers. SBA believes that the proposed \n",
       " process would be the most beneficial and cost-effective approach for \n",
       " the small business concerns because they will not have to submit formal \n",
       " applications to SBA to become eligible for restricted competition for \n",
       " WOSB and EDWOSB procurements.\n",
       "     In this Proposed Rule, SBA has proposed the use of an ORCA \n",
       " certification and document submission process, which is similar to the \n",
       " one that is used in other existing SBA set-aside programs. For example, \n",
       " SBA's program for small businesses permits those concerns to self-\n",
       " represent their size when submitting offers on Federal contracts. The \n",
       " set-aside program for small businesses has worked well for decades. SBA \n",
       " believes that the certification process proposed in this rule is \n",
       " credible because it supported by robust protest procedures as well as \n",
       " eligibility examinations. In addition, the business concern must \n",
       " provide documents verifying its eligibility.\n",
       "     SBA did consider another option with respect to the submission of \n",
       " documents to the contracting officer. As discussed in the preamble \n",
       " above, the Act states that a WOSB or EDWOSB can certify to the \n",
       " contracting officer that it is such an entity and must provide \n",
       " supporting documents to the contracting officer verifying its \n",
       " eligibility. This Proposed Rule requires the WOSB or EDWOSB to submit \n",
       " certain documents to the contracting officer via an electronic \n",
       " repository at the time of initial certification in ORCA and then every \n",
       " year after that. In addition, WOSBs and EDWOSBs must also provide \n",
       " updated documents anytime there is a change that necessitates \n",
       " supplementing the original document submission. In the alternative, if \n",
       " the repository is not available, the WOSB or EDWOSB must submit those \n",
       " documents directly to the contracting officer prior to the award of a \n",
       " WOSB or EDWOSB contract. SBA did consider having the EDWOSB or WOSB \n",
       " provide all necessary documents to the contracting officer at the time \n",
       " of award in order to verify eligibility of the awardee (e.g., tax \n",
       " returns, resumes). However, SBA believes this may be a burden on both \n",
       " the small business and contracting community and therefore did not \n",
       " propose this alternative. SBA is still exploring the feasibility of all \n",
       " of these approaches and has requested comments from the public on all \n",
       " of them and any other the public may have.\n",
       "     SBA also considered alternative data sets and measures of \n",
       " disparity. SBA proposes to use the CCR database and both numbers and \n",
       " dollars approaches for the reasons set forth in the preamble but \n",
       " solicits comments on this approach.\n",
       " 3. What Are the Potential Benefits and Costs of This Regulatory Action?\n",
       "     This rule directs benefits to EDWOSBs and WOSBs at a cost to \n",
       " concerns ineligible for the program. In addition, this rule may result \n",
       " in new administrative costs of managing a Federal contracting \n",
       " assistance program. However, SBA believes that these costs are \n",
       " significantly outweighed by the benefits to be gained by reducing the \n",
       " inefficiencies caused by discriminatory barriers that currently impede \n",
       " WOSBs' full participation in the Federal contracting market.\n",
       "     Any concern about an increase in product or service cost is \n",
       " balanced by the requirement in the statute and Proposed Rule that any \n",
       " contract award under the WOSB Program be made at a fair and reasonable \n",
       " price. Further, there will not be any additional cost associated with \n",
       " the length of the procurement since the process will not be any longer, \n",
       " and could in some instances be shorter, than would be the case in the \n",
       " absence of the WOSB program. Finally, the creation and development of \n",
       " WOSBs could well, over time, result in enhanced bidding for Federal \n",
       " contracts, ultimately resulting in lower costs of contracts for the \n",
       " Federal government.\n",
       "     This rule aims to aid EDWOSBs and WOSBs by enabling contracting \n",
       " officers to restrict competition to EDWOSBs in industries in which SBA \n",
       " has determined that WOSBs are underrepresented and substantially \n",
       " underrepresented and to WOSBs in industries in which SBA has determined \n",
       " that WOSBs are substantially underrepresented where certain threshold \n",
       " determinations are made by an agency. It is difficult to estimate the \n",
       " total number of potential beneficiaries that will be eligible for \n",
       " Federal small business assistance as a result of this Proposed Rule. \n",
       " Utilizing the RAND FPDS/NG data set for the total number of WOSBs \n",
       " (identified by Dun and Bradstreet DUNS number) that received obligated \n",
       " funds from awards, contracts, orders and modifications to existing \n",
       " contracts for FY 2005, approximately 12,000 WOSBs were identified as \n",
       " recipients of Federal contracts in the 83 NAICS codes that would be \n",
       " eligible under the WOSB Program. It is expected that the number of \n",
       " awards to EDWOSBs and WOSBs will increase within these NAICS codes \n",
       " should an agency restrict competition to those groups in accordance \n",
       " with the procedures in this Proposed Rule.\n",
       "     To the extent that additional firms become active in government \n",
       " programs, additional administrative costs to the Federal government may \n",
       " arise due to additional bidders for Federal small business procurement \n",
       " programs, additional firms seeking SBA guaranteed lending programs, and \n",
       " additional firms eligible for enrollment in SBA's Dynamic Small \n",
       " Business Search data base. Among businesses in this group seeking SBA \n",
       " assistance, there will be some additional costs associated with \n",
       " compliance and verification associated with certification of small \n",
       " business status and protests of small business status. However, these \n",
       " activities are likely to generate minimal incremental costs since \n",
       " mechanisms are currently in place to handle these administrative \n",
       " requirements.\n",
       "     In addition, as more EDWOSBs and WOSBs enter into the Federal \n",
       " arena, competition will likely increase, lowering the cost of the \n",
       " program and ultimately, we hope, eliminating\n",
       " \n",
       " [[Page 10045]]\n",
       " \n",
       " underrepresentation within the industries covered by this Proposed Rule \n",
       " and the industry's participation in the program. In the long run, small \n",
       " business opportunities--and the amount of competition in the Federal \n",
       " procurement market as a whole--will be enhanced by the experience WOSBs \n",
       " gain in Federal contracting through participation in this Program. \n",
       " While WOSBs gain this experience, moreover, this Rule ensures that any \n",
       " contract award to them will be based on a fair and reasonable price to \n",
       " the government. Indeed, the current barriers that inhibit WOSBs' \n",
       " ability to compete equally for contracts and subcontracts impose upon \n",
       " the government increased costs due to lessened competition; these costs \n",
       " are likely to be reduced as more WOSBs become economically successful \n",
       " and competition for contracts and subcontracts therefore increases.\n",
       "     This regulatory action promotes the government's objectives. One of \n",
       " SBA's goals is to help individual small businesses succeed through fair \n",
       " and equitable access to capital and credit, government contracts, and \n",
       " management and technical assistance. Implementation of this Proposed \n",
       " Rule ensures that the intended beneficiaries have access to small \n",
       " business programs designed to assist them. This Proposed Rule does not \n",
       " interfere with State, local, and tribal governments in the exercise of \n",
       " their government functions. In a few instances, in fact, State and \n",
       " local governments have voluntarily adopted SBA's regulations for their \n",
       " programs; those state and local governments that do so here will save \n",
       " resources that otherwise would be consumed by the need to establish \n",
       " their own administrative standards and processes.\n",
       "     This regulatory action will also enable the Federal government to \n",
       " avoid extending the effects of discrimination against women through the \n",
       " government's own contracting processes. As explained in Section I, \n",
       " Background, of the preamble, the Federal government has an obligation \n",
       " to ensure that it is not implementing contracting procedures that \n",
       " permit the effects of sex discrimination to continue to impede the \n",
       " ability of WOSBs to participate in Federal contracting. As stated in \n",
       " Croson, these remedial programs not only help businesses overcome the \n",
       " effects of discrimination, but ensure that the public's tax dollars are \n",
       " not spent in a discriminatory manner. This program, by creating a \n",
       " sheltered market for a very small percentage of Federal contracts, thus \n",
       " advances the Federal government's commitment to ensuring equal \n",
       " opportunity in its contracting processes.\n",
       " Executive Order 12988\n",
       "     This action meets applicable standards set forth in Sections 3(a) \n",
       " and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize \n",
       " litigation, eliminate ambiguity, and reduce burden. This action does \n",
       " not have retroactive or preemptive effect.\n",
       " Executive Order 13132\n",
       "     This rule does not have federalism implications as defined in the \n",
       " Executive Order. It will not have substantial direct effects on the \n",
       " States, on the relationship between the national government and the \n",
       " States, or on the distribution of power and responsibilities among the \n",
       " various levels of government, as specified in Executive Order 13132.\n",
       " Paperwork Reduction Act (PRA)\n",
       "     For purposes of the Paperwork Reduction Act, 44 U.S.C. Chapter 35, \n",
       " SBA has determined that this Proposed Rule imposes new reporting and \n",
       " recordkeeping requirements. The certification process described in \n",
       " Subpart C, Sec. Sec.  127.300 to 127.302, is an information collection. \n",
       " The proposed self-certification process requires a concern seeking to \n",
       " benefit from Federal contracting opportunities designated for WOSBs or \n",
       " EDWOSBs to verify its status by using the existing electronic \n",
       " contracting system (i.e., ORCA). The WOSB or EDWOSB will have to \n",
       " represent in ORCA that it meets each eligibility requirement of the \n",
       " program. In addition, the WOSB or EDWOSB will be required to submit \n",
       " certain documents verifying eligibility at the time of certification in \n",
       " ORCA (and every year after). SBA proposes that these documents be \n",
       " submitted to a document repository, or until the repository is \n",
       " established, the contracting office upon notice of a proposed award. \n",
       " Further, the protest and eligibility examination procedures will \n",
       " require the submission of documents from those parties subject to a \n",
       " protest and eligibility examination. To reduce the burden on the WOSBs \n",
       " or EDWOSBs, the same documents submitted at the time of certification \n",
       " will be used for the protests and eligibility examinations, except that \n",
       " for protests and eligibility examinations, SBA will also request copies \n",
       " of proposals submitted in response to a WOSB or EDWOSB solicitation and \n",
       " certain other documents and information to verify the status of an \n",
       " EDWOSB.\n",
       "     Finally this proposed rule also requires the WOSBs or EDWOSBs to \n",
       " retain copies of the documents submitted for a period of six (6) years. \n",
       " SBA believes, however, that any additional burden imposed by this \n",
       " recordkeeping requirement would be de minimus since the firms would \n",
       " maintain the information in their general course of business.\n",
       "     SBA has submitted this information collection to OMB for review.\n",
       "     Title and Description of Information Collection: Women-Owned Small \n",
       " Business Federal Contract Assistance Program Purpose: The information \n",
       " collected is modeled on two currently approved information collections: \n",
       " SBA Form 1010, OMB Control 3245-0331, SBA's Application for 8(a) \n",
       " Business Development, and SBA Form 413, OMB Control 3245-0188, SBA's \n",
       " Application for Personal Financial Statement, which are used to collect \n",
       " personal and business information on the businesses and owners applying \n",
       " to this program. The information requested for this program includes \n",
       " information verifying the WOSB/EDWOSB status of the business concern, \n",
       " including tax returns, personal statements, and business documents.\n",
       "     OMB Control Number: New collection.\n",
       "     Description of and Estimated Number of Respondents: This \n",
       " information will be collected from the small business concerns that are \n",
       " not already certified by an approved third party certifier and \n",
       " therefore must self-certify and verify their status by submitting \n",
       " certain required documents to a document repository at the time of ORCA \n",
       " certification. This same information must also be collected by the \n",
       " third party certifier when making its certification determination. As \n",
       " noted above, utilizing the RAND FPDS data set for the total number of \n",
       " WOSBs (identified by Dun and Bradstreet DUNS number) that received \n",
       " obligated funds from awards, contracts, orders and modifications to \n",
       " existing contracts for FY 2005, approximately 12,000 WOSBs were \n",
       " identified as recipients of Federal contracts in the 83 NAICS codes \n",
       " that would be eligible under the WOSB Program. Estimated Number of \n",
       " Responses: In FY 2005, there were 12,000 WOSBs that were identified as \n",
       " recipients of Federal contracts in the 83 NAICS codes that would be \n",
       " eligible under the WOSB Program. Thus, SBA estimates that there will be \n",
       " 12,000 responses. In addition, SBA intends to conduct eligibility \n",
       " examinations and protests and appeals. The total estimated number of \n",
       " responses is 12,200.\n",
       "     Estimated Response Time: 2 hours. Total Estimated Annual Hour \n",
       " Burden: 24,400 hours.\n",
       "     Please send comments by the closing date for comment for this \n",
       " Proposed Rule\n",
       " \n",
       " [[Page 10046]]\n",
       " \n",
       " to SBA Desk Officer, Office of Management and Budget, Office of \n",
       " Information and Regulatory Affairs, 725 17th Street, NW., Washington, \n",
       " DC 20503 and to Dean Koppel, Assistant Director, Office of Government \n",
       " Contracting, U.S. Small Business Administration, 409 Third Street, SW., \n",
       " Washington, DC 20416.\n",
       " Regulatory Flexibility Act\n",
       "     SBA has determined that this Proposed Rule establishing a set-aside \n",
       " mechanism for WOSBs may have a significant economic impact on a \n",
       " substantial number of small entities within the meaning of the \n",
       " Regulatory Flexibility Act (RFA), 5 U.S.C. 601, et seq. Accordingly, \n",
       " SBA has prepared an Initial Regulatory Flexibility Analysis (IRFA) \n",
       " addressing the impact of this Rule in accordance with section 603, \n",
       " title 5, of the United States Code. The IRFA examines the objectives \n",
       " and legal basis for this Proposed Rule; the kind and number of small \n",
       " entities that may be affected; the projected recordkeeping, reporting, \n",
       " and other requirements; whether there are any Federal rules that may \n",
       " duplicate, overlap, or conflict with this Proposed Rule; and whether \n",
       " there are any significant alternatives to this Proposed Rule.\n",
       " 1. What Are the Reasons for, and Objectives of, This Proposed Rule?\n",
       "     SBA is establishing procedures whereby Federal procuring agencies \n",
       " may use restricted competition in industries where WOSBs are \n",
       " substantially underrepresented, or, in some cases, underrepresented in \n",
       " Federal procurement and when certain other conditions are met. The \n",
       " purpose of this Proposed Rule is to create an initial framework and \n",
       " infrastructure for implementing these new procedures, thereby providing \n",
       " a tool for Federal agencies to ensure that WOSBs have an equal \n",
       " opportunity to participate in Federal contracting. The objectives of \n",
       " this Proposed Rule are to overcome the effects of sex discrimination on \n",
       " women's opportunities to participate equally in Federal contracting, to \n",
       " ensure a level playing field on which women-owned small businesses have \n",
       " a fair opportunity to compete for Federal contracts, and to ensure that \n",
       " the WOSB Program is substantially related to the Congressional goals in \n",
       " accordance with applicable law.\n",
       " 2. What Is the Legal Basis for This Proposed Rule?\n",
       "     SBA is proposing this regulation pursuant to section 8(m) of the \n",
       " Small Business Act, 15 U.S.C. 637(m), which authorizes the creation and \n",
       " implementation of a new mechanism for Federal contracting with WOSBs.\n",
       " 3. What Is SBA's Description and Estimate of the Number of Small \n",
       " Entities to Which the Rule Will Apply?\n",
       "     The RFA directs agencies to provide a description, and where \n",
       " feasible, an estimate of the number of small business concerns that may \n",
       " be affected by the rule. This Proposed Rule will ultimately establish \n",
       " in the FAR a new procurement mechanism to benefit WOSBs. Therefore, \n",
       " WOSBs that compete for Federal contracts are the specific group of \n",
       " small business concerns most directly affected by this rule. The rule \n",
       " may also affect other small businesses to the extent that small \n",
       " businesses not owned and controlled by women may be excluded from \n",
       " competing for certain Federal contracting opportunities.\n",
       "     SBA searched CCR's DSBS and determined that there were \n",
       " approximately 76,000 WOSBs listed. However, it is not likely that all \n",
       " of these firms will be affected by this rule because not all of these \n",
       " firms likely do business in one of the 83 four-digit NAICS codes \n",
       " identified as underrepresented or substantially underrepresented by the \n",
       " Proposed Rule. SBA attempted to approximate the number of WOSBs in the \n",
       " 83 industries, but there is no simple method of determining how many \n",
       " firms actually participated in these NAICS codes. SBA did review the \n",
       " DSBS to determine that, as of June 30, 2009, there were approximately \n",
       " 230,005 WOSBs identified in the 83 industries that will be eligible for \n",
       " contract assistance under the WOSB Program. However, this approach \n",
       " counted a WOSB multiple times if it listed itself in more than one \n",
       " NAICS code, and therefore likely overstates the number of WOSBs that \n",
       " will be affected by this rule. Therefore, the best estimate of the \n",
       " maximum number of currently registered WOSBs that could be affected by \n",
       " this rule is approximately 76,000. However, there may be more WOSBs \n",
       " affected if additional firms list themselves in DSBS or if SBA approves \n",
       " additional industries for set-aside procurements under these \n",
       " procedures. However, the number could be less because many otherwise-\n",
       " qualified EDWOSBs and WOSBs will not find it advantageous to \n",
       " participate in the WOSB Program, since the industries in which they do \n",
       " business are not one of the 83 eligible industries.\n",
       "     This Proposed Rule would affect small businesses other than WOSBs \n",
       " that are excluded from competition for Federal contracts that are \n",
       " included in the Program. Non-WOSBs in the 83 designated industries may \n",
       " be excluded from opportunities from which they would have otherwise \n",
       " benefited. However, the Federal government purchases billions of \n",
       " dollars of goods and services every year, and SBA believes that there \n",
       " are sufficient acquisitions available for all small businesses. \n",
       " Therefore, the number of small businesses that could be excluded under \n",
       " the proposed determination of eligible industries or future such \n",
       " determinations is not known at this time.\n",
       "     Additional contracting opportunities identified by Federal agencies \n",
       " as candidates for the WOSB program will come from new contracting \n",
       " requirements and contracts currently performed by small and large \n",
       " businesses. At this time, SBA cannot accurately predict how the \n",
       " existing distribution of contracts by business type may change by this \n",
       " rule.\n",
       " 4. What Are the Projected Reporting, Recordkeeping, Paperwork Reduction \n",
       " Act and Other Compliance Requirements?\n",
       "     WOSBs are not required to be certified as such in order to contract \n",
       " with the Federal Government; this will still be true if this Proposed \n",
       " Rule is adopted. For a WOSB to be eligible for Federal contracts \n",
       " restricted to WOSBs or EDWOSBs, however, it will have to self-certify \n",
       " its status as a WOSB in ORCA and CCR. Any WOSB or EDWOSB that is the \n",
       " apparent successful offeror will have to provide certain documents to \n",
       " the contracting officer, prior to award, to verify its eligibility. \n",
       " This procedure is required by statute. This requirement ensures that \n",
       " participation in certain contracting opportunities is restricted to \n",
       " qualified WOSBs according to the terms of section 8(m) of the Act and \n",
       " the criteria in this Proposed Rule. In addition, concerns would have to \n",
       " submit information to SBA in the context of a protest or examination. \n",
       " In the case of a protest or examination, SBA might request that a \n",
       " particular WOSB submit documentation to substantiate its claim. WOSBs \n",
       " or EDWOSBs are required to retain documentation demonstrating \n",
       " satisfaction of the eligibility requirements for six (6) years from \n",
       " date of self-certification in ORCA. SBA proposes to require the \n",
       " documents be kept for six (6) years from the date of a self-\n",
       " certification because the government can bring an action under 31 \n",
       " U.S.C. 3730 for false claims six (6) years from the date the false \n",
       " claim is made. 31 U.S.C. 3731.\n",
       "     The proposed document retention will require WOSBs and EDWOSBs to\n",
       " \n",
       " [[Page 10047]]\n",
       " \n",
       " have a filing system to retain the documents; however, SBA believes \n",
       " this information is already retained by a WOSB or EDWOSB in the \n",
       " ordinary course of business. Therefore this Proposed Rule will not \n",
       " likely impose any additional burden on WOSBs and EDWOSBs. To the extent \n",
       " that WOSBs and EDWOSBs typically retain this information for less than \n",
       " six (6) years, the concern may have to increase the capacity of its \n",
       " filing and document tracking system.\n",
       "     In addition, any documents submitted to a contracting officer as \n",
       " part of an offer are considered source selection sensitive under FAR \n",
       " and cannot be released prior to award of a contract. 48 CFR 3.104-3. \n",
       " After award of a contract, all information and/or documents submitted \n",
       " to a Federal agency, including SBA, are protected to the fullest extent \n",
       " permitted by law, including the Privacy Act and Freedom of Information \n",
       " Act, 5 U.S.C. 552.\n",
       "     The Paperwork Reduction Act requirements are addressed further \n",
       " below. SBA would welcome any comments on the process as described.\n",
       " 5. What Relevant Federal Rules May Duplicate, Overlap, or Conflict With \n",
       " This Rule?\n",
       "     SBA has not identified any relevant Federal rules currently in \n",
       " effect that duplicate or conflict with this rule. The restricted-\n",
       " competition feature of the WOSB program will be an addition to the \n",
       " existing contracting programs that agencies currently administer, such \n",
       " as small business set-asides, HUBZone set-asides, service-disabled \n",
       " veteran-owned small business set-asides, and contracts reserved for the \n",
       " 8(a) Business Development Program. For any particular contract, a \n",
       " contracting officer may have a range of set-aside options from which to \n",
       " select. Because any contract awarded to a WOSB will also count towards \n",
       " an agency's small business goal, these procedures may lead a \n",
       " contracting officer to select this program in lieu of another.\n",
       "     Therefore, although there may be some overlap, the addition of the \n",
       " set-aside mechanism for women-owned small business should complement \n",
       " rather than conflict with the goals of existing set-aside programs.\n",
       " 6. What Significant Alternatives Did SBA Consider That Accomplish the \n",
       " Stated Objectives and Minimize Any Significant Economic Impact on Small \n",
       " Entities?\n",
       "     The RFA requires agencies to identify alternatives to the rule in \n",
       " an effort to minimize any significant economic impact of the rule on \n",
       " small entities. SBA has determined that this rule may have a \n",
       " significant economic impact on a substantial number of small entities. \n",
       " This rule will implement the set-aside mechanism for WOSBs, as \n",
       " established by section 8(m) of the Act. All of the provisions of this \n",
       " rule reflect requirements under that statute.\n",
       "     The legislation does provide SBA with alternative approaches, \n",
       " however, for the certification of WOSBs. Specifically, a WOSB may be \n",
       " certified by a Federal agency, a State government, or a national \n",
       " certifying entity approved by the Administrator. SBA has reviewed some \n",
       " sources and believes that such certification is different depending on \n",
       " the location and size of the business and that the range for such a \n",
       " certification is approximately $200-$1000 for the initial certification \n",
       " and every year thereafter for recertification. In some cases, the costs \n",
       " may be higher. Thus, the WOSB may, in the alternative, self-certify in \n",
       " ORCA and provide adequate documentation to the contracting officer (via \n",
       " an electronic repository or directly to the contracting officer if the \n",
       " repository is unavailable) that it is a WOSB in accordance with \n",
       " standards established by the Administration, with minimal costs (to \n",
       " include document retention). SBA did consider limiting certification to \n",
       " either third party certification or self-certification with the \n",
       " provision of documents, but SBA believes that this Proposed Rule \n",
       " provides the most flexibility to WOSBs and EDWOSBs in participating in \n",
       " the program. SBA estimates that implementation of this regulation will \n",
       " require no additional proposal costs for WOSBs, as compared to \n",
       " submitting proposals under any other small business set-aside program. \n",
       " Moreover, WOSBs currently represent their status for purposes of data \n",
       " collection that is needed to implement 15 U.S.C. 644(g). In addition, \n",
       " although WOSBs or EDWOSBs must make available documentation to the \n",
       " contracting officer at the time of certification in ORCA, the documents \n",
       " provided are kept in the normal course of business and therefore should \n",
       " not require additional proposal costs.\n",
       " \n",
       " List of Subjects\n",
       " \n",
       " 13 CFR Part 121\n",
       " \n",
       "     Government procurement, Government property, Grant programs--\n",
       " business, Individuals with disabilities, Loan programs--business, Small \n",
       " businesses.\n",
       " \n",
       " 13 CFR Part 127\n",
       " \n",
       "     Government procurement, Reporting and recordkeeping requirements, \n",
       " Small businesses.\n",
       " \n",
       " 13 CFR Part 134\n",
       " \n",
       "     Administrative practice and procedure, Claims, Equal access to \n",
       " justice, Lawyers, Organization and functions (Government agencies).\n",
       " \n",
       "     Accordingly, for the reasons stated in the preamble, SBA withdraws \n",
       " the Proposed Rule published on October 1, 2008 at 73 FR 57014, and \n",
       " proposes to amend 13 CFR parts 121, 127 and 134 as follows:\n",
       " \n",
       " PART 121--SMALL BUSINESS SIZE REGULATIONS\n",
       " \n",
       "     1. The authority citation for 13 CFR part 121 continues to read as \n",
       " follows:\n",
       " \n",
       "     Authority: 15 U.S.C. 632, 634(b)(6), 636(b), 637, 644, and \n",
       " 662(5); and Pub. L. 105-135, sec. 401 et seq., 111 Stat. 2592.\n",
       " \n",
       "     2. Revise Sec.  121.401 to read as follows:\n",
       " \n",
       " \n",
       " Sec.  121.401  What procurement programs are subject to size \n",
       " determinations?\n",
       " \n",
       "     The rules set forth in Sec. Sec.  121.401 through 121.413 apply to \n",
       " all Federal procurement programs for which status as a small business \n",
       " is required or advantageous, including the small business set-aside \n",
       " program, SBA's Certificate of Competency program, SBA's 8(a) Business \n",
       " Development program, SBA's HUBZone program, the Women Owned Small \n",
       " Business (WOSB) Federal Contract Assistance Program, SBA's Service-\n",
       " Disabled Veteran-Owned Small Business program, the Small Business \n",
       " Subcontracting program, and the Federal Small Disadvantaged Business \n",
       " (SDB) program.\n",
       "     3. Amend Sec.  121.1001 by revising paragraph (a)(9) to read as \n",
       " follows:\n",
       " \n",
       " \n",
       " Sec.  121.1001  Who may initiate a size protest or request a formal \n",
       " size determination?\n",
       " \n",
       "     (a) * * *\n",
       "     (9) For SBA's WOSB Federal Contracting Assistance Program, the \n",
       " following entities may protest:\n",
       "     (i) Any concern that submits an offer for a specific requirement \n",
       " set aside for WOSBs or WOSBs owned by one or more women who are \n",
       " economically disadvantaged (EDWOSB) pursuant to part 127 of this \n",
       " chapter;\n",
       "     (ii) The contracting officer;\n",
       "     (iii) The SBA Government Contracting Area Director; and\n",
       "     (iv) The Director for Government Contracting, or designee.\n",
       " * * * * *\n",
       "     4. Amend Sec.  121.1008(a) by adding a sentence after the third \n",
       " sentence to read as follows:\n",
       " \n",
       " [[Page 10048]]\n",
       " \n",
       " Sec.  121.1008  What occurs after SBA receives a size protest or \n",
       " request for a formal size determination?\n",
       " \n",
       "     (a) * * * If the protest pertains to a requirement set aside for \n",
       " WOSBs or EDWOSBs, the Area Director will also notify SBA's Director for \n",
       " Government Contracting of the protest. * * *\n",
       "     5. Revise part 127 to read as follows:\n",
       " \n",
       " PART 127--WOMEN-OWNED SMALL BUSINESS FEDERAL CONTRACT PROGRAM\n",
       " \n",
       " Subpart A--General Provisions\n",
       " Sec.\n",
       " 127.100 What is the purpose of this part?\n",
       " 127.101 What type of assistance is available under this part?\n",
       " 127.102 What are the definitions of the terms used in this part?\n",
       " Subpart B--Eligibility Requirements To Qualify as an EDWOSB or WOSB\n",
       " 127.200 What are the requirements a concern must meet to qualify as \n",
       " an EDWOSB or WOSB?\n",
       " 127.201 What are the requirements for ownership of an EDWOSB and \n",
       " WOSB?\n",
       " 127.202 What are the requirements for control of an EDWOSB or WOSB?\n",
       " 127.203 What are the rules governing the requirement that \n",
       " economically disadvantaged women must own EDWOSBs?\n",
       " Subpart C--Certification of EDWOSB or WOSB Status\n",
       " 127.300 How is a concern certified as an EDWOSB or WOSB?\n",
       " 127.301 When may a contracting officer accept a concern's self-\n",
       " certification?\n",
       " 127.302 What third-party certifications may a concern use as \n",
       " evidence of its status as a qualified EDWOSB or WOSB?\n",
       " 127.303 How will SBA select and identify approved certifiers?\n",
       " 127.304 How does a concern obtain certification from an approved \n",
       " certifier?\n",
       " 127.305 May a concern determined not to qualify as an EDWOSB or WOSB \n",
       " submit a self-certification for a particular EDWOSB or WOSB \n",
       " requirement?\n",
       " Subpart D--Eligibility Examinations\n",
       " 127.400 What is an eligibility examination?\n",
       " 127.401 What is the difference between an eligibility examination \n",
       " and an EDWOSB or WOSB status protest pursuant to subpart F of this \n",
       " part?\n",
       " 127.402 How will SBA conduct an examination?\n",
       " 127.403 What happens if SBA verifies the concern's eligibility?\n",
       " 127.404 What happens if SBA is unable to verify a concern's \n",
       " eligibility?\n",
       " 127.405 What is the process for requesting an eligibility \n",
       " examination?\n",
       " Subpart E--Federal Contract Assistance\n",
       " 127.500 In what industries is a contracting officer authorized to \n",
       " restrict competition under this part?\n",
       " 127.501 How will SBA determine the industries that are eligible for \n",
       " EDWOSB or WOSB requirements?\n",
       " 127.502 How will SBA identify and provide notice of the designated \n",
       " industries?\n",
       " 127.503 When is a contracting officer authorized to restrict \n",
       " competition under this part?\n",
       " 127.504 What additional requirements must a concern satisfy to \n",
       " submit an offer on an EDWOSB or WOSB requirement?\n",
       " 127.505 May a non-manufacturer submit an offer on an EDWOSB or WOSB \n",
       " requirement for supplies?\n",
       " 127.506 May a joint venture submit an offer on an EDWOSB or WOSB \n",
       " requirement?\n",
       " Subpart F--Protests\n",
       " 127.600 Who may protest the status of a concern as an EDWOSB or \n",
       " WOSB?\n",
       " 127.601 May a protest challenging the size and status of a concern \n",
       " as an EDWOSB or WOSB be filed together?\n",
       " 127.602 What are the grounds for filing an EDWOSB or WOSB status \n",
       " protest?\n",
       " 127.603 What are the requirements for filing an EDWOSB or WOSB \n",
       " protest?\n",
       " 127.604 How will SBA process an EDWOSB or WOSB status protest?\n",
       " 127.605 What are the procedures for appealing an EDWOSB or WOSB \n",
       " status protest decision?\n",
       " Subpart G--Penalties\n",
       " 127.700 What penalties may be imposed under this part?\n",
       " \n",
       " \n",
       "     Authority:  15 U.S.C. 632, 634(b)(6), 637(m), and 644.\n",
       " \n",
       " Subpart A--General Provisions\n",
       " \n",
       " \n",
       " Sec.  127.100  What is the purpose of this part?\n",
       " \n",
       "     Section 8(m) of the Small Business Act authorizes certain \n",
       " procurement mechanisms to ensure that women-owned small businesses \n",
       " (WOSBs) have an equal opportunity to participate in Federal \n",
       " contracting, and to ensure that the WOSB Program is substantially \n",
       " related to Congressional goals in accordance with applicable law.\n",
       " \n",
       " \n",
       " Sec.  127.101  What type of assistance is available under this part?\n",
       " \n",
       "     This part authorizes contracting officers to restrict competition \n",
       " to eligible Economically Disadvantaged Women-Owned Small Businesses \n",
       " (EDWOSBs) for certain Federal contracts in industries in which the \n",
       " Small Business Administration (SBA) determines that Women-Owned Small \n",
       " Businesses (WOSBs) are underrepresented or substantially \n",
       " underrepresented in Federal procurement and to eligible WOSBs for \n",
       " certain Federal contracts in industries in which SBA determines that \n",
       " WOSBs are substantially underrepresented in Federal procurement and has \n",
       " waived the economically disadvantaged requirement.\n",
       " \n",
       " \n",
       " Sec.  127.102  What are the definitions of the terms used in this part?\n",
       " \n",
       "     For purposes of this part:\n",
       "     8(a) Business Development (8(a) BD) concern means a concern that \n",
       " SBA has certified as an 8(a) BD program participant.\n",
       "     AA/GC&amp;BD means SBA's Associate Administrator for Government \n",
       " Contracting and Business Development.\n",
       "     Central Contractor Registration (CCR) means the system that \n",
       " functions as the central registration and repository of contractor data \n",
       " for the Federal government and is a means for conducting searches of \n",
       " small business contractors. In general, prospective Federal contractors \n",
       " must be registered in CCR prior to award of a contract or purchase \n",
       " agreement, unless the award results from a solicitation issued on or \n",
       " before May 31, 1998.\n",
       "     Citizen means a person born or naturalized in the United States. \n",
       " Resident aliens and holders of permanent visas are not considered to be \n",
       " citizens.\n",
       "     Concern means a firm that satisfies the requirements in Sec.  \n",
       " 121.105 of this chapter.\n",
       "     Contracting officer has the meaning given to that term in Section \n",
       " 27(f)(5) of the Office of Federal Procurement Policy Act (codified at \n",
       " 41 U.S.C. 423(f)(5)).\n",
       "     D/GC means SBA's Director for Government Contracting.\n",
       "     Economically disadvantaged WOSB (EDWOSB) means a concern that is \n",
       " small pursuant to part 121 of this chapter and that is at least 51 \n",
       " percent owned and controlled by one or more women who are U.S. citizens \n",
       " and who are economically disadvantaged in accordance with Sec. Sec.  \n",
       " 127.200, 127.201, 127.202 and 127.203. An EDWOSB automatically \n",
       " qualifies as a WOSB.\n",
       "     EDWOSB requirement means a Federal requirement for services or \n",
       " supplies for which a contracting officer has restricted competition to \n",
       " EDWOSBs.\n",
       "     Immediate family member means father, mother, husband, wife, son, \n",
       " daughter, stepchild, brother, sister, grandfather, grandmother, \n",
       " grandson, granddaughter, father-in-law, mother-in-law, son-in-law, and \n",
       " daughter-in-law.\n",
       "     Interested party means any concern that submits an offer for a \n",
       " specific EDWOSB or WOSB requirement, the contracting activity's \n",
       " contracting officer, or SBA.\n",
       "     ORCA means the Online Representations and Certifications \n",
       " Application at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=https://orca.bpn.gov\">https://orca.bpn.gov</a>, a required registration for \n",
       " contractors interested in submitting an offer, bid or quote on most \n",
       " Federal contracts.\n",
       "     Primary industry classification means the six-digit North American \n",
       " Industry Classification System (NAICS) code designation that best \n",
       " describes the\n",
       " \n",
       " [[Page 10049]]\n",
       " \n",
       " primary business activity of the concern. The NAICS code designations \n",
       " are described in the NAICS manual available via the Internet at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.census.gov/NAICS\">http://\n",
       " www.census.gov/NAICS</a>. In determining the primary industry in which a \n",
       " concern is engaged, SBA will consider the factors set forth in Sec.  \n",
       " 121.107 of this chapter.\n",
       "     Same or similar line of business means business activities within \n",
       " the same four-digit ``Industry Group'' of the NAICS Manual as the \n",
       " primary industry classification of the applicant or Participant.\n",
       "     Substantial underrepresentation means a disparity ratio which is \n",
       " less than 0.5.\n",
       "     Underrepresentation means a disparity ratio between 0.5 and 0.8.\n",
       "     WOSB means a concern that is small pursuant to part 121 of this \n",
       " chapter, and that is at least 51 percent owned and controlled by one or \n",
       " more women in accordance with Sec. Sec.  127.200, 127.201 and 127.202.\n",
       "     WOSB Program Repository means a secure, web-based application that \n",
       " collects, stores and disseminates documents to the contracting \n",
       " community and SBA, which verify the eligibility of a business concern \n",
       " for a contract to be awarded under a WOSB or EDWOSB requirement.\n",
       "     WOSB requirement means a Federal requirement for services or \n",
       " supplies for which a contracting officer has restricted competition to \n",
       " eligible WOSBs.\n",
       " \n",
       " Subpart B--Eligibility Requirements To Qualify as an EDWOSB or WOSB\n",
       " \n",
       " \n",
       " Sec.  127.200  What are the requirements a concern must meet to qualify \n",
       " as an EDWOSB or WOSB?\n",
       " \n",
       "     (a) Qualification as an EDWOSB. To qualify as an EDWOSB, a concern \n",
       " must be:\n",
       "     (1) A small business as defined in part 121 of this chapter; and\n",
       "     (2) Not less than 51 percent unconditionally and directly owned and \n",
       " controlled by one or more women who are United States citizens and are \n",
       " economically disadvantaged.\n",
       "     (b) Qualification as a WOSB. To qualify as a WOSB, a concern must \n",
       " be:\n",
       "     (1) A small business as defined in part 121 of this chapter; and\n",
       "     (2) Not less than 51 percent unconditionally and directly owned and \n",
       " controlled by one or more women who are United States citizens.\n",
       " \n",
       " \n",
       " Sec.  127.201  What are the requirements for ownership of an EDWOSB and \n",
       " WOSB?\n",
       " \n",
       "     (a) General. To qualify as an EDWOSB or WOSB, one or more women \n",
       " must unconditionally and directly own at least 51 percent of the \n",
       " concern. Ownership will be determined without regard to community \n",
       " property laws.\n",
       "     (b) Requirement for unconditional ownership. To be considered \n",
       " unconditional, the ownership must not be subject to any conditions, \n",
       " executory agreements, voting trusts, or other arrangements that cause \n",
       " or potentially cause ownership benefits to go to another. The pledge or \n",
       " encumbrance of stock or other ownership interest as collateral, \n",
       " including seller-financed transactions, does not affect the \n",
       " unconditional nature of ownership if the terms follow normal commercial \n",
       " practices and the owner retains control absent violations of the terms.\n",
       "     (c) Requirement for direct ownership. To be considered direct, the \n",
       " qualifying women must own 51 percent of the concern directly. The 51 \n",
       " percent ownership may not be through another business entity or a trust \n",
       " (including employee stock ownership plan) that is, in turn, owned and \n",
       " controlled by one or more women or economically disadvantaged women. \n",
       " However, ownership by a trust, such as a living trust, may be treated \n",
       " as the functional equivalent of ownership by a woman or economically \n",
       " disadvantaged woman where the trust is revocable, and the woman is the \n",
       " grantor, a trustee, and the sole current beneficiary of the trust.\n",
       "     (d) Ownership of a partnership. In the case of a concern that is a \n",
       " partnership, at least 51 percent of each class of partnership interest \n",
       " must be unconditionally owned by one or more women. The ownership must \n",
       " be reflected in the concern's partnership agreement. For purposes of \n",
       " this requirement, general and limited partnership interests are \n",
       " considered different classes of partnership interest.\n",
       "     (e) Ownership of a limited liability company. In the case of a \n",
       " concern that is a limited liability company, at least 51 percent of \n",
       " each class of member interest must be unconditionally owned by one or \n",
       " more women.\n",
       "     (f) Ownership of a corporation. In the case of a concern that is a \n",
       " corporation, at least 51 percent of each class of voting stock \n",
       " outstanding and 51 percent of the aggregate of all stock outstanding \n",
       " must be unconditionally owned by one or more women. In determining \n",
       " unconditional ownership of the concern, any unexercised stock options \n",
       " or similar agreements held by a woman will be disregarded. However, any \n",
       " unexercised stock option or other agreement, including the right to \n",
       " convert non-voting stock or debentures into voting stock, held by any \n",
       " other individual or entity will be treated as having been exercised.\n",
       " \n",
       " \n",
       " Sec.  127.202  What are the requirements for control of an EDWOSB or \n",
       " WOSB?\n",
       " \n",
       "     (a) General. To qualify as a WOSB, the management and daily \n",
       " business operations of the concern must be controlled by one or more \n",
       " women. To qualify as an EDWOSB, the management and daily business \n",
       " operations of the concern must be controlled by one or more women who \n",
       " are economically disadvantaged. Control by one or more women means that \n",
       " both the long-term decision making and the day-to-day management and \n",
       " administration of the business operations must be conducted by one or \n",
       " more women.\n",
       "     (b) Managerial position and experience. A woman must hold the \n",
       " highest officer position in the concern and must have managerial \n",
       " experience of the extent and complexity needed to run the concern. The \n",
       " woman manager need not have the technical expertise or possess the \n",
       " required license to be found to control the concern if she can \n",
       " demonstrate that she has ultimate managerial and supervisory control \n",
       " over those who possess the required licenses or technical expertise. \n",
       " However, if a man possesses the required license and has an equity \n",
       " interest in the concern, he may be found to control the concern.\n",
       "     (c) Limitation on outside employment. The woman who holds the \n",
       " highest officer position of the concern must manage it on a full-time \n",
       " basis and devote full-time to the business concern during the normal \n",
       " working hours of business concerns in the same or similar line of \n",
       " business. The woman who holds the highest officer position may not \n",
       " engage in outside employment that prevents her from devoting sufficient \n",
       " time and attention to the daily affairs of the concern to control its \n",
       " management and daily business operations.\n",
       "     (d) Control over a partnership. In the case of a partnership, one \n",
       " or more women must serve as general partners, with control over all \n",
       " partnership decisions.\n",
       "     (e) Control over a limited liability company. In the case of a \n",
       " limited liability company, one or more women must serve as management \n",
       " members, with control over all decisions of the limited liability \n",
       " company.\n",
       "     (f) Control over a corporation. One or more women must control the \n",
       " Board of Directors of the concern. Women are considered to control the \n",
       " Board of Directors when either:\n",
       "     (1) One or more women own at least 51 percent of all voting stock \n",
       " of the concern, are on the Board of Directors and have the percentage \n",
       " of voting stock necessary to overcome any super majority voting \n",
       " requirements; or\n",
       " \n",
       " [[Page 10050]]\n",
       " \n",
       "     (2) Women comprise the majority of voting directors through actual \n",
       " numbers or, where permitted by state law, through weighted voting.\n",
       "     (g) Involvement in the concern by other individuals or entities. \n",
       " Men or other entities may be involved in the management of the concern \n",
       " and may be stockholders, partners or limited liability members of the \n",
       " concern. However, no males or other entity may exercise actual control \n",
       " or have the power to control the concern.\n",
       " \n",
       " \n",
       " Sec.  127.203  What are the rules governing the requirement that \n",
       " economically disadvantaged women must own EDWOSBs?\n",
       " \n",
       "     (a) General. To qualify as an EDWOSB, the concern must be at least \n",
       " 51 percent owned by one or more women who are economically \n",
       " disadvantaged. A woman is economically disadvantaged if she can \n",
       " demonstrate that her ability to compete in the free enterprise system \n",
       " has been impaired due to diminished capital and credit opportunities as \n",
       " compared to others in the same or similar line of business. SBA may \n",
       " consider a spouse's financial situation in determining a woman's access \n",
       " to credit and capital. SBA does not take into consideration community \n",
       " property laws when determining economic disadvantage when the woman has \n",
       " no ownership interest in the property.\n",
       "     (b) Limitation on personal net worth.\n",
       "     (1) In order to be considered economically disadvantaged, the \n",
       " woman's personal net worth must be less than $750,000, excluding her \n",
       " ownership interest in the concern and her equity interest in her \n",
       " primary personal residence.\n",
       "     (2) Income received from an S corporation will be excluded from net \n",
       " worth where the EDWOSB provides documentary evidence demonstrating that \n",
       " the income was reinvested in the business concern or the distribution \n",
       " was solely for the purposes of paying taxes arising in the normal \n",
       " course of operations of the business concern.\n",
       "     (3) Funds invested in an Individual Retirement Account (IRA) or \n",
       " other official retirement account that are unavailable until retirement \n",
       " age without a significant penalty will not be considered in determining \n",
       " a woman's net worth. In order to properly assess whether funds invested \n",
       " in a retirement account may be excluded from a woman's net worth, she \n",
       " must provide information about the terms and restrictions of the \n",
       " account to SBA.\n",
       "     (c) Factors that may be considered.\n",
       "     (1) General. The personal financial condition of the woman claiming \n",
       " economic disadvantage, including her personal income for the past two \n",
       " years (including bonuses, and the value of company stock given in lieu \n",
       " of cash), her personal net worth and the fair market value of all of \n",
       " her assets, whether encumbered or not, may be considered in determining \n",
       " whether she is economically disadvantaged.\n",
       "     (2) Income.\n",
       "     (i) When considering a woman's personal income, if the adjusted \n",
       " gross yearly income averaged over the two years preceding the \n",
       " certification exceeds $200,000, SBA will presume that she is not \n",
       " economically disadvantaged. The presumption may be rebutted by a \n",
       " showing that this income level was unusual and not likely to occur in \n",
       " the future, that losses commensurate with and directly related to the \n",
       " earnings were suffered, or by evidence that the income is not \n",
       " indicative of lack of economic disadvantage.\n",
       "     (ii) Income earned by S corporations, which is reinvested in or the \n",
       " distribution was solely for the purposes of paying taxes arising in the \n",
       " normal course of operations of the business concern, is exempted from \n",
       " income for purposes of this section provided that documentary evidence \n",
       " is submitted demonstrating this use. Likewise, S corporation losses may \n",
       " not be subtracted from a woman's income to reduce that income.\n",
       "     (3) Fair market value of all assets. A woman will generally not be \n",
       " considered economically disadvantaged if the fair market value of all \n",
       " her assets (including her primary residence and the value of the \n",
       " business concern) exceeds $3 million. The only assets excluded from \n",
       " this determination are funds excluded under paragraph (b)(3) of this \n",
       " section as being invested in a qualified IRA account or other official \n",
       " retirement account.\n",
       "     (d) Transfers within two years. Assets that a woman claiming \n",
       " economic disadvantage transferred within two years of the date of the \n",
       " concern's certification will be attributed to the woman claiming \n",
       " economic disadvantage if the assets were transferred to an immediate \n",
       " family member, or to a trust that has as a beneficiary an immediate \n",
       " family member. The transferred assets within the two-year period will \n",
       " not be attributed to the woman if the transfer was:\n",
       "     (1) To or on behalf of an immediate family member for that \n",
       " individual's education, medical expenses, or some other form of \n",
       " essential support; or\n",
       "     (2) To an immediate family member in recognition of a special \n",
       " occasion, such as a birthday, graduation, anniversary, or retirement.\n",
       " \n",
       " Subpart C--Certification of EDWOSB or WOSB Status\n",
       " \n",
       " \n",
       " Sec.  127.300  How is a concern certified as an EDWOSB or WOSB?\n",
       " \n",
       "     (a) General. At the time a concern submits an offer on a specific \n",
       " contract reserved for competition under this Part, it must be \n",
       " registered in the Central Contractor Registration (CCR) and have a \n",
       " current self-certification posted on the Online Representations and \n",
       " Certifications Application (ORCA) that it qualifies as an EDWOSB or \n",
       " WOSB.\n",
       "     (b) Form of certification. In conjunction with its required \n",
       " registration in the CCR database, the concern must submit a self-\n",
       " certification to the electronic annual representations and \n",
       " certifications at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://orca.bpn.gov\">http://orca.bpn.gov</a>, that it is a qualified EDWOSB or \n",
       " WOSB. The self-certification must include a representation, subject to \n",
       " penalties for misrepresentation, that:\n",
       "     (1) The concern is certified as an EDWOSB or WOSB by a certifying \n",
       " entity approved by SBA and there have been no changes in its \n",
       " circumstances affecting its eligibility since certification;\n",
       "     (2) The concern meets each of the applicable individual eligibility \n",
       " requirements described in subpart B of this part, including that:\n",
       "     (i) It is a small business concern under the size standard assigned \n",
       " to the particular procurement;\n",
       "     (ii) It is at least 51 percent owned and controlled by one or more \n",
       " women who are United States citizens, or it is at least 51 percent \n",
       " owned and controlled by one or more women who are United States \n",
       " citizens and are economically disadvantaged; and\n",
       "     (iii) Neither SBA, in connection with an examination or protest, \n",
       " nor an SBA-approved certifier has issued a decision currently in effect \n",
       " finding that it does not qualify as an EDWOSB or WOSB.\n",
       "     (c) Documents provided to contracting officer. All of the documents \n",
       " set forth in paragraphs (d) and (e) of this section must be provided to \n",
       " the contracting officer to verify eligibility at the time of initial \n",
       " offer. The documents will be provided via the WOSB Program Repository \n",
       " or, if the repository is unavailable, directly to the contracting \n",
       " officer. The documents must be retained for a minimum of six (6) years.\n",
       "     (d) Third Party Certification.\n",
       "     (1) General. At the time of certification in ORCA, the WOSB or \n",
       " EDWOSB that has been certified as a WOSB or EDWOSB by a certifying \n",
       " entity approved by SBA must provide a copy of the certification to the \n",
       " WOSB Program Repository. If the repository is unavailable, then prior \n",
       " to the award of\n",
       " \n",
       " [[Page 10051]]\n",
       " \n",
       " a WOSB or EDWOSB contract, the apparent successful offeror WOSB or \n",
       " EDWOSB that has been certified as a EDWOSB or WOSB by a certifying \n",
       " entity approved by SBA must provide a copy of the certification to the \n",
       " contracting officer verifying that it was a WOSB or EDWOSB at the time \n",
       " of initial offer. In addition, the EDWOSB or WOSB must also provide a \n",
       " copy of the joint venture agreement, if applicable. Within thirty (30) \n",
       " days of the repository becoming available, the WOSB or EDWOSB must \n",
       " provide the same documents to the repository.\n",
       "     (2) U.S. Department of Transportation (DOT) Certification. At the \n",
       " time of certification in ORCA, the WOSB or EDWOSB that has been \n",
       " certified as a as a DOT Disadvantaged Business Enterprise must submit a \n",
       " copy of the DBE certification showing that it received such \n",
       " certification because it is owned and controlled by one or more women \n",
       " to the WOSB Program Repository. If the repository is unavailable, then \n",
       " prior to award of a WOSB or EDWOSB contract, the apparent successful \n",
       " offeror must provide a copy of the DOT Disadvantaged Business \n",
       " Enterprise certification to the contracting officer showing that it \n",
       " received such certification because it is owned and controlled by one \n",
       " or more women, verifying that it was a WOSB or EDWOSB at the time of \n",
       " initial offer. In addition, the WOSB or EDWOSB must provide a statement \n",
       " identifying the woman or women upon whom eligibility was based and \n",
       " documents, such as birth certificates or passports, evidencing that the \n",
       " women are citizens of the United States, as defined in Sec.  127.102. \n",
       " Within thirty (30) days of the repository becoming available, the WOSB \n",
       " or EDWOSB must provide the same documents to the repository.\n",
       "     (e) Non-Third Party Certification. A concern that has not been \n",
       " certified as a WOSB or EDWOSB by a third-party certifier approved by \n",
       " SBA must provide documents to the WOSB Program Repository. If the \n",
       " repository is unavailable, then prior to award of a WOSB or EDWOSB \n",
       " contract, the apparent successful offeror must provide a copy of the \n",
       " documents to the contracting officer verifying that it was a WOSB or \n",
       " EDWOSB at the time of initial offer. Within thirty (30) days of the \n",
       " repository becoming available, the WOSB or EDWOSB must provide the same \n",
       " documents to the repository. These documents must include the \n",
       " following:\n",
       "     (1) Birth certificates, Naturalization papers, or passports for \n",
       " owners who are women;\n",
       "     (2) Copy of the joint venture agreement, if applicable;\n",
       "     (3) For limited liability companies:\n",
       "     (i) Articles of organization (also referred to as certificate of \n",
       " organization or articles of formation) and any amendments; and\n",
       "     (ii) Operating agreement, and any amendments;\n",
       "     (4) For corporations:\n",
       "     (i) Articles of incorporation and any amendments;\n",
       "     (ii) By-laws and any amendments;\n",
       "     (iii) All issued stock certificates, including the front and back \n",
       " copies, signed in accord with the by-laws;\n",
       "     (iv) Stock ledger; and\n",
       "     (v) Voting agreements, if any;\n",
       "     (5) For partnerships, the partnership agreement and any amendments;\n",
       "     (6) For sole proprietorships, the assumed/fictitious name \n",
       " certificate(s); and\n",
       "     (7) For EDWOSBs, in addition to the above, the SBA Form 413, \n",
       " Personal Financial Statement, available to the public at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/tools/Forms/index.html\">http://\n",
       " www.sba.gov/tools/Forms/index.html</a>, for each woman claiming economic \n",
       " disadvantage.\n",
       "     (f) Update of certification and documents.\n",
       "     (1) The concern must update its EDWOSB and WOSB representations and \n",
       " self-certification on ORCA as necessary, but at least annually, to \n",
       " ensure they are kept current, accurate, and complete. The \n",
       " representations and self-certification are effective for a period of \n",
       " one year from the date of submission or update to ORCA.\n",
       "     (2) The WOSB or EDWOSB must update the documents submitted to the \n",
       " contracting officer via the WOSB Program Repository as necessary to \n",
       " ensure they are kept current, accurate and complete. If the repository \n",
       " is not available, the WOSB or EDWOSB must provide current, accurate and \n",
       " complete documents to the contracting officer for each contract award. \n",
       " Within thirty (30) days of the repository becoming available, the WOSB \n",
       " or EDWOSB must provide the same documents to the repository.\n",
       " \n",
       " \n",
       " Sec.  127.301  When may a contracting officer accept a concern's self-\n",
       " certification?\n",
       " \n",
       "     (a) General.\n",
       "     (1) Third Party Certifications. A contracting officer may accept a \n",
       " concern's self-certification on ORCA as accurate for a specific \n",
       " procurement reserved for award under this Part if the apparent \n",
       " successful offeror WOSB or EDWOSB provided the required documents, \n",
       " which are set forth in Sec.  127.300(d), and there has been no protest \n",
       " or other credible information that calls into question the concern's \n",
       " eligibility as a EDWOSB or WOSB. An example of such credible evidence \n",
       " includes information that the concern was determined by SBA or an SBA-\n",
       " approved certifier not to qualify as an EDWOSB or WOSB.\n",
       "     (2) Non-Third Party Certification. A contracting officer may accept \n",
       " a concern's self-certification in ORCA if the apparent successful \n",
       " offeror WOSB or EDWOSB has provided the required documents, which are \n",
       " set forth in Sec.  127.300(e). If the apparent successful offeror WOSB \n",
       " or EDWOSB fails to submit any of the required documents, the \n",
       " contracting officer cannot award a WOSB or EDWOSB contract to that \n",
       " business concern.\n",
       "     (b) Referral to SBA. When the contracting officer has information \n",
       " that calls into question the eligibility of a concern as an EDWOSB or \n",
       " WOSB or the concern fails to provide all of the required documents to \n",
       " verify its eligibility, the contracting officer shall refer the \n",
       " concern's self-certification to SBA for verification of the concern's \n",
       " eligibility by filing an EDWOSB or WOSB status protest pursuant to \n",
       " subpart F of this part.\n",
       " \n",
       " \n",
       " Sec.  127.302  What third-party certifications may a concern use as \n",
       " evidence of its status as a qualified EDWOSB or WOSB?\n",
       " \n",
       "     In order for a concern to use a certification by another entity as \n",
       " evidence of its status as a qualified EDWOSB or WOSB in support of its \n",
       " representations in ORCA pursuant to Sec.  127.300(b), the concern must \n",
       " have a current, valid certification from:\n",
       "     (a) SBA as an 8(a) BD Program participant due to their status as a \n",
       " women-owned concern; or\n",
       "     (b) An entity designated as an SBA-approved certifier on SBA's Web \n",
       " site located at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/GC\">http://www.sba.gov/GC</a>.\n",
       " \n",
       " \n",
       " Sec.  127.303  How will SBA select and identify approved certifiers?\n",
       " \n",
       "     (a) General. SBA may enter into written agreements to accept the \n",
       " EDWOSB or WOSB certification of a Federal agency, State government, or \n",
       " national certifying entity if SBA determines that the entity's \n",
       " certification process complies with SBA-approved certification \n",
       " standards and tracks the EDWOSB or WOSB eligibility requirements set \n",
       " forth in subpart B of this part. The written agreement will include a \n",
       " provision authorizing SBA to terminate the agreement if SBA \n",
       " subsequently determines that the entity's certification process does \n",
       " not comply with SBA-approved certification standards or is not based on \n",
       " the same EDWOSB or WOSB eligibility requirements as set forth in \n",
       " subpart B of this part.\n",
       " \n",
       " [[Page 10052]]\n",
       " \n",
       "     (b) Required certification standards. In order for SBA to enter \n",
       " into an agreement to accept the EDWOSB or WOSB certification of a \n",
       " Federal agency, State government, or national certifying entity, the \n",
       " entity must establish the following:\n",
       "     (1) It will render fair and impartial EDWOSB or WOSB eligibility \n",
       " determinations.\n",
       "     (2) It will retain the documents submitted by the approved WOSB or \n",
       " EDWOSB for a period of six (6) years from the date of certification \n",
       " (initial and any recertification).\n",
       "     (3) Its certification process will require applicant concerns to \n",
       " pre-register on CCR and submit sufficient information as determined by \n",
       " SBA to enable it to determine whether the concern qualifies as an \n",
       " EDWOSB or WOSB. This information must include documentation \n",
       " demonstrating whether the concern is:\n",
       "     (i) A small business concern under SBA's size standards for its \n",
       " primary industry classification;\n",
       "     (ii) At least 51 percent owned and controlled by one or more women \n",
       " who are United States citizens; and\n",
       "     (iii) In the case of a concern applying for EDWOSB certification, \n",
       " at least 51 percent owned and controlled by one or more women who are \n",
       " United States citizens and economically disadvantaged.\n",
       "     (4) It will not decline to accept a concern's application for \n",
       " EDWOSB or WOSB certification on the basis of race, color, national \n",
       " origin, religion, age, disability, sexual orientation, or marital or \n",
       " family status.\n",
       "     (c) List of SBA-approved certifiers. SBA will maintain a list of \n",
       " approved certifiers on SBA's Internet Web site at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/GC\">http://www.sba.gov/\n",
       " GC</a>. Any interested person may also obtain a copy of the list from the \n",
       " local SBA district office.\n",
       " \n",
       " \n",
       " Sec.  127.304  How does a concern obtain certification from an approved \n",
       " certifier?\n",
       " \n",
       "     A concern that seeks EDWOSB or WOSB certification from an SBA-\n",
       " approved certifier must submit its application directly to the approved \n",
       " certifier in accordance with the specific application procedures of the \n",
       " particular certifier. Any interested party may obtain such \n",
       " certification information and application by contacting the approved \n",
       " certifier at the address provided on SBA's list of approved certifiers.\n",
       " \n",
       " \n",
       " Sec.  127.305  May a concern determined not to qualify as an EDWOSB or \n",
       " WOSB submit a self-certification for a particular EDWOSB or WOSB \n",
       " requirement?\n",
       " \n",
       "     A concern that SBA or an SBA-approved certifier determines does not \n",
       " qualify as an EDWOSB or WOSB may not represent itself to be an EDWOSB \n",
       " or WOSB, as applicable, unless SBA subsequently determines that it is \n",
       " an eligible EDWOSB or WOSB pursuant to the examination procedures under \n",
       " Sec.  127.405, and there have been no material changes in its \n",
       " circumstances affecting its eligibility since SBA's eligibility \n",
       " determination. Any concern determined not to be a qualified EDWOSB or \n",
       " WOSB may request that SBA conduct an examination to determine its \n",
       " EDWOSB or WOSB eligibility at any time once it believes in good faith \n",
       " that it satisfies all of the eligibility requirements to qualify as an \n",
       " EDWOSB or WOSB.\n",
       " \n",
       " Subpart D--Eligibility Examinations\n",
       " \n",
       " \n",
       " Sec.  127.400  What is an eligibility examination?\n",
       " \n",
       "     Eligibility examinations are investigations that verify the \n",
       " accuracy of any certification made or information provided as part of \n",
       " the certification process or in connection with an EDWOSB or WOSB \n",
       " contract. In addition, eligibility examinations may verify that a \n",
       " concern meets the EDWOSB or WOSB eligibility requirements at the time \n",
       " of the examination. SBA will, in its sole discretion, perform \n",
       " eligibility examinations at any time after a concern self-certifies in \n",
       " CCR or ORCA that it is an EDWOSB or WOSB. SBA may conduct the \n",
       " examination, or parts of the examination, at one or all of the \n",
       " concern's offices. SBA may consider protest allegations set forth in a \n",
       " protest in determining whether to conduct an examination of a concern \n",
       " pursuant to this subpart D of this part, notwithstanding a dismissal or \n",
       " denial of a protest pursuant to Sec.  127.604. SBA may also consider \n",
       " information provided to the D/GC by a third party that questions the \n",
       " eligibility of a WOSB or EDWOSB that has certified its status in ORCA \n",
       " or CCR in determining whether to conduct an eligibility examination.\n",
       " \n",
       " \n",
       " Sec.  127.401  What is the difference between an eligibility \n",
       " examination and an EDWOSB or WOSB status protest pursuant to subpart F \n",
       " of this part?\n",
       " \n",
       "     (a) Eligibility examination. An eligibility examination is the \n",
       " formal process through which SBA verifies and monitors the accuracy of \n",
       " any certification made or information provided as part of the \n",
       " certification process or in connection with an EDWOSB or WOSB contract. \n",
       " If SBA is conducting an eligibility examination on a concern that has \n",
       " submitted an offer on a pending EDWOSB or WOSB procurement and SBA has \n",
       " credible information that the concern may not qualify as an EDWOSB or \n",
       " WOSB, then SBA may initiate a protest pursuant to Sec.  127.600 to \n",
       " suspend award of the contract for fifteen (15) business days pending \n",
       " SBA's determination of the concern's eligibility.\n",
       "     (b) EDWOSB or WOSB protests. An EDWOSB or WOSB status protest \n",
       " provides a mechanism for challenging or verifying the EDWOSB or WOSB \n",
       " eligibility of a concern in connection with a specific EDWOSB or WOSB \n",
       " requirement. SBA will process EDWOSB or WOSB protests in accordance \n",
       " with the procedures and timeframe set forth in subpart F, and will \n",
       " determine the EDWOSB or WOSB eligibility of the protested concern as of \n",
       " the date the concern represented its EDWOSB or WOSB status as part of \n",
       " its initial offer including price. SBA's protest determination will \n",
       " apply to the specific procurement to which the protest relates and to \n",
       " future procurements.\n",
       " \n",
       " \n",
       " Sec.  127.402  How will SBA conduct an examination?\n",
       " \n",
       "     (a) Notification. No less than five (5) business days before \n",
       " commencing an examination, SBA will notify the concern in writing that \n",
       " it will conduct an examination to verify the status of the concern as \n",
       " an EDWOSB or WOSB. However, SBA reserves the right to conduct a site \n",
       " visit without prior notification to the concern.\n",
       "     (b) Request for information. SBA will request that the concern or \n",
       " contracting officer provide documentation and information related to \n",
       " the concern's EDWOSB or WOSB eligibility. These documents will include \n",
       " those submitted under Sec.  127.300(c) and any other pertinent \n",
       " documents requested by SBA at the time of eligibility examination to \n",
       " verify eligibility, including but not limited to, documents submitted \n",
       " by a concern in connection with any WOSB or EDWOSB certification. SBA \n",
       " may also request copies of proposals or bids submitted in response to \n",
       " an EDWOSB or WOSB solicitation. In addition, EDWOSBs will be required \n",
       " to submit a copy of a SBA Form 413, Personal Financial Statement, the \n",
       " two most recent personal income tax returns (including all schedules \n",
       " and W-2 forms) for the women claiming economic disadvantage and their \n",
       " spouses, unless the individuals and their spouses are legally \n",
       " separated, and SBA Form 4506-T, Request for Tax Transcript Form, \n",
       " available to the public at <a href=\"http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&amp;log=linklog&amp;to=http://www.sba.gov/tools/Forms/index.html\">http://www.sba.gov/tools/Forms/index.html</a>. \n",
       " SBA may draw an adverse inference where a concern fails to cooperate in \n",
       " providing the requested information.\n",
       " \n",
       " [[Page 10053]]\n",
       " \n",
       " The WOSB or EDWOSB must retain documentation demonstrating satisfaction \n",
       " of the eligibility requirements for six (6) years from date of self-\n",
       " certification.\n",
       " \n",
       " \n",
       " Sec.  127.403  What happens if SBA verifies the concern's eligibility?\n",
       " \n",
       "     If SBA verifies that the concern satisfies the applicable EDWOSB or \n",
       " WOSB eligibility requirements, then the D/GC will send the concern a \n",
       " written decision to that effect and will allow the concern's EDWOSB or \n",
       " WOSB designation in CCR and ORCA to stand and the concern may continue \n",
       " to self-certify its EDWOSB or WOSB status.\n",
       " \n",
       " \n",
       " Sec.  127.404  What happens if SBA is unable to verify a concern's \n",
       " eligibility?\n",
       " \n",
       "     (a) Notice of proposed determination of ineligibility. If SBA is \n",
       " unable to verify that the concern qualifies as an EDWOSB or WOSB, then \n",
       " the D/GC will send the concern a written notice explaining the reasons \n",
       " SBA believes the concern did not qualify at the time of certification \n",
       " or does not qualify as an EDWOSB or WOSB. The notice will advise the \n",
       " concern that it has fifteen (15) calendar days from the date it \n",
       " receives the notice to respond.\n",
       "     (b) SBA determination. Following the fifteen (15) day response \n",
       " period, the D/GC or designee will consider the reasons of proposed \n",
       " ineligibility and any information the concern submitted in response, \n",
       " and will send the concern a written decision with its findings. The D/\n",
       " GC's decision is effective immediately and remains in full force and \n",
       " effect unless a new examination verifies the concern is an eligible \n",
       " EDWOSB or WOSB or the concern is certified by a third party certifier.\n",
       "     (1) If SBA determines that the concern does not qualify as an \n",
       " EDWOSB or WOSB, then the D/GC will send the concern a written decision \n",
       " explaining the basis of ineligibility, and will require that the \n",
       " concern remove its EDWOSB or WOSB designation in the CCR and ORCA \n",
       " within five (5) calendar days after the date of the decision.\n",
       "     (2) If the concern has already certified itself as a WOSB or EDWOSB \n",
       " on a pending procurement the concern must immediately inform the \n",
       " officials responsible for the procurement of the adverse determination.\n",
       "     (3) If SBA determines that the concern did not qualify as an EDWOSB \n",
       " or WOSB at the time it submitted its initial offer for an EDWOSB or \n",
       " WOSB contract, the contracting officer may terminate the contract, not \n",
       " exercise any option, or not award further task or delivery orders.\n",
       "     (4) Whether or not a contracting officer decides to allow or not \n",
       " allow an ineligible concern to fully perform a contract under paragraph \n",
       " (b)(2) of this section, the contracting officer cannot count the award \n",
       " as one to an EDWOSB or WOSB and must update the Federal Procurement \n",
       " Data System--Next Generation (FPDS-NG) and other databases from the \n",
       " date of award accordingly.\n",
       "     (c) A concern that has been found to be ineligible may not \n",
       " represent itself as a WOSB or EDWOSB until it cures the reason for its \n",
       " ineligibility and SBA determines that the concern qualifies as a WOSB \n",
       " or EDWOSB. A concern that believes in good faith that it has cured the \n",
       " reason(s) for its ineligibility may request an examination under the \n",
       " procedures set forth in this section.\n",
       " \n",
       " \n",
       " Sec.  127.405  What is the process for requesting an eligibility \n",
       " examination?\n",
       " \n",
       "     (a) General. A concern may request that SBA conduct an examination \n",
       " to verify its eligibility as an EDWOSB or WOSB at any time after it is \n",
       " determined by SBA not to qualify as an EDWOSB or WOSB, if the concern \n",
       " believes in good faith that it satisfies all of the EDWOSB or WOSB \n",
       " eligibility requirements under subpart B of this part.\n",
       "     (b) Format. The request for an examination must be in writing and \n",
       " must specify the particular reasons the concern was determined not to \n",
       " qualify as an EDWOSB or WOSB.\n",
       "     (c) Submission of request. The concern must submit its request \n",
       " directly to the Director for Government Contracting, U.S. Small \n",
       " Business Administration, 409 Third Street, SW., Washington, DC 20416, \n",
       " or by fax to (202) 205-6390, marked ``Attn: Request for Women-Owned \n",
       " Small Business Program Examination.''\n",
       "     (d) Notice of receipt of request. SBA will immediately notify the \n",
       " concern in writing once SBA receives its request for an examination. \n",
       " SBA will request that the concern provide documentation and information \n",
       " related to the concern's EDWOSB or WOSB eligibility and may draw an \n",
       " adverse inference if the concern fails to cooperate in providing the \n",
       " requested information.\n",
       "     (e) Determination of eligibility. The D/GC will send the concern a \n",
       " written decision finding that it either qualifies or does not qualify \n",
       " as an EDWOSB or WOSB.\n",
       "     (1) If the D/GC determines that the concern does not qualify as an \n",
       " EDWOSB or WOSB, the decision will explain the specific reasons for the \n",
       " adverse determination and advise the concern that it is prohibited from \n",
       " self-certifying as an EDWOSB or WOSB. If the concern self-certifies as \n",
       " an EDWOSB or WOSB notwithstanding SBA's adverse determination, the \n",
       " concern will be subject to the penalties under subpart G of this part.\n",
       "     (2) If the D/GC determines that the concern qualifies as an EDWOSB \n",
       " or WOSB, then the D/GC will send the concern a written decision to that \n",
       " effect and will advise the concern that it may self-certify as an \n",
       " EDWOSB or WOSB, as applicable.\n",
       "     (f) Effect of decision. The D/GC's decision is effective \n",
       " immediately and remains in full force and effect unless a new \n",
       " examination verifies the concern is an eligible EDWOSB or WOSB or the \n",
       " concern is certified by a third party certifier. If the concern has \n",
       " already certified itself as a WOSB or EDWOSB on a pending procurement \n",
       " the concern must immediately inform the officials responsible for the \n",
       " procurement of the adverse determination.\n",
       "     (g) A concern that has been found to be ineligible may not \n",
       " represent itself as a WOSB or EDWOSB until it cures the reason for its \n",
       " ineligibility and SBA determines that the concern qualifies as a WOSB \n",
       " or EDWOSB. A concern that believes in good faith that it has cured the \n",
       " reason(s) for its ineligibility may request an examination under the \n",
       " procedures set forth in this section.\n",
       " \n",
       " Subpart E--Federal Contract Assistance\n",
       " \n",
       " \n",
       " Sec.  127.500  In what industries is a contracting officer authorized \n",
       " to restrict competition under this part?\n",
       " \n",
       "     A contracting officer may restrict competition under this part only \n",
       " in those industries in which SBA has determined that WOSBs are \n",
       " underrepresented or substantially underrepresented in Federal \n",
       " procurement, as specified in Sec.  127.501.\n",
       " \n",
       " \n",
       " Sec.  127.501  How will SBA determine the industries that are eligible \n",
       " for EDWOSB or WOSB requirements?\n",
       " \n",
       "     (a) Based upon its analysis, SBA will designate by NAICS Industry \n",
       " Subsector Code those industries in which WOSBs are underrepresented and \n",
       " substantially underrepresented.\n",
       "     (b) In determining the extent of disparity of WOSBs, SBA may \n",
       " request that the head of any Federal department or agency provide SBA, \n",
       " data or information necessary to analyze the extent of disparity of \n",
       " WOSBs.\n",
       " \n",
       " \n",
       " Sec.  127.502  How will SBA identify and provide notice of the \n",
       " designated industries?\n",
       " \n",
       "     SBA will post on its Internet Web site a list of NAICS Industry \n",
       " Subsector industries it designates under Sec.  127.501. The list of \n",
       " designated industries also\n",
       " \n",
       " [[Page 10054]]\n",
       " \n",
       " may be obtained from the local SBA district office and may be posted on \n",
       " the General Services Administration Internet Web site.\n",
       " \n",
       " \n",
       " Sec.  127.503  When is a contracting officer authorized to restrict \n",
       " competition under this part?\n",
       " \n",
       "     (a) EDWOSB requirements. For requirements in industries designated \n",
       " by SBA pursuant to Sec.  127.501, a contracting officer may restrict \n",
       " competition to EDWOSBs if the contracting officer has a reasonable \n",
       " expectation based on market research that:\n",
       "     (1) Two or more EDWOSBs will submit offers for the contract;\n",
       "     (2) The anticipated award price of the contract (including options) \n",
       " does not exceed $5,000,000, in the case of a contract assigned an NAICS \n",
       " code for manufacturing; or $3,000,000, in the case of all other \n",
       " contracts; and\n",
       "     (3) Contract award may be made at a fair and reasonable price.\n",
       "     (b) WOSB requirements. Only if the contracting officer determines \n",
       " that the market research indicates that the criteria in paragraph (a) \n",
       " of this section are not met for restricting competition to EDWOSBs may \n",
       " the contracting officer then restrict competition to WOSBs. In \n",
       " addition, to restrict competition to WOSBs, the contractor must \n",
       " determine that the following criteria are met:\n",
       "     (1) The requirement is in an industry that SBA has designated as \n",
       " substantially underrepresented with respect to WOSBs; and\n",
       "     (2) The contracting officer has a reasonable expectation based on \n",
       " market research that--\n",
       "     (i) Two or more WOSBs will submit offers;\n",
       "     (ii) The anticipated award price of the contract (including \n",
       " options) will not exceed $5,000,000, in the case of a contract assigned \n",
       " an NAICS code for manufacturing, or $3,000,000 in the case of all other \n",
       " contracts; and\n",
       "     (iii) Contract award may be made at a fair and reasonable price.\n",
       "     (c) 8(a) BD requirements. A contracting officer may not restrict \n",
       " competition to eligible EDWOSBs or WOSBs if an 8(a) BD Participant is \n",
       " currently performing the requirement under the 8(a) BD Program or SBA \n",
       " has accepted the requirement for performance under the authority of the \n",
       " 8(a) BD program, unless SBA consented to release the requirement from \n",
       " the 8(a) BD program.\n",
       "     (d) Contracting Among Small Business Programs.\n",
       "     (1) Acquisitions Valued At or Below $100,000/Simplified Acquisition \n",
       " Threshold. The contracting officer shall set aside any acquisition with \n",
       " an anticipated dollar value exceeding $3,000 ($15,000 for acquisitions \n",
       " as described in the Federal Acquisition Regulation (FAR) at 48 CFR \n",
       " 13.201(g)(1)) but valued below $100,000 ($250,000 for acquisitions \n",
       " described in paragraph (1) of the Simplified Acquisition Threshold \n",
       " definition in the FAR at 48 CFR 2.101) for small business concerns when \n",
       " there is a reasonable expectation that offers will be obtained from at \n",
       " least two small business concerns that are competitive in terms of \n",
       " quality and delivery and award will be made at fair market prices. This \n",
       " requirement does not preclude a contracting officer from awarding a \n",
       " contract under the 8(a) BD, HUBZone, Service Disabled Veteran Owned \n",
       " (SDVO), or WOSB programs.\n",
       "     (2) Acquisitions Valued Above $100,000/Simplified Acquisition \n",
       " Threshold. The contracting officer shall set aside any acquisition with \n",
       " an anticipated dollar value exceeding $100,000 ($250,000 for \n",
       " acquisitions described in paragraph (1) of the Simplified Acquisition \n",
       " Threshold definition in the FAR at 48 CFR 2.101) for small business \n",
       " concerns when there is a reasonable expectation that offers will be \n",
       " obtained from at least two small business concerns that are competitive \n",
       " in terms of quality and delivery and award will be made at fair market \n",
       " prices. However, after conducting market research, the contracting \n",
       " officer shall first consider a set-aside or sole source award under the \n",
       " 8(a) BD, HUBZone, SDVO SBC or WOSB programs before setting aside the \n",
       " requirement as a small business set-aside. There is no order of \n",
       " precedence among the 8(a) BD, HUBZone, SDVO SBC or WOSB programs. SBA \n",
       " believes that progress in fulfilling the various small business goals, \n",
       " as well as other factors such as the results of market research, \n",
       " programmatic needs specific to the procuring agency, anticipated award \n",
       " price, and the acquisition history, should be considered in making a \n",
       " decision as to which program to use for the acquisition.\n",
       "     (e) Contract file. When restricting competition to WOSBs or EDWOSBs \n",
       " in accordance with Sec.  127.503, the contracting officer must document \n",
       " the contract file accordingly, including the type and extent of market \n",
       " research and the fact that the NAICS code assigned to the contract is \n",
       " for an industry that SBA has designated as a as underrepresented or, \n",
       " with respect to WOSBs, substantially underrepresented, industry.\n",
       " \n",
       " \n",
       " Sec.  127.504  What additional requirements must a concern satisfy to \n",
       " submit an offer on an EDWOSB or WOSB requirement?\n",
       " \n",
       "     In order for a concern to submit an offer on a specific EDWOSB or \n",
       " WOSB requirement, the concern must ensure that the appropriate \n",
       " representations and certifications on ORCA are accurate and complete at \n",
       " the time it submits its offer to the contracting officer, including, \n",
       " but not limited to, the fact that:\n",
       "     (a) It is small under the size standard corresponding to the NAICS \n",
       " code assigned to the contract;\n",
       "     (b) It is listed on CCR and ORCA as an EDWOSB or WOSB;\n",
       "     (c) There has been no material change in any of its circumstances \n",
       " affecting its EDWOSB or WOSB eligibility; and\n",
       "     (d) It will meet the applicable percentages of work requirement as \n",
       " set forth in Sec.  125.6 of this chapter (limitations on subcontracting \n",
       " rule).\n",
       " \n",
       " \n",
       " Sec.  127.505  May a non-manufacturer submit an offer on an EDWOSB or \n",
       " WOSB requirement for supplies?\n",
       " \n",
       "     An EDWOSB or WOSB that is a non-manufacturer, as defined in Sec.  \n",
       " 121.406(b) of this chapter, may submit an offer on an EDWOSB or WOSB \n",
       " contract for supplies, if it meets the requirements under the non-\n",
       " manufacturer rule set forth in Sec.  121.406(b) of this chapter.\n",
       " \n",
       " \n",
       " Sec.  127.506  May a joint venture submit an offer on an EDWOSB or WOSB \n",
       " requirement?\n",
       " \n",
       "     A joint venture may submit an offer on an EDWOSB or WOSB contract \n",
       " if the joint venture meets all of the following requirements:\n",
       "     (a) Except as provided in Sec.  121.103(h)(3) of this chapter, the \n",
       " combined annual receipts or employees of the concerns entering into the \n",
       " joint venture must meet the applicable size standard corresponding to \n",
       " the NAICS code assigned to the contract;\n",
       "     (b) The EDWOSB or WOSB participant of the joint venture must be \n",
       " designated on the CCR and the ORCA as an EDWOSB or WOSB;\n",
       "     (c) The parties to the joint venture must enter into a written \n",
       " joint venture agreement. The joint venture agreement must contain a \n",
       " provision:\n",
       "     (1) Setting forth the purpose of the joint venture.\n",
       "     (2) Designating an EDWOSB or WOSB as the managing venturer of the \n",
       " joint venture, and an employee of the managing venturer as the project \n",
       " manager responsible for the performance of the contract;\n",
       "     (3) Stating that not less than 51 percent of the net profits earned \n",
       " by the joint venture will be distributed to the EDWOSB or WOSB;\n",
       " \n",
       " [[Page 10055]]\n",
       " \n",
       "     (4) Specifying the responsibilities of the parties with regard to \n",
       " contract performance, sources of labor, and negotiation of the EDWOSB \n",
       " or WOSB contract; and\n",
       "     (5) Requiring the final original records be retained by the \n",
       " managing venturer upon completion of the EDWOSB or WOSB contract \n",
       " performed by the joint venture.\n",
       "     (d) The joint venture must perform the applicable percentage of \n",
       " work required of the EDWOSB or WOSB offerors in accordance with Sec.  \n",
       " 125.6 of this chapter (limitations on subcontracting rule);\n",
       "     (e) The procuring activity will execute the contract in the name of \n",
       " the EDWOSB or WOSB or joint venture.\n",
       " \n",
       " Subpart F--Protests\n",
       " \n",
       " \n",
       " Sec.  127.600  Who may protest the status of a concern as an EDWOSB or \n",
       " WOSB?\n",
       " \n",
       "     An interested party may protest the EDWOSB or WOSB status of an \n",
       " apparent successful offeror on an EDWOSB or WOSB contract. Any other \n",
       " party or individual may submit information to the contracting officer \n",
       " or SBA in an effort to persuade them to initiate a protest or to \n",
       " persuade SBA to conduct an examination pursuant to subpart D of this \n",
       " part.\n",
       " \n",
       " \n",
       " Sec.  127.601  May a protest challenging the size and status of a \n",
       " concern as an EDWOSB or WOSB be filed together?\n",
       " \n",
       "     An interested party seeking to protest both the size and the EDWOSB \n",
       " or WOSB status of an apparent successful offeror on an EDWOSB or WOSB \n",
       " requirement must file two separate protests, one size protest pursuant \n",
       " to part 121 of this chapter and one EDWOSB or WOSB status protest \n",
       " pursuant to this subpart. An interested party seeking to protest only \n",
       " the size of an apparent successful EDWOSB or WOSB offeror must file a \n",
       " size protest to the contracting officer pursuant to part 121 of this \n",
       " chapter.\n",
       " \n",
       " \n",
       " Sec.  127.602  What are the grounds for filing an EDWOSB or WOSB status \n",
       " protest?\n",
       " \n",
       "     SBA will consider a protest challenging the status of a concern as \n",
       " an EDWOSB or WOSB if the protest presents credible evidence that the \n",
       " concern is not owned and controlled by one or more women who are United \n",
       " States citizens and, if the protest is in connection with an EDWOSB \n",
       " contract, that the concern is not at least 51 percent owned and \n",
       " controlled by one or more women who are economically disadvantaged. In \n",
       " addition, SBA will consider a protest challenging the status of a \n",
       " concern as an EDWOSB or WOSB if the contracting officer has protested \n",
       " because the WOSB or EDWOSB apparent successful offeror has failed to \n",
       " provide all of the required documents, as set forth in Sec.  \n",
       " 127.300(c).\n",
       " \n",
       " \n",
       " Sec.  127.603  What are the requirements for filing an EDWOSB or WOSB \n",
       " protest?\n",
       " \n",
       "     (a) Format. Protests must be in writing and must specify all the \n",
       " grounds upon which the protest is based. A protest merely asserting \n",
       " that the protested concern is not an eligible EDWOSB or WOSB, without \n",
       " setting forth specific facts or allegations, is insufficient.\n",
       "     (b) Filing. Protestors may deliver their written protests in \n",
       " person, by facsimile, by express delivery service, e-mail, or by U.S. \n",
       " mail (received by the applicable date) to the following:\n",
       "     (1) To the contracting officer, if the protestor is an offeror for \n",
       " the specific contract; or\n",
       "     (2) To the D/GC, if the protest is initiated by the contracting \n",
       " officer or SBA.\n",
       "     (c) Timeliness.\n",
       "     (1) For negotiated acquisitions, a protest from an interested party \n",
       " must be received by the contracting officer prior to the close of \n",
       " business on the fifth business day after notification by the \n",
       " contracting officer of the apparent successful offeror or notification \n",
       " of award.\n",
       "     (2) For sealed bid acquisitions, a protest from an interested party \n",
       " must be received by close of business on the fifth business day after \n",
       " bid opening.\n",
       "     (3) Any protest received after the time limit is untimely, unless \n",
       " it is from SBA or the contracting officer. A contracting officer or SBA \n",
       " may file an EDWOSB or WOSB protest at any time after bid opening or \n",
       " notification of intended awardee, whichever applies.\n",
       "     (4) Any protest received prior to bid opening or notification of \n",
       " intended awardee, whichever applies, is premature.\n",
       "     (5) A timely filed protest applies to the procurement in question \n",
       " even if filed after award.\n",
       "     (d) Referral to SBA. The contracting officer must forward to SBA \n",
       " any protest received, notwithstanding whether he or she believes it is \n",
       " premature, sufficiently specific, or timely. The contracting officer \n",
       " must send all protests, along with a referral letter and documents, \n",
       " directly to the Director for Government Contracting, U.S. Small \n",
       " Business Administration, 409 Third Street, SW., Washington, DC 20416, \n",
       " or by fax to (202) 205-6390, Attn: Women-Owned Small Business Status \n",
       " Protest. The contracting officer's referral letter must include \n",
       " information pertaining to the solicitation that may be necessary for \n",
       " SBA to determine timeliness and standing, including: the solicitation \n",
       " number; the name, address, telephone number and facsimile number of the \n",
       " contracting officer; whether the protestor submitted an offer; whether \n",
       " the protested concern was the apparent successful offeror; when the \n",
       " protested concern submitted its offer; whether the procurement was \n",
       " conducted using sealed bid or negotiated procedures; the bid opening \n",
       " date, if applicable; when the protest was submitted to the contracting \n",
       " officer; when the protestor received notification about the apparent \n",
       " successful offeror, if applicable; and whether a contract has been \n",
       " awarded. In addition, the contracting officer must send copies of any \n",
       " documents provided to the contracting officer pursuant to Sec.  \n",
       " 127.300(c)(2) (if the repository is unavailable). The D/GC or designee \n",
       " will decide the merits of EDWOSB or WOSB status protests.\n",
       " \n",
       " \n",
       " Sec.  127.604  How will SBA process an EDWOSB or WOSB status protest?\n",
       " \n",
       "     (a) Notice of receipt of protest. Upon receipt of the protest, SBA \n",
       " will notify the contracting officer and the protestor of the date SBA \n",
       " received the protest and whether SBA will process the protest or \n",
       " dismiss it under paragraph (b) of this section. The contracting officer \n",
       " may award the contract after receipt of a protest if the contracting \n",
       " officer determines in writing that an award must be made to prevent \n",
       " significant harm to the public interest.\n",
       "     (b) Dismissal of protest. If SBA determines that the protest is \n",
       " premature, untimely, nonspecific, or is based on nonprotestable \n",
       " allegations, SBA will dismiss the protest and will send the contracting \n",
       " officer and the protestor a notice of dismissal, citing the reason(s) \n",
       " for the dismissal. Notwithstanding SBA's dismissal of the protest, SBA \n",
       " may, in its sole discretion, consider the protest allegations in \n",
       " determining whether to conduct an examination of the protested concern \n",
       " pursuant to subpart D of this part or submit a protest itself.\n",
       "     (c) Notice to protested concern. If SBA determines that the protest \n",
       " is timely, sufficiently specific and is based upon protestable \n",
       " allegations, SBA will:\n",
       "     (1) Notify the protested concern of the protest and request \n",
       " information and documents responding to the protest within five (5) \n",
       " business days from the date of the notice. These documents will include \n",
       " those that verify the eligibility of the concern, respond to the \n",
       " protest allegations, and copies of proposals or bids submitted in \n",
       " response to an EDWOSB or WOSB solicitation. In addition, EDWOSBs will \n",
       " be required to submit a copy of SBA Form 413,\n",
       " \n",
       " [[Page 10056]]\n",
       " \n",
       " Personal Financial Statement, the two most recent personal income tax \n",
       " returns (including all schedules and W-2 forms) for the women claiming \n",
       " economic disadvantage and their spouses, unless the individuals and \n",
       " their spouses are legally separated, and SBA Form 4506-T, Request for \n",
       " Tax Transcript Form. SBA may draw an adverse inference where a concern \n",
       " fails to cooperate in providing the requested information and \n",
       " documents; and\n",
       "     (2) Forward a copy of the protest to the protested concern.\n",
       "     (d) Time period for determination. SBA will determine the EDWOSB or \n",
       " WOSB status of the protested concern within fifteen (15) business days \n",
       " after receipt of the protest, or within any extension of that time that \n",
       " the contracting officer may grant SBA. If SBA does not issue its \n",
       " determination within the fifteen (15)-day period, the contracting \n",
       " officer must contact SBA to ascertain when SBA estimates that it will \n",
       " issue its decision, and may award the contract if he or she determines \n",
       " in writing that there is an immediate need to award the contract and \n",
       " that waiting until SBA makes it determination will harm public \n",
       " interest.\n",
       "     (e) Notification of determination. SBA will notify the contracting \n",
       " officer, the protestor, and the protested concern in writing of its \n",
       " determination. If SBA sustains the protest, SBA will issue a decision \n",
       " explaining the basis of its determination and requiring that the \n",
       " concern remove its designation on the CCR and ORCA as an EDWOSB or \n",
       " WOSB, as appropriate. Regardless of a decision not to sustain the \n",
       " protest, SBA may, in its sole discretion, consider the protest \n",
       " allegations in determining whether to conduct an examination of the \n",
       " protested concern pursuant to subpart D of this part.\n",
       "     (f) Effect of determination. SBA's determination is effective \n",
       " immediately and is final unless overturned by SBA's Office of Hearings \n",
       " and Appeals on appeal pursuant to Sec.  127.605.\n",
       "     (1) A contracting officer may award the contract to a protested \n",
       " concern after the D/GC either has determined that the protested concern \n",
       " is an eligible WOSB or EDWOSB or has dismissed all protests against it. \n",
       " If OHA subsequently overturns the D/GC's determination or dismissal, \n",
       " the contracting officer may apply the OHA decision to the procurement \n",
       " in question.\n",
       "     (2) A contracting officer may not award the contract to a protested \n",
       " concern that the D/GC has determined is not an EDWOSB or WOSB for the \n",
       " procurement in question.\n",
       "     (i) If a contracting officer receives such a determination after \n",
       " contract award, and no OHA appeal has been filed, the contracting \n",
       " officer shall terminate the award.\n",
       "     (ii) If a timely OHA appeal has been filed after contract award, \n",
       " the contracting officer must consider whether performance can be \n",
       " suspended until an appellate decision is rendered.\n",
       "     (iii) If OHA affirms the initial determination finding that the \n",
       " protested concern is ineligible, the contracting officer shall either \n",
       " terminate the contract or not exercise the next option.\n",
       "     (2) The contracting officer must update the Federal Procurement \n",
       " Data System-Next Generation (FPDS-NG) and other procurement reporting \n",
       " databases to reflect the final agency decision.\n",
       "     (3) A concern that has been found to be ineligible may not \n",
       " represent itself as a WOSB or EDWOSB on another procurement until it \n",
       " cures the reason for its ineligibility. A concern that believes in good \n",
       " faith that it has cured the reason(s) for its ineligibility may request \n",
       " an examination under the procedures set forth in Sec.  127.405.\n",
       " \n",
       " \n",
       " Sec.  127.605  What are the procedures for appealing an EDWOSB or WOSB \n",
       " status protest decision?\n",
       " \n",
       "     The protested concern, the protestor, or the contracting officer \n",
       " may file an appeal of a WOSB or EDWOSB status protest determination \n",
       " with SBA's Office of Hearings and Appeals (OHA) in accordance with part \n",
       " 134 of this chapter.\n",
       " \n",
       " Subpart G--Penalties\n",
       " \n",
       " \n",
       " Sec.  127.700  What penalties may be imposed under this part?\n",
       " \n",
       "     Persons or concerns that falsely self-certify or otherwise \n",
       " misrepresent a concern's status as an EDWOSB or WOSB for purposes of \n",
       " receiving Federal contract assistance under this part are subject to:\n",
       "     (a) Suspension and Debarment pursuant to the procedures set forth \n",
       " in the Federal Acquisition Regulations, 48 CFR 9.4;\n",
       "     (b) Administrative and civil remedies prescribed by the False \n",
       " Claims Act, 31 U.S.C. 3729-3733 and under the Program Fraud Civil \n",
       " Remedies Act, 31 U.S.C. 3801-3812;\n",
       "     (c) Administrative and criminal remedies as described at Sections \n",
       " 16(a) and (d) of the Small Business Act, 15 U.S.C. 645(a) and (d), as \n",
       " amended;\n",
       "     (d) Criminal penalties under 18 U.S.C. 1001; and\n",
       "     (e) Any other penalties as may be available under law.\n",
       " \n",
       " PART 134--RULES OF PROCEDURE GOVERNING CASES BEFORE THE OFFICE OF \n",
       " HEARINGS AND APPEALS\n",
       " \n",
       "     6. The Authority citation for part 134 continues to read as \n",
       " follows:\n",
       " \n",
       "     Authority:  5 U.S.C. 504, 15 U.S.C. 632, 634(b)(6), 637(a), \n",
       " 637(m), 648(l), 656(i) and 687(c); E.O. 12549, 51 FR 6370, 3 CFR, \n",
       " 1986 Comp., p. 189.\n",
       " \n",
       " Subpart A--General Rules\n",
       " \n",
       "     7. Section 134.102(s) is republished to read as follows:\n",
       " \n",
       " \n",
       " Sec.  134.102  Jurisdiction of OHA\n",
       " \n",
       " * * * * *\n",
       "     (s) Appeals from Women-Owned Small Business or Economically-\n",
       " Disadvantaged Women-Owned Small Business protest determinations under \n",
       " Part 127 of this chapter;\n",
       " * * * * *\n",
       " \n",
       " Subpart E--Rules of Practice for Appeals From Service-Disabled \n",
       " Veteran Owned Small Business Concern Protests\n",
       " \n",
       "     8. Section 134.515(b) is republished to read as follows:\n",
       " \n",
       " \n",
       " Sec.  134.515  What are the effects of the Judge's decision?\n",
       " \n",
       " * * * * *\n",
       "     (b) The Judge may reconsider an appeal decision within twenty (20) \n",
       " calendar days after issuance of the written decision. Any party who has \n",
       " appeared in the proceeding, or SBA, may request reconsideration by \n",
       " filing with the Judge and serving a petition for reconsideration on all \n",
       " the parties to the appeal within twenty (20) calendar days after \n",
       " service of the written decision. The request for reconsideration must \n",
       " clearly show an error of fact or law material to the decision. The \n",
       " Judge may also reconsider a decision on his or her own initiative.\n",
       " * * * * *\n",
       "     9. Revise Subpart G to read as follows:\n",
       " Subpart G--Rules of Practice for Appeals From Women-Owned Small \n",
       " Business Concern (WOSB) and Economically Disadvantaged WOSB Concern \n",
       " (EDWOSB) Protests\n",
       " Sec.\n",
       " 134.701 What is the scope of the rules in this subpart G?\n",
       " 134.702 Who may appeal?\n",
       " 134.703 When must a person file an appeal from an WOSB or EDWOSB \n",
       " protest determination?\n",
       " 134.704 What are the effects of the appeal on the procurement at \n",
       " issue?\n",
       " 134.705 What are the requirements for an appeal petition?\n",
       " 134.706 What are the service and filing requirements?\n",
       " \n",
       " [[Page 10057]]\n",
       " \n",
       " 134.707 When does the D/GC transmit the protest file and to whom?\n",
       " 134.708 What is the standard of review?\n",
       " 134.709 When will a Judge dismiss an appeal?\n",
       " 134.710 Who can file a response to an appeal petition and when must \n",
       " such a response be filed?\n",
       " 134.711 Will the Judge permit discovery and oral hearings?\n",
       " 134.712 What are the limitations on new evidence?\n",
       " 134.713 When is the record closed?\n",
       " 134.714 When must the Judge issue his or her decision?\n",
       " 134.715 Can a Judge reconsider his decision?\n",
       " \n",
       " Subpart G--Rules of Practice for Appeals From Women-Owned Small \n",
       " Business Concern (WOSB) and Economically Disadvantaged WOSB Concern \n",
       " (EDWOSB) Protests\n",
       " \n",
       " \n",
       " Sec.  134.701  What is the scope of the rules in this subpart G?\n",
       " \n",
       "     (a) The rules of practice in this subpart G apply to all appeals to \n",
       " OHA from formal protest determinations made by the Director for \n",
       " Government Contracting (D/GC) in connection with a Women-Owned Small \n",
       " Business Concern (WOSB) or Economically Disadvantaged WOSB Concern \n",
       " (EDWOSB) protest. Appeals under this subpart include issues related to \n",
       " whether the concern is owned and controlled by one or more women who \n",
       " are United States citizens and, if the appeal is in connection with an \n",
       " EDWOSB contract, that the concern is at least 51 percent owned and \n",
       " controlled by one or more women who are economically disadvantaged. \n",
       " This includes appeals from determinations by the D/GC that the protest \n",
       " was premature, untimely, nonspecific, or not based upon protestable \n",
       " allegations.\n",
       "     (b) Except where inconsistent with this subpart, the provisions of \n",
       " subparts A and B of this part apply to appeals listed in paragraph (a) \n",
       " of this section.\n",
       "     (c) Appeals relating to formal size determinations and NAICS Code \n",
       " designations are governed by subpart C of this part.\n",
       " \n",
       " \n",
       " Sec.  134.702  Who may appeal?\n",
       " \n",
       "     Appeals from WOSB or EDWOSB protest determinations may be filed \n",
       " with OHA by the protested concern, the protestor, or the contracting \n",
       " officer responsible for the procurement affected by the protest \n",
       " determination.\n",
       " \n",
       " \n",
       " Sec.  134.703  When must a person file an appeal from an WOSB or EDWOSB \n",
       " protest determination?\n",
       " \n",
       "     Appeals from a WOSB or EDWOSB protest determination must be \n",
       " commenced by filing and serving an appeal petition within ten (10) \n",
       " business days after the appellant receives the WOSB or EDWOSB protest \n",
       " determination (see Sec.  134.204 for filing and service requirements). \n",
       " An untimely appeal must be dismissed.\n",
       " \n",
       " \n",
       " Sec.  134.704  What are the effects of the appeal on the procurement at \n",
       " issue?\n",
       " \n",
       "     Appellate decisions apply to the procurement in question. If the \n",
       " contracting officer awarded the contract to a concern that OHA finds to \n",
       " be ineligible, then the contracting officer shall terminate the \n",
       " contract, not exercise any options, or not award further task or \n",
       " delivery orders.\n",
       " \n",
       " \n",
       " Sec.  134.705  What are the requirements for an appeal petition?\n",
       " \n",
       "     (a) Format. There is no required format for an appeal petition. \n",
       " However, it must include the following information:\n",
       "     (1) The solicitation or contract number, and the name, address, and \n",
       " telephone number of the contracting officer;\n",
       "     (2) A statement that the petitioner is appealing a WOSB or EDWOSB \n",
       " protest determination issued by the D/GC and the date that the \n",
       " petitioner received it;\n",
       "     (3) A full and specific statement as to why the WOSB or EDWOSB \n",
       " protest determination is alleged to be based on a clear error of fact \n",
       " or law, together with an argument supporting such allegation; and\n",
       "     (4) The name, address, telephone number, facsimile number, and \n",
       " signature of the appellant or its attorney.\n",
       "     (b) Service of appeal. The appellant must serve the appeal petition \n",
       " upon each of the following:\n",
       "     (1) The D/GC at U.S. Small Business Administration, 409 3rd Street, \n",
       " SW., Washington, DC 20416, facsimile (202) 205-6390;\n",
       "     (2) The contracting officer responsible for the procurement \n",
       " affected by a WOSB or EDWOSB determination;\n",
       "     (3) The protested concern (the business concern whose WOSB or \n",
       " EDWOSB status is at issue) or the protester; and\n",
       "     (4) SBA's Office of General Counsel, Associate General Counsel for \n",
       " Procurement Law, U.S. Small Business Administration, 409 3rd Street, \n",
       " SW., Washington, DC 20416, facsimile number (202) 205-6873.\n",
       "     (c) Certificate of Service. The appellant must attach to the appeal \n",
       " petition a signed certificate of service meeting the requirements of \n",
       " Sec.  134.204(d).\n",
       " \n",
       " \n",
       " Sec.  134.706  What are the service and filing requirements?\n",
       " \n",
       "     The provisions of Sec.  134.204 apply to the service and filing of \n",
       " all pleadings and other submissions permitted under this subpart unless \n",
       " otherwise indicated in this subpart.\n",
       " \n",
       " \n",
       " Sec.  134.707  When does the D/GC transmit the protest file and to \n",
       " whom?\n",
       " \n",
       "     Upon receipt of an appeal petition, the D/GC will send to OHA a \n",
       " copy of the protest file relating to that determination. The D/GC will \n",
       " certify and authenticate that the protest file, to the best of his or \n",
       " her knowledge, is a true and correct copy of the protest file.\n",
       " \n",
       " \n",
       " Sec.  134.708  What is the standard of review?\n",
       " \n",
       "     The standard of review for an appeal of a WOSB or EDWOSB protest \n",
       " determination is whether the D/GC's determination was based on clear \n",
       " error of fact or law.\n",
       " \n",
       " \n",
       " Sec.  134.709  When will a Judge dismiss an appeal?\n",
       " \n",
       "     (a) The presiding Judge must dismiss the appeal if the appeal is \n",
       " untimely filed under Sec.  134.703.\n",
       "     (b) The matter has been decided or is the subject of adjudication \n",
       " before a court of competent jurisdiction over such matters. However, \n",
       " once an appeal has been filed, initiation of litigation of the matter \n",
       " in a court of competent jurisdiction will not preclude the Judge from \n",
       " rendering a final decision on the matter.\n",
       " \n",
       " \n",
       " Sec.  134.710  Who can file a response to an appeal petition and when \n",
       " must such a response be filed?\n",
       " \n",
       "     Although not required, any person served with an appeal petition \n",
       " may file and serve a response supporting or opposing the appeal if he \n",
       " or she wishes to do so. If a person decides to file a response, the \n",
       " response must be filed within seven (7) business days after service of \n",
       " the appeal petition. The response should present argument.\n",
       " \n",
       " \n",
       " Sec.  134.711  Will the Judge permit discovery and oral hearings?\n",
       " \n",
       "     Discovery will not be permitted, and oral hearings will not be \n",
       " held.\n",
       " \n",
       " \n",
       " Sec.  134.712  What are the limitations on new evidence?\n",
       " \n",
       "     The Judge may not admit evidence beyond the written protest file \n",
       " nor permit any form of discovery. All appeals under this subpart will \n",
       " be decided solely on a review of the evidence in the written protest \n",
       " file, arguments made in the appeal petition, and response(s) filed \n",
       " thereto.\n",
       " \n",
       " \n",
       " Sec.  134.713  When is the record closed?\n",
       " \n",
       "     The record will close when the time to file a response to an appeal \n",
       " petition expires pursuant to Sec.  134.710.\n",
       " \n",
       " [[Page 10058]]\n",
       " \n",
       " Sec.  134.714  When must the Judge issue his or her decision?\n",
       " \n",
       "     The Judge shall issue a decision, insofar as practicable, within \n",
       " fifteen (15) business days after close of the record.\n",
       " \n",
       " \n",
       " Sec.  134.715  Can a Judge reconsider his decision?\n",
       " \n",
       "     (a) The Judge may reconsider an appeal decision within twenty (20) \n",
       " calendar days after issuance of the written decision. Any party who has \n",
       " appeared in the proceeding, or SBA, may request reconsideration by \n",
       " filing with the Judge and serving a petition for reconsideration on all \n",
       " the parties to the appeal within twenty (20) calendar days after \n",
       " service of the written decision. The request for reconsideration must \n",
       " clearly show an error of fact or law material to the decision. The \n",
       " Judge may also reconsider a decision on his or her own initiative.\n",
       "     (b) The Judge may remand a proceeding to the D/GC for a new WOSB or \n",
       " EDWOSB determination if the D/GC fails to address issues of decisional \n",
       " significance sufficiently, does not address all the relevant evidence, \n",
       " or does not identify specifically the evidence upon which it relied. \n",
       " Once remanded, OHA no longer has jurisdiction over the matter, unless a \n",
       " new appeal is filed as a result of the new WOSB or EDWOSB \n",
       " determination.\n",
       " \n",
       "     Dated: February 19, 2010.\n",
       " Karen Gordon Mills,\n",
       " Administrator.\n",
       " [FR Doc. 2010-3887 Filed 3-2-10; 4:15 pm]\n",
       " BILLING CODE 8025-01-P\n",
       " \n",
       " </bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></pre>]"
      ]
     },
     "execution_count": 14,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "one_dc['text']\n",
    "#len(one_dc['comment_list'])"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 11,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "7"
      ]
     },
     "execution_count": 11,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "# will return the number of documents read. replace by your name\n",
    "dc =load(open(\"data/Master2_doc_content\",'rb'))\n",
    "len(dc)"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 47,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "[<pre>\n",
       " [Federal Register Volume 76, Number 112 (Friday, June 10, 2011)]\n",
       " [Proposed Rules]\n",
       " [Pages 34010-34011]\n",
       " From the Federal Register Online via the Government Printing Office [<a href=\"http://www.gpo.gov\">www.gpo.gov</a>]\n",
       " [FR Doc No: 2011-14444]\n",
       " \n",
       " \n",
       " \n",
       " [[Page 34010]]\n",
       " \n",
       " =======================================================================\n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " DEPARTMENT OF THE TREASURY\n",
       " \n",
       " Office of the Comptroller of the Currency\n",
       " \n",
       " 12 CFR Part 43\n",
       " \n",
       " [Docket No. OCC-2011-0002]\n",
       " RIN 1557-AD40\n",
       " \n",
       " FEDERAL RESERVE SYSTEM\n",
       " \n",
       " 12 CFR Part 244\n",
       " \n",
       " [Docket No. 2011-1411]\n",
       " RIN 7100-AD 70\n",
       " \n",
       " FEDERAL DEPOSIT INSURANCE CORPORATION\n",
       " \n",
       " 12 CFR Part 373\n",
       " \n",
       " RIN 3064-AD74\n",
       " \n",
       " SECURITIES AND EXCHANGE COMMISSION\n",
       " \n",
       " 17 CFR Part 246\n",
       " \n",
       " [Release No. 34-64603; File No. S7-14-11]\n",
       " RIN 3235-AK96\n",
       " \n",
       " FEDERAL HOUSING FINANCE AGENCY\n",
       " \n",
       " 12 CFR Part 1234\n",
       " \n",
       " RIN 2590-AA43\n",
       " \n",
       " DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT\n",
       " \n",
       " 24 CFR Part 267\n",
       " \n",
       " RIN 2501-AD53\n",
       " \n",
       " \n",
       " Credit Risk Retention\n",
       " \n",
       " AGENCIES: Office of the Comptroller of the Currency, Treasury (OCC); \n",
       " Board of Governors of the Federal Reserve System (Board); Federal \n",
       " Deposit Insurance Corporation (FDIC); U.S. Securities and Exchange \n",
       " Commission (Commission); Federal Housing Finance Agency (FHFA); and \n",
       " Department of Housing and Urban Development (HUD).\n",
       " \n",
       " ACTION: Proposed rule; extension of comment period.\n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " SUMMARY: On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and \n",
       " HUD (collectively, the ``Agencies'') published in the Federal Register \n",
       " a joint notice of proposed rulemaking for public comment to implement \n",
       " the credit risk retention requirements of section 15G of the Securities \n",
       " Exchange Act of 1934, as added by the Dodd-Frank Wall Street Reform and \n",
       " Consumer Protection Act (``Credit Risk NPR'' or ``proposed rule'').\n",
       "     Due to the complexity of the rulemaking and to allow parties more \n",
       " time to consider the impact of the Credit Risk NPR on affected markets, \n",
       " the Agencies have determined that an extension of the comment period \n",
       " until August 1, 2011, is appropriate. This action will allow interested \n",
       " persons additional time to analyze the proposed rules and prepare their \n",
       " comments.\n",
       " \n",
       " DATES: The comment period for the proposed rule published April 29, \n",
       " 2011, at 76 FR 24090, is extended. Comments on the Credit Risk NPR must \n",
       " be received on or before August 1, 2011.\n",
       " \n",
       " ADDRESSES: You may submit comments by any of the methods identified in \n",
       " the Credit Risk NPR. Please submit your comments using only one method.\n",
       " \n",
       " FOR FURTHER INFORMATION CONTACT: \n",
       " OCC: Chris Downey, Risk Specialist, Financial Markets Group, (202) 874-\n",
       " 4660; Kevin Russell, Director, Retail Credit Risk, (202) 874-5170; \n",
       " Darrin Benhart, Director, Commercial Credit Risk, (202) 874-5670; or \n",
       " Jamey Basham, Assistant Director, or Carl Kaminski, Senior Attorney, \n",
       " Legislative and Regulatory Activities Division, (202) 874-5090, Office \n",
       " of the Comptroller of the Currency, 250 E Street, SW., Washington, DC \n",
       " 20219.\n",
       " Board: Benjamin W. McDonough, Counsel, (202) 452-2036; April C. Snyder, \n",
       " Counsel, (202) 452-3099; Sebastian R. Astrada, Attorney, (202) 452-\n",
       " 3594; or Flora H. Ahn, Attorney, (202) 452-2317, Legal Division; Thomas \n",
       " R. Boemio, Manager, (202) 452-2982; Donald N. Gabbai, Senior \n",
       " Supervisory Financial Analyst, (202) 452-3358; or Sviatlana A. Phelan, \n",
       " Financial Analyst, (202) 912-4306, Division of Banking Supervision and \n",
       " Regulation; Andreas Lehnert, Deputy Director, Office of Financial \n",
       " Stability Policy and Research, (202) 452-3325; or Brent Lattin, \n",
       " Counsel, (202) 452-3367, Division of Consumer and Community Affairs, \n",
       " Board of Governors of the Federal Reserve System, 20th and C Streets, \n",
       " NW., Washington, DC 20551.\n",
       " FDIC: Beverlea S. Gardner, Special Assistant to the Chairman, (202) \n",
       " 898-3640; Mark L. Handzlik, Counsel, (202) 898-3990; Phillip E. Sloan, \n",
       " Counsel, (703) 562-6137; Petrina R. Dawson, Counsel, (703) 562-2688; or \n",
       " Jeannette Roach, Counsel, (202) 898-3785, Federal Deposit Insurance \n",
       " Corporation, 550 17th Street, NW., Washington, DC 20429.\n",
       " Commission: Jay Knight, Special Counsel, or Katherine Hsu, Chief, \n",
       " Office of Structured Finance, Division of Corporation Finance, at (202) \n",
       " 551-3753, U.S. Securities and Exchange Commission, 100 F Street, NE., \n",
       " Washington, DC 20549-3628.\n",
       " FHFA: Patrick J. Lawler, Associate Director and Chief Economist, \n",
       " <a href=\"mailto:Patrick.Lawler@fhfa.gov\">Patrick.Lawler@fhfa.gov</a>, (202) 414-3746; Austin Kelly, Associate \n",
       " Director for Housing Finance Research, <a href=\"mailto:Austin.Kelly@fhfa.gov\">Austin.Kelly@fhfa.gov</a>, (202) \n",
       " 343-1336; Phillip Millman, Principal Capital Markets Specialist, \n",
       " <a href=\"mailto:Phillip.Millman@fhfa.gov\">Phillip.Millman@fhfa.gov</a>, (202) 343-1507; or Thomas E. Joseph, Senior \n",
       " Attorney Advisor, <a href=\"mailto:Thomas.Joseph@fhfa.gov\">Thomas.Joseph@fhfa.gov</a>, (202) 414-3095; Federal \n",
       " Housing Finance Agency, Third Floor, 1700 G Street, NW., Washington, DC \n",
       " 20552. The telephone number for the Telecommunications Device for the \n",
       " Hearing Impaired is (800) 877-8339.\n",
       " HUD: Robert C. Ryan, Acting Assistant Secretary for Housing--Federal \n",
       " Housing Commissioner, Office of Housing, Department of Housing and \n",
       " Urban Development, 451 7th Street, SW., Room 9100, Washington, DC \n",
       " 20410; telephone number (202) 402-5216 (this is not a toll-free \n",
       " number). Persons with hearing or speech impairments may access this \n",
       " number through TTY by calling the toll-free Federal Information Relay \n",
       " Service at 800-877-8339.\n",
       " \n",
       " SUPPLEMENTARY INFORMATION: On April 29, 2011, the Credit Risk NPR was \n",
       " published in the Federal Register.\\1\\ The Credit Risk NPR proposes to \n",
       " implement the credit risk retention requirements of section 15G of the \n",
       " Securities Exchange Act of 1934 (15 U.S.C. 78o-11), as added by section \n",
       " 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act \n",
       " (``Dodd-Frank Act''). Section 15G generally requires the securitizer of \n",
       " asset-backed securities (``ABS'') to retain an economic interest of no \n",
       " less than five percent in the credit risk of the assets collateralizing \n",
       " the ABS. Section 15G includes a variety of exemptions from this \n",
       " requirement, including an exemption for asset-backed securities that \n",
       " are collateralized exclusively by ``qualified residential mortgages,'' \n",
       " as such term is defined by the Agencies by rule.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\1\\ See 76 FR 24090.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The Credit Risk NPR would specify credit risk retention \n",
       " requirements for securitizers of ABS. In designing the proposed rules, \n",
       " the Agencies sought to ensure that the amount of credit risk retained \n",
       " would be meaningful--consistent with the purposes of section 15G--while \n",
       " reducing the potential for the proposed rules to negatively affect the \n",
       " availability and cost of credit to\n",
       " \n",
       " [[Page 34011]]\n",
       " \n",
       " consumers and businesses. In recognition of the complexities of the \n",
       " rulemaking and the variety of considerations involved in its impact and \n",
       " implementation, the Agencies requested that commenters respond to \n",
       " numerous questions. The Credit Risk NPR stated that the public comment \n",
       " period would close on June 10, 2011.\\2\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\2\\ See id.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The Agencies have received requests from the public for an \n",
       " extension of the comment period to allow for sufficient time for data \n",
       " gathering and impact analyses related to the provisions of the proposed \n",
       " rule.\\3\\ The Agencies believe that it is important for interested \n",
       " persons to have additional time to fully review the provisions of the \n",
       " proposed rule and the questions posed by the Agencies, and to conduct \n",
       " appropriate data collection and analysis on the potential impact of the \n",
       " Credit Risk NPR prior to submitting comment. Therefore, the Agencies \n",
       " are extending the comment period for the Credit Risk NPR from June 10, \n",
       " 2011 to August 1, 2011.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\3\\ See, e.g., comment letters to the Agencies from American \n",
       " Bankers Association et al. (May 13, 2011) and The Loan Syndications \n",
       " and Trading Association (May 26, 2011); and press release from \n",
       " Realogy Corporation (May 10, 2011).\n",
       " \n",
       "     Dated: June 3, 2011.\n",
       " John Walsh,\n",
       " Acting Comptroller of the Currency.\n",
       "     By order of the Board of Governors of the Federal Reserve \n",
       " System, acting through the Secretary under delegated authority, June \n",
       " 6, 2011.\n",
       " Jennifer J. Johnson,\n",
       " Secretary of the Board.\n",
       "     Dated at Washington, DC, this 3rd day of June 2011.\n",
       "     By order of the Board of Directors. Federal Deposit Insurance \n",
       " Corporation.\n",
       " Valerie J. Best,\n",
       " Assistant Executive Secretary.\n",
       "     By the Securities and Exchange Commission.\n",
       " \n",
       "     Dated: June 6, 2011.\n",
       " Elizabeth M. Murphy,\n",
       " Secretary.\n",
       "     Dated: June 2, 2011.\n",
       " Edward J. Demarco,\n",
       " Acting Director, Federal Housing Finance Agency.\n",
       "     Jointly prescribed with the Agencies.\n",
       "     By the Department of Housing and Urban Development.\n",
       " \n",
       "     Dated: June 6, 2011.\n",
       " Robert C. Ryan,\n",
       " Acting Assistant Secretary Housing--Federal Housing Commissioner.\n",
       " [FR Doc. 2011-14444 Filed 6-9-11; 8:45 am]\n",
       " BILLING CODE 6714-01-P; BILLING CODE 4810-33-P; BILLING CODE 6210-01-P; \n",
       " BILLING CODE 8011-01-P; BILLING CODE 8070-01-P; BILLING CODE 4210-67-P\n",
       " \n",
       " \n",
       " </pre>]"
      ]
     },
     "execution_count": 47,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "dc[4][\"text\"]"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 11,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "name": "stderr",
     "output_type": "stream",
     "text": [
      "FutureWarning: sort(columns=....) is deprecated, use sort_values(by=.....) [__main__.py:4]\n"
     ]
    }
   ],
   "source": [
    "df_test =read_file_get_docid('data/CT_doc_list')\n",
    "df_test.reset_index(inplace = True)"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 12,
   "metadata": {
    "collapsed": false,
    "scrolled": true
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "10    11196\n",
       "11    10364\n",
       "12     9985\n",
       "13     9901\n",
       "14     9369\n",
       "15     8884\n",
       "16     8879\n",
       "17     8872\n",
       "18     8833\n",
       "19     6465\n",
       "20     6120\n",
       "21     5577\n",
       "22     5303\n",
       "23     4736\n",
       "24     4696\n",
       "25     4666\n",
       "26     4627\n",
       "27     3349\n",
       "28     3153\n",
       "29     2729\n",
       "30     2699\n",
       "31     2594\n",
       "32     2581\n",
       "33     2492\n",
       "34     2487\n",
       "35     2385\n",
       "36     2232\n",
       "37     2212\n",
       "38     2211\n",
       "39     2209\n",
       "40     1926\n",
       "41     1851\n",
       "42     1818\n",
       "43     1768\n",
       "44     1689\n",
       "45     1624\n",
       "46     1567\n",
       "47     1469\n",
       "48     1425\n",
       "49     1386\n",
       "50     1272\n",
       "51     1165\n",
       "52     1120\n",
       "53     1085\n",
       "54     1085\n",
       "55     1071\n",
       "56     1061\n",
       "57     1023\n",
       "58      998\n",
       "59      985\n",
       "60      979\n",
       "61      961\n",
       "62      874\n",
       "63      873\n",
       "64      871\n",
       "Name: numberOfCommentsReceived, dtype: int64"
      ]
     },
     "execution_count": 12,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "df_test[\"numberOfCommentsReceived\"][10:65] #60,61,62,63"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 18,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "46        DOS-2010-0035-0001\n",
       "47        FAA-2014-0396-0781\n",
       "48        OCC-2012-0010-0001\n",
       "49        FAA-2010-0100-0001\n",
       "50       OSHA-2013-0023-0146\n",
       "51       CFPB-2013-0002-0001\n",
       "52        ETA-2008-0001-1030\n",
       "53    DOT-OST-2014-0002-0018\n",
       "54       USDA-2011-0001-0001\n",
       "55       USCG-2013-0915-0001\n",
       "56    DOT-OST-2011-0044-0003\n",
       "57        FAA-1997-3045-0001\n",
       "58        SBA-2010-0001-0001\n",
       "59    DOT-OST-2010-0140-0015\n",
       "60       OSHA-2007-0032-0018\n",
       "61       CPSC-2011-0074-0001\n",
       "62        FAA-2010-0302-0001\n",
       "63        WHD-2012-0001-0001\n",
       "Name: documentId, dtype: object"
      ]
     },
     "execution_count": 18,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "df_test[\"documentId\"][46:64]"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 99,
   "metadata": {
    "collapsed": true
   },
   "outputs": [],
   "source": [
    "master_list =[]"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 136,
   "metadata": {
    "collapsed": true
   },
   "outputs": [],
   "source": [
    "## Getting all of it together\n",
    "inp =open(\"data/Emily_doc_content\",'rb')\n",
    "col = load(inp)\n",
    "inp.close()\n"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 104,
   "metadata": {
    "collapsed": false
   },
   "outputs": [],
   "source": [
    "for item in col:\n",
    "    if item['text'] != []:\n",
    "        master_list.append(item)"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 138,
   "metadata": {
    "collapsed": true
   },
   "outputs": [],
   "source": [
    "master_list.append(col[8])"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 139,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "24"
      ]
     },
     "execution_count": 139,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "len(master_list)"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 98,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "[]"
      ]
     },
     "execution_count": 98,
     "metadata": {},
     "output_type": "execute_result"
    }
   ],
   "source": [
    "master_list[1]['text']"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": 137,
   "metadata": {
    "collapsed": false
   },
   "outputs": [
    {
     "data": {
      "text/plain": [
       "[<pre>\n",
       " [Federal Register Volume 81, Number 86 (Wednesday, May 4, 2016)]\n",
       " [Proposed Rules]\n",
       " [Pages 26903-26940]\n",
       " From the Federal Register Online via the Government Publishing Office [<a href=\"http://www.gpo.gov\">www.gpo.gov</a>]\n",
       " [FR Doc No: 2016-10297]\n",
       " \n",
       " \n",
       " \n",
       " [[Page 26903]]\n",
       " \n",
       " Vol. 81\n",
       " \n",
       " Wednesday,\n",
       " \n",
       " No. 86\n",
       " \n",
       " May 4, 2016\n",
       " \n",
       " Part III\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " Department of Homeland Security\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " 8 CFR Parts 103 and 204\n",
       " \n",
       " \n",
       " \n",
       " \n",
       " \n",
       " U.S. Citizenship and Immigration Services Fee Schedule; Proposed Rule\n",
       " \n",
       "   Federal Register / Vol. 81 , No. 86 / Wednesday, May 4, 2016 / \n",
       " Proposed Rules  \n",
       " \n",
       " [[Page 26904]]\n",
       " \n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " DEPARTMENT OF HOMELAND SECURITY\n",
       " \n",
       " 8 CFR Parts 103 and 204\n",
       " \n",
       " [CIS No. 2577-15; DHS Docket No. USCIS-2016-0001]\n",
       " RIN 1615-AC09\n",
       " \n",
       " \n",
       " U.S. Citizenship and Immigration Services Fee Schedule\n",
       " \n",
       " AGENCY: U.S. Citizenship and Immigration Services, DHS.\n",
       " \n",
       " ACTION: Proposed rule.\n",
       " \n",
       " -----------------------------------------------------------------------\n",
       " \n",
       " SUMMARY: The Department of Homeland Security (DHS) proposes to adjust \n",
       " certain immigration and naturalization benefit request fees charged by \n",
       " U.S. Citizenship and Immigration Services (USCIS). USCIS conducted a \n",
       " comprehensive fee review, after refining its cost accounting process, \n",
       " and determined that current fees do not recover the full costs of the \n",
       " services it provides. Adjustment to the fee schedule is necessary to \n",
       " fully recover costs for USCIS services and to maintain adequate \n",
       " service. DHS proposes to increase USCIS fees by a weighted average of \n",
       " 21 percent and add one new fee. In addition, DHS proposes to clarify \n",
       " that persons filing a benefit request may be required to appear for \n",
       " biometrics services or an interview and pay the biometrics services \n",
       " fee, and make a number of other changes.\n",
       " \n",
       " DATES: Written comments must be submitted on or before July 5, 2016.\n",
       " \n",
       " ADDRESSES: You may submit comments, identified by DHS Docket No. USCIS-\n",
       " 2016-0001, by one of the following methods:\n",
       "     <bullet> Federal eRulemaking Portal: <a href=\"http://www.regulations.gov\">http://www.regulations.gov</a>. \n",
       " Follow this site's instructions for submitting comments.\n",
       "     <bullet> Email: You may email comments directly to USCIS at \n",
       " <a href=\"mailto:uscisfrcomment@dhs.gov\">uscisfrcomment@dhs.gov</a>. Include DHS Docket No. USCIS-2016-0001 in the \n",
       " subject line of the message.\n",
       "     <bullet> Mail: You may submit comments directly to USCIS by mailing \n",
       " them to Samantha Deshommes, Acting Chief, Regulatory Coordination \n",
       " Division, Office of Policy and Strategy, U.S. Citizenship and \n",
       " Immigration Services, Department of Homeland Security, 20 Massachusetts \n",
       " Avenue NW., Washington, DC 20529-2020. To ensure proper handling, \n",
       " please reference DHS Docket No. USCIS-2016-0001 on your correspondence. \n",
       " This mailing address may be used for paper or CD-ROM submissions.\n",
       "     <bullet> Hand Delivery/Courier: You may submit comments directly to \n",
       " USCIS by having them delivered to Samantha Deshommes, Acting Chief, \n",
       " Regulatory Coordination Division, Office of Policy and Strategy, U.S. \n",
       " Citizenship and Immigration Services, Department of Homeland Security, \n",
       " 20 Massachusetts Avenue NW., Washington, DC 20529-2020. The contact \n",
       " telephone number is (202) 272-8377.\n",
       " \n",
       " FOR FURTHER INFORMATION CONTACT: Joseph D. Moore, Chief Financial \n",
       " Officer, U.S. Citizenship and Immigration Services, Department of \n",
       " Homeland Security, 20 Massachusetts Avenue NW., Washington, DC 20529-\n",
       " 2130, telephone (202) 272-1969.\n",
       " \n",
       " SUPPLEMENTARY INFORMATION: \n",
       " \n",
       " Table of Contents\n",
       " \n",
       " I. Public Participation\n",
       " II. Executive Summary\n",
       " III. Background\n",
       "     A. Legal Authority and Guidance\n",
       "     B. Full Cost Recovery\n",
       "     C. New Statutory Fees for Certain H-1B and L-1 Petitions\n",
       " IV. The Immigration Examinations Fee Account\n",
       "     A. General Background\n",
       "     B. Fee Review History\n",
       "     C. USCIS Initiatives Funded Under the 2010 Fee Adjustment\n",
       "     D. Processing Time Outlook\n",
       " V. FY 2016/2017 Immigration Examinations Fee Account Fee Review\n",
       "     A. Overall Approach\n",
       "     B. Basis for Fee Schedule\n",
       "     1. Costs\n",
       "     2. Revenue\n",
       "     3. No Discretionary Appropriations for RAIO, SAVE, Office of \n",
       " Citizenship, or Military Naturalization Costs\n",
       "     4. New Fee for Annual Certification of Regional Center, Form I-\n",
       " 924A\n",
       "     5. Summary\n",
       " VI. Fee Review Methodology\n",
       "     A. Background\n",
       "     1. ABC Methodology\n",
       "     2. Continuing Low Volume Reallocation From FY 2010/2011 Fee Rule\n",
       "     3. Applying Cost Reallocation to Other Form Types\n",
       "     4. Reduced Fee for Application for Naturalization\n",
       "     5. Holding the Biometric Services Fee at Its Current Level\n",
       "     6. Continuing To Hold the Refugee Travel Document Fee to the \n",
       " Department of State Passport Fee\n",
       "     7. Holding the Fee for a Petition by Entrepreneur To Remove \n",
       " Conditions (Form I-829) at Its Current Level\n",
       "     B. Changes for the FY 2016/2017 Fee Review\n",
       "     1. Interim Benefits\n",
       "     2. I-485 Fee for Child Under 14, Filing With Parent\n",
       "     3. One Fee for a Genealogy Records Request\n",
       "     4. Dishonored Payments and Failure To Pay the Biometrics \n",
       " Services Fee\n",
       "     5. Refunds\n",
       "     C. Fee-Related Issues Noted for Consideration\n",
       "     1. Premium Processing\n",
       "     2. Accommodating E-Filing and Form Flexibility\n",
       "     3. Fee Waivers\n",
       " VII. Volume\n",
       "     A. Workload Volume and Volume Projection Committee\n",
       "     B. Fee-Paying Volume and Methodology\n",
       " VIII. Completion Rates\n",
       " IX. Proposed Fee Adjustments to Immigration Examinations Fee Account \n",
       " Immigration Benefits\n",
       " X. Statutory and Regulatory Reviews\n",
       "     A. Regulatory Flexibility Act\n",
       "     B. Unfunded Mandates Reform Act\n",
       "     C. Small Business Regulatory Enforcement Fairness Act\n",
       "     D. Congressional Review Act\n",
       "     E. Executive Orders 12866 and 13563 (Regulatory Planning and \n",
       " Review)\n",
       "     F. Executive Order 13132 (Federalism)\n",
       "     G. Executive Order 12988 (Civil Justice Reform)\n",
       "     H. Paperwork Reduction Act\n",
       " \n",
       " List of Acronyms and Abbreviations\n",
       " \n",
       " ABC Activity-Based Costing\n",
       " BLS Bureau of Labor Statistics\n",
       " CFO Chief Financial Officer\n",
       " CNMI Commonwealth of the Northern Mariana Islands\n",
       " CPI Consumer Price Index\n",
       " DACA Deferred Action for Childhood Arrivals\n",
       " DOD Department of Defense\n",
       " DHS Department of Homeland Security\n",
       " DOL Department of Labor\n",
       " DOS Department of State\n",
       " EB-5 Employment-Based Immigrant Visa, Fifth Preference\n",
       " EIN Employer Identification Number\n",
       " FASAB Federal Accounting Standards Advisory Board\n",
       " FBI Federal Bureau of Investigation\n",
       " FOIA Freedom of Information Act\n",
       " FY Fiscal Year\n",
       " GAO Government Accountability Office\n",
       " IEFA Immigration Examinations Fee Account\n",
       " INA Immigration and Nationality Act of 1952\n",
       " IPO Investor Program Office\n",
       " IOAA Independent Offices Appropriations Act\n",
       " NACARA Nicaraguan Adjustment and Central American Relief Act\n",
       " NAICS North American Industry Classification System\n",
       " OMB Office of Management and Budget\n",
       " RAIO Refugee, Asylum, and International Operations Directorate\n",
       " RFA Regulatory Flexibility Act\n",
       " SAVE Systematic Alien Verification for Entitlements\n",
       " SBA Small Business Administration\n",
       " TPS Temporary Protected Status\n",
       " UMRA Unfunded Mandates Reform Act\n",
       " USCIS U.S. Citizenship and Immigration Services\n",
       " USPHS U.S. Public Health Service\n",
       " VPC Volume Projection Committee\n",
       " \n",
       " I. Public Participation\n",
       " \n",
       "     DHS invites you to participate in this rulemaking by submitting \n",
       " written data, views, or arguments on all aspects of this proposed rule. \n",
       " Comments providing\n",
       " \n",
       " [[Page 26905]]\n",
       " \n",
       " the most assistance to DHS will reference a specific portion of the \n",
       " proposed rule, explain the reason for any recommended change, and \n",
       " include data, information, or authority that supports the recommended \n",
       " change.\n",
       "     Instructions: All submissions should include the agency name and \n",
       " DHS Docket No. USCIS-2016-0001 for this rulemaking. Providing comments \n",
       " is entirely voluntary. Regardless of how you submit your comment to \n",
       " DHS, all submissions will be posted, without change, to the Federal \n",
       " eRulemaking Portal at <a href=\"http://www.regulations.gov\">http://www.regulations.gov</a> and will include any \n",
       " personal information you provide. Because the information you submit \n",
       " will be publicly available, you should consider limiting the amount of \n",
       " personal information in your submission. DHS may withhold information \n",
       " provided in comments from public viewing if DHS determines that such \n",
       " information is offensive or may affect the privacy of an individual. \n",
       " For additional information, please read the Privacy Act notice \n",
       " available through the link in the footer of <a href=\"http://www.regulations.gov\">http://www.regulations.gov</a>.\n",
       "     Docket: For access to the docket, go to <a href=\"http://www.regulations.gov\">http://www.regulations.gov</a> \n",
       " and enter this rulemaking's eDocket number: USCIS-2016-0001. The docket \n",
       " includes additional documents that support the analysis contained in \n",
       " this proposed rule to determine the specific fees that are proposed. \n",
       " These documents include:\n",
       "     <bullet> Fiscal Year (FY) 2016/2017 Immigration Examinations Fee \n",
       " Account Fee Review Supporting Documentation; and\n",
       "     <bullet> Small Entity Analysis for Adjustment of the U.S. \n",
       " Citizenship and Immigration Services Fee Schedule notice of proposed \n",
       " rulemaking (NPRM).\n",
       "     You may review these documents on the electronic docket. The \n",
       " software \\1\\ used in computing the immigration benefit request fees \\2\\ \n",
       " and biometric fees \\3\\ is a commercial product licensed to USCIS that \n",
       " may be accessed on-site, by appointment, by calling (202) 272-1969.\\4\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\1\\ USCIS uses commercially available activity-based costing \n",
       " software, SAP Business Objects Profitability and Cost Management, to \n",
       " create financial models to implement activity-based costing (ABC), \n",
       " as described in the ABC Methodology section.\n",
       "     \\2\\ Benefit request means any application, petition, motion, \n",
       " appeal, or other request relating to an immigration or \n",
       " naturalization benefit, whether such request is filed on a paper \n",
       " form or submitted in an electronic format, provided such request is \n",
       " submitted in a manner prescribed by DHS for such purpose. 8 CFR 1.2.\n",
       "     \\3\\ DHS uses the terms biometric fees, biometric services fees, \n",
       " and biometric fee synonymously in this rule to describe the process \n",
       " and fee for capturing, storing, or using biometrics.\n",
       "     \\4\\ This rule describes the ABC model and key inputs to that \n",
       " model (total budget, workload estimates, staffing, and completion \n",
       " rates), both here and in the supporting documentation in the docket.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " II. Executive Summary\n",
       " \n",
       "     DHS proposes to adjust its fee schedule, which specifies the amount \n",
       " of the fee charged for each immigration and naturalization benefit \n",
       " request. The fee schedule was last adjusted on November 23, 2010. See \n",
       " 75 FR 58962 (Sept. 24, 2010) (final rule) (FY 2010/2011 Fee Rule).\n",
       "     U.S. Citizenship and Immigration Services (USCIS) is primarily \n",
       " funded by immigration and naturalization benefit request fees charged \n",
       " to applicants and petitioners. Fees collected from individuals and \n",
       " entities filing immigration benefit requests are deposited into the \n",
       " Immigration Examinations Fee Account (IEFA) and used to fund the cost \n",
       " of processing immigration benefit requests.\n",
       "     In accordance with the requirements and principles of the Chief \n",
       " Financial Officers Act of 1990, 31 U.S.C. 901-03, (CFO Act), and Office \n",
       " of Management and Budget (OMB) Circular A-25, USCIS reviews the fees \n",
       " deposited into the IEFA biennially and, if necessary, proposes \n",
       " adjustments to ensure recovery of costs necessary to meet national \n",
       " security, customer service, and adjudicative processing goals. USCIS \n",
       " completed a biennial fee review for FY 2016/2017 in 2015. The results \n",
       " indicate that current fee levels are insufficient to recover the full \n",
       " cost of activities funded by the IEFA.\n",
       "     USCIS calculates its fees to recover the full cost of USCIS \n",
       " operations, which do not include the limited appropriated funds \n",
       " provided by Congress. USCIS anticipates if it continues to operate at \n",
       " current fee levels, it will experience an average annual shortfall of \n",
       " $560 million between IEFA revenues and costs. This projected shortfall \n",
       " poses a risk of degrading USCIS operations funded by IEFA revenue. The \n",
       " proposed rule would eliminate this risk by ensuring full cost recovery. \n",
       " DHS proposes to adjust fees by a weighted average increase of 21 \n",
       " percent. The weighted average increase is the percentage difference \n",
       " between the current and proposed fees by immigration benefit type.\\5\\ \n",
       " USCIS discusses the overall increase proposed in this rule in terms of \n",
       " weighted average, as opposed to a straight average, because the figure \n",
       " represents a more accurate depiction of the overall effect that this \n",
       " proposed rule would have on fee revenue.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\5\\ USCIS uses weighted average as opposed to a straight average \n",
       " because of the difference in volume by immigration benefit type and \n",
       " the resulting effect on fee revenue. See the FY 2016/2017 \n",
       " Immigration Examinations Fee Account Fee Review Supporting \n",
       " Documentation for further information. The 21% weighted average \n",
       " increase is a change in the average fee that must be paid per filing \n",
       " for a form that currently requires a fee as compared to the average \n",
       " that would have to be paid per form as proposed in this rule. The \n",
       " sum of the current fees multiplied by the projected FY 2016/2017 fee \n",
       " paying receipts by immigration benefit type, divided by the total \n",
       " fee paying receipts = $332. The sum of the proposed fees multiplied \n",
       " by the projected FY 2016/2017 receipts by immigration benefit type, \n",
       " divided by the fee paying receipts = $403. There is a $71 difference \n",
       " between these two averages, or 21%.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In addition to ensuring that fees for each specific benefit type \n",
       " are adequate to cover the USCIS costs associated with administering the \n",
       " benefit, the weighted average increase of 21 percent also accounts for \n",
       " USCIS costs for services that are not directly fee funded. For \n",
       " instance, DHS proposes certain changes to how USCIS funds the costs for \n",
       " fee-exempt benefit types through IEFA fee collections received from \n",
       " other fee-paying individuals seeking immigration benefits.\\6\\ DHS also \n",
       " proposes to fund the costs of the Systematic Alien Verification for \n",
       " Entitlements (SAVE) program (to the extent not recovered from \n",
       " users),\\7\\ and the Office of Citizenship \\8\\ through the use of fees. \n",
       " The proposed fee schedule also accounts for increased costs to \n",
       " administer refugee processing. Revenues under the proposed rule would \n",
       " accommodate an anticipated increase in the refugee admissions ceiling \n",
       " to 100,000 for FY 2017. This is an increase of 30,000, or 43 percent, \n",
       " over the FY 2015 refugee admissions ceiling.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\6\\ USCIS does not charge a fee for military naturalizations, as \n",
       " the Department of Defense (DOD) currently reimburses USCIS for costs \n",
       " related to such naturalizations. Accordingly, USCIS does not propose \n",
       " to increase fees to cover the costs of military naturalizations.\n",
       "     \\7\\ The SAVE program was established in 1987 by the Immigration \n",
       " Reform and Control Act (IRCA), Pub. L. 99-603, Sec.  121(c) (Nov. 6, \n",
       " 1986), which required the Commissioner of the Immigration and \n",
       " Naturalization Service (INS) to ``implement a system for the \n",
       " verification of immigration status . . . so that the system is \n",
       " available to all States by not later than October 1, 1987.'' SAVE \n",
       " uses an internet-based service to assist Federal, state and local \n",
       " benefit-issuing and licensing agencies, and other governmental \n",
       " entities, in determining the immigration status of benefit or \n",
       " license applicants, so that only those applicants entitled to \n",
       " benefits or licenses receive them.\n",
       "     \\8\\ The USCIS Office of Citizenship was established by section \n",
       " 451(f) of the Homeland Security Act of 2002. Pub. L. 107-296, Sec.  \n",
       " 451(f) (2002). The statute tasks the office with ``promoting \n",
       " instruction and training on citizenship responsibilities for aliens \n",
       " interested in becoming naturalized citizens.''\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In addition to the overall increase to existing fees, DHS proposes \n",
       " to establish a new fee of $3,035 to recover the full cost of processing \n",
       " the Employment Based Immigrant Visa, Fifth Preference\n",
       " \n",
       " [[Page 26906]]\n",
       " \n",
       " (EB-5) Annual Certification of Regional Center, Form I-924A.\\9\\ While \n",
       " approved EB-5 Regional Centers are required to file Form I-924A \n",
       " annually, there is currently no filing fee and as a result, DHS does \n",
       " not fully recover the processing costs associated with such filings. \n",
       " DHS therefore proposes to establish a filing fee for this form.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\9\\ This rule proposes to change the title of Form I-924A from \n",
       " ``Supplement to Form I-924'' to ``Annual Certification of Regional \n",
       " Center.''\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS also proposes to establish a three-level fee for the \n",
       " Application for Naturalization (Form N-400). First, DHS would increase \n",
       " the standard fee for Form N-400 from $595 to $640. Second, DHS would \n",
       " continue to charge no fee to an applicant who meets the requirements of \n",
       " sections 328 or 329 of the Immigration and Nationality Act of 1952 \n",
       " (INA) with respect to military service and applicants with approved fee \n",
       " waivers. Third, DHS would charge a reduced fee of $320 for \n",
       " naturalization applicants with family income greater than 150 percent \n",
       " and not more than 200 percent of the Federal Poverty Guidelines. DHS is \n",
       " proposing this change to increase access to United States citizenship.\n",
       "     DHS also proposes to remove regulatory provisions that prevent \n",
       " USCIS from rejecting an immigration or naturalization benefit request \n",
       " paid with a dishonored check or lacking the required biometric services \n",
       " fee until the remitter has been provided an opportunity to correct the \n",
       " deficient payment. Finally, DHS proposes to clarify that persons filing \n",
       " any benefit request may be required to appear for biometrics services \n",
       " or an interview and may be required to pay the biometrics services fee.\n",
       " \n",
       " III. Background\n",
       " \n",
       " A. Legal Authority and Guidance\n",
       " \n",
       "     DHS issues this proposed rule consistent with INA section 286(m), 8 \n",
       " U.S.C. 1356(m) (authorizing DHS to charge fees for adjudication and \n",
       " naturalization services at a level to ``ensure recovery of the full \n",
       " costs of providing all such services, including the costs of similar \n",
       " services provided without charge to asylum applicants or other \n",
       " immigrants'' \\10\\), and the CFO Act, 31 U.S.C. 901-03 (requiring each \n",
       " agency's Chief Financial Officer (CFO) to review, on a biennial basis, \n",
       " the fees imposed by the agency for services it provides, and to \n",
       " recommend changes to the agency's fees).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\10\\ The longstanding interpretation of DHS is that the \n",
       " ``including'' clause in section 286(m) does not constrain DHS's fee \n",
       " authority under the statute. The ``including'' clause offers only a \n",
       " non-exhaustive list of some of the costs that DHS may consider part \n",
       " of the full costs of providing adjudication and naturalization \n",
       " services.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     This proposed rule is also consistent with non-statutory guidance \n",
       " on fees, the budget process, and federal accounting principles. See OMB \n",
       " Circular A-25, available at <a href=\"http://www.whitehouse.gov/omb/circulars_a025/\">http://www.whitehouse.gov/omb/circulars_a025/</a>, 58 FR 38142 (July 15, 1993) (establishing federal \n",
       " policy guidance regarding fees assessed by federal agencies for \n",
       " government services); Federal Accounting Standards Advisory Board \n",
       " (FASAB) Handbook, Version 14 (06/15), SFFAS 4, No. 37, available at \n",
       " <a href=\"http://files.fasab.gov/pdffiles/handbook_sffas_4.pdf\">http://files.fasab.gov/pdffiles/handbook_sffas_4.pdf</a> (generally \n",
       " describing cost accounting concepts and standards, and defining ``full \n",
       " cost'' to include ``direct and indirect costs that contribute to the \n",
       " output, regardless of funding sources.''); id. at 33-42 (identifying \n",
       " various classifications of costs to be included and recommending \n",
       " various methods of cost assignment); see also OMB Circular A-11, \n",
       " Preparation, Submission, and Execution of the Budget, section 20.7(d), \n",
       " (g) (June 30, 2015)), available at <a href=\"http://www.whitehouse.gov/sites/default/files/omb/assets/a11_current_year/a11_2015.pdf\">www.whitehouse.gov/sites/default/files/omb/assets/a11_current_year/a11_2015.pdf</a> (providing guidance on \n",
       " the FY 2017 Budget and instructions on budget execution, offsetting \n",
       " collections, and user fees). DHS uses OMB Circular A-25 as general \n",
       " policy guidance for determining user fees for immigration benefit \n",
       " requests, with exceptions as outlined below. DHS also follows the \n",
       " annual guidance in OMB Circular A-11 if it requests appropriations to \n",
       " offset a portion of IEFA costs.\\11\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\11\\ OMB Circulars A-25 and A-11 provide nonbinding internal \n",
       " Executive Branch direction for the development of fee schedules \n",
       " under the Independent Offices Appropriations Act (IOAA) and \n",
       " appropriations requests, respectively. See 5 CFR 1310.1. Although \n",
       " DHS is not required to strictly adhere to these OMB circulars in \n",
       " setting USCIS fees, DHS used the activity-based costing (ABC) \n",
       " methodology supported in Circulars A-25 and A-11 to develop the \n",
       " proposed fee schedule.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Finally, this rule accounts for and is consistent with \n",
       " congressional appropriations for specific USCIS programs. Appropriated \n",
       " funding for USCIS for FY 2016 provided funding only for the E-Verify \n",
       " employment eligibility verification program in the amount of $119.7 \n",
       " million. See Consolidated Appropriations Act, 2016, Public Law 114-113, \n",
       " div. F, tit. IV (Dec. 18, 2015) (DHS Appropriations Act 2016).\n",
       " \n",
       " B. Full Cost Recovery\n",
       " \n",
       "     Consistent with the aforementioned authorities and sources, this \n",
       " proposed rule would ensure that USCIS recovers the full costs for its \n",
       " services and maintains an adequate level of service. The proposed rule \n",
       " would do this in two ways. First, where possible, the proposed rule \n",
       " would set fees at levels sufficient to cover the full cost of the \n",
       " corresponding services.\\12\\ DHS works with OMB and generally follows \n",
       " OMB Circular A-25, which ``establishes federal policy regarding fees \n",
       " assessed for Government services and for sale or use of Government \n",
       " goods or resources.'' See OMB Circular A-25, User Charges (Revised), \n",
       " para. 6, 58 FR 38142 (July 15, 1993). A primary objective of OMB \n",
       " Circular A-25 is to ensure that federal agencies recover the full cost \n",
       " of providing specific services to users and associated costs. See id., \n",
       " para. 5. Full costs include, but are not limited to, an appropriate \n",
       " share of:\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\12\\ INA section 286(m), 8 U.S.C. 1356(m), provides broader fee-\n",
       " setting authority and is an exception from the stricter costs-for-\n",
       " services-rendered requirements of the Independent Offices \n",
       " Appropriations Act, 1952, 31 U.S.C. 9701(c) (IOAA). See Seafarers \n",
       " Int'l Union of N. Am. v. U.S. Coast Guard, 81 F.3d 179 (D.C. Cir. \n",
       " 1996) (IOAA provides that expenses incurred by agency to serve some \n",
       " independent public interest cannot be included in cost basis for a \n",
       " user fee, although agency is not prohibited from charging applicant \n",
       " full cost of services rendered to applicant which also results in \n",
       " some incidental public benefits). Congress initially enacted \n",
       " immigration fee authority under the IOAA. See Ayuda, Inc. v. \n",
       " Attorney General, 848 F.2d 1297 (D.C. Cir. 1988). Congress \n",
       " thereafter amended the relevant provision of law to require deposit \n",
       " of the receipts into the separate Immigration Examinations Fee \n",
       " Account of the Treasury as offsetting receipts to fund operations, \n",
       " and broadened the fee-setting authority. Departments of Commerce, \n",
       " Justice, and State, the Judiciary, and Related Agencies \n",
       " Appropriations Act, 1991, Public Law 101-515, sec. 210(d), 104 Stat. \n",
       " 2101, 2111 (Nov. 5, 1990). Additional values are considered in \n",
       " setting Immigration Examinations Fee Account fees that would not be \n",
       " considered in setting fees under the IOAA. See 72 FR at 29866-7.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> Direct and indirect personnel costs, including salaries \n",
       " and fringe benefits such as medical insurance and retirement;\n",
       "     <bullet> Physical overhead, consulting, and other indirect costs, \n",
       " including material and supply costs, utilities, insurance, travel, and \n",
       " rents or imputed rents on land, buildings, and equipment;\n",
       "     <bullet> Management and supervisory costs; and\n",
       "     <bullet> The costs of enforcement, collection, research, \n",
       " establishment of standards, and regulation. Id.\n",
       "     Second, this proposed rule would set fees at a level sufficient to \n",
       " fund overall requirements and general operations when no annual \n",
       " appropriations are received, fees are statutorily set at a level that \n",
       " does not recover costs, or DHS determines that a type of immigration \n",
       " benefit request should be exempt, in whole or in part, from payment of \n",
       " fees. As noted, Congress has provided that USCIS may set fees for \n",
       " providing\n",
       " \n",
       " [[Page 26907]]\n",
       " \n",
       " adjudication and naturalization services at a level that will ensure \n",
       " recovery of the full costs of providing all such services, including \n",
       " the costs of similar services provided without charge to asylum \n",
       " applicants or other immigrants. See INA section 286(m), 8 U.S.C. \n",
       " 1356(m).\\13\\ DHS has interpreted this statutory fee-setting authority, \n",
       " including the authorization for DHS to collect ``full costs'' for \n",
       " providing ``adjudication and naturalization services,'' as granting DHS \n",
       " broad discretion to include costs other than OMB Circular A-25 \n",
       " generally provides. See OMB Circular A-25, para. 6d1; INA section \n",
       " 286(m), 8 U.S.C. 1356(m). In short, DHS may charge fees at a level that \n",
       " will ensure recovery of all direct and indirect costs associated with \n",
       " providing immigration adjudication and naturalization services.\\14\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\13\\ Congress has provided separate but similar authority for \n",
       " establishing USCIS genealogy program fees. See INA section 286(t), 8 \n",
       " U.S.C. 1356(t). The statute requires that genealogy program fees be \n",
       " deposited into the Examinations Fee Account and that the fees for \n",
       " such research and information services may be set at a level that \n",
       " will ensure the recovery of the full costs of providing all such \n",
       " services. Id. The methodology for calculating the genealogy program \n",
       " fees is discussed in a separate section later in this preamble.\n",
       "     \\14\\ Congress has not defined either term with any degree of \n",
       " specificity for purposes of subsections (m) and (n). See, e.g., \n",
       " Barahona v. Napolitano, No. 10-1574, 2011 WL 4840716, at **6-8 \n",
       " (S.D.N.Y. Oct. 11, 2011) (``While the term `full costs' appears \n",
       " self-explanatory, section 286(m) contains both silence and ambiguity \n",
       " concerning the precise scope that `full costs' entails in this \n",
       " context.''); see also King v. Burwell, 135 S. Ct. 2480, 2489 (2015) \n",
       " (``[O]ftentimes the `meaning--or ambiguity--of certain words or \n",
       " phrases may only become evident when placed in context.' So when \n",
       " deciding whether the language is plain, we must read the words `in \n",
       " their context and with a view to their place in the overall \n",
       " statutory scheme.' '') (quoting FDA v. Brown &amp; Williamson Tobacco \n",
       " Corp., 529 U.S. 120, 132-33 (2000)).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Consistent with this historical position, this proposed rule would \n",
       " set fees at a level that will ensure recovery of the full operating \n",
       " costs of USCIS, the entity within DHS that provides almost all \n",
       " immigration adjudication and naturalization services. See Homeland \n",
       " Security Act (HSA), Public Law 107-296, sec. 451, 116 Stat. 2142 (Nov. \n",
       " 26, 2002) (6 U.S.C. 271). The statute authorizes recovery of the full \n",
       " costs of providing immigration adjudication and naturalization \n",
       " services. Congress has historically relied on this authority to support \n",
       " the vast majority of USCIS programs and operations, which are conducted \n",
       " as part of adjudication and naturalization service delivery. This \n",
       " conclusion is supported by Congress' historical appropriations to \n",
       " USCIS. USCIS receives only a small amount of appropriated funds \n",
       " annually, and the agency must use other means to fund, as a matter of \n",
       " both discretion and necessity, all other USCIS operations.\n",
       "     Thus, for example, certain functions (such as SAVE \\15\\ and the \n",
       " Office of Citizenship \\16\\), that USCIS has administered since DHS's \n",
       " inception as an integrated part of fulfilling USCIS's statutory \n",
       " responsibility to provide immigration adjudication and naturalization \n",
       " services, are not associated with specific fees, but may be IEFA-\n",
       " funded. Similarly, when a filing fee for a benefit such as Temporary \n",
       " Protected Status (TPS), capped by statute at $50, does not cover the \n",
       " cost of adjudicating these benefit requests, DHS may recover the \n",
       " difference with fees charged to other benefit requests. See INA section \n",
       " 244(c)(1)(B), 8 U.S.C. 1254a(c)(1)(B); 8 CFR 103.7(b)(1)(i)(MM); \n",
       " proposed 8 CFR 103.7(b)(1)(i)(NN). Finally, when DHS exempts certain \n",
       " foreign nationals from visa fees--for example, victims who assist law \n",
       " enforcement in the investigation or prosecution of acts of human \n",
       " trafficking (T nonimmigrant status) or certain other crimes (U \n",
       " nonimmigrant status)--the cost of processing those fee-exempt visas \n",
       " must be recovered by fees charged to other benefit requests. See, e.g., \n",
       " proposed 8 CFR 103.7(b)(1)(i)(UU)-(VV).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\15\\ SAVE has been funded almost exclusively by user fees and \n",
       " IEFA funds, as Congress has not provided any direct appropriated \n",
       " funds for the program since FY 2007. SAVE provides an ``immigration \n",
       " adjudication . . . service'' under sections 286(m) and (n) of the \n",
       " INA to Federal, state and local agencies who require immigration \n",
       " adjudication information in administering their benefits.\n",
       "     \\16\\ The Office of Citizenship was created in the HSA at the \n",
       " same time as several other mission essential USCIS offices, such as \n",
       " those for legal, budget and policy. Like those offices, the Office \n",
       " of Citizenship has always been considered an essential part of the \n",
       " ``adjudication and naturalization services'' USCIS provides under \n",
       " sections 286(m) and (n) of the INA. An integral part of providing \n",
       " such services, as Congress recognized in creating the Citizenship \n",
       " office in section 451(f) of the INA, includes providing information \n",
       " to potential applicants for naturalization regarding the process of \n",
       " naturalization and related activities.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In short, the full costs of USCIS operations cannot be as directly \n",
       " correlated or connected to a specific fee as OMB Circular A-25 advises. \n",
       " Nonetheless, DHS follows OMB Circular A-25 to the extent appropriate, \n",
       " including its direction that fees should be set to recover the costs of \n",
       " an agency's services in their entirety and that full costs are \n",
       " determined based upon the best available records of the agency. Id. DHS \n",
       " therefore applies the discretion provided in INA section 286(m), 8 \n",
       " U.S.C. 1356(m), to: (1) Use ABC to establish a model for assigning \n",
       " costs to specific benefit requests in a manner reasonably consistent \n",
       " with OMB Circular A-25; (2) distribute costs that are not attributed to \n",
       " or driven by specific adjudication and naturalization services; \\17\\ \n",
       " and (3) make additional adjustments to effectuate specific policy \n",
       " objectives.\\18\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\17\\ The ABC model distributes indirect costs. Costs that are \n",
       " not assigned to specific fee-paying immigration benefit requests are \n",
       " reallocated to other fee-paying immigration benefit requests outside \n",
       " the model. For example, the model determines the direct and indirect \n",
       " costs for refugee and asylum workload. The costs associated with \n",
       " processing the refugee and asylum workload are reallocated outside \n",
       " the model to other fee-paying immigration benefit requests.\n",
       "     \\18\\ DHS may reasonably adjust fees based on value judgments and \n",
       " public policy reasons where a rational basis for the methodology is \n",
       " propounded in the rulemaking. See FCC v. Fox Television Stations, \n",
       " Inc., 556 U.S. 502, 515 (2009); Motor Vehicle Mfrs. Ass'n v. State \n",
       " Farm Mut. Auto. Ins. Co., 463 U.S. 29 (1983).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     By approving the DHS annual appropriations that provide very \n",
       " limited funds to USCIS, Congress has consistently recognized that the \n",
       " ``full'' cost of operating USCIS, including SAVE and the Office of \n",
       " Citizenship, less any appropriated funding, is the appropriate cost \n",
       " basis for establishing IEFA fees. Nevertheless, in each biennial \n",
       " review, DHS adds refinements to its determination of immigration \n",
       " benefit fees, including the level by which fees match directly \n",
       " assignable, associated, and indirect costs.\n",
       " \n",
       " C. New Statutory Fees for Certain H-1B and L-1 Petitions\n",
       " \n",
       "     The James Zadroga 9/11 Victim Compensation Fund Reauthorization Act \n",
       " increased Fees For Certain H-1B \\19\\ And L-1 \\20\\ Visa Petitioners. See \n",
       " Consolidated Appropriations Act, 2016, Public Law 114-113, div. O, tit. \n",
       " IV, sec. 402 (Dec. 18, 2015). These petitioners must submit an \n",
       " additional fee of $4,000 for certain H-1B petitions and $4,500 for \n",
       " certain L-1A and L-1B petitions postmarked on or after December 18, \n",
       " 2015. Proposed 8 CFR 103.7(b)(1)(i)(III)-(JJJ).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\19\\ The H-1B nonimmigrant classification allows U.S. employers \n",
       " to temporarily employ foreign workers in the United States to \n",
       " perform services in a specialty occupation, services of an \n",
       " exceptional nature relating to a Department of Defense cooperative \n",
       " research and development project, or services as a fashion model of \n",
       " distinguished merit or ability. INA section 101(a)(15)(H), 8 U.S.C. \n",
       " 1101(a)(15)(H).\n",
       "     \\20\\ L-1 petitions are filed to transfer individuals who are \n",
       " employed outside the United States as executives or managers, or in \n",
       " positions that require specialized knowledge, to a position with the \n",
       " same or a related entity inside the United States. INA section \n",
       " 101(a)(15)(L), 8 U.S.C. 1101(a)(15)(L).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The additional fees apply to petitioners who employ 50 or more \n",
       " employees in the United States, with more than 50 percent of those \n",
       " employees in H-1B or L-1 (including L-1A and L-1B) nonimmigrant status.\n",
       " \n",
       " [[Page 26908]]\n",
       " \n",
       " These petitioners must submit the additional fees with an H-1B or L-1 \n",
       " petition filed:\n",
       "     <bullet> Initially to grant status to a nonimmigrant described in \n",
       " subparagraph (H)(i)(b) or (L) of section 101(a)(15) of the Immigration \n",
       " and Nationality Act; or\n",
       "     <bullet> To obtain authorization for a nonimmigrant in such status \n",
       " to change employers.\n",
       "     USCIS began rejecting petitions after February 11, 2016 that do not \n",
       " include the additional Public Law 114-113 fee, if applicable. This fee \n",
       " is in addition to the Petition for a Nonimmigrant Worker (Form I-129) \n",
       " fee, the Fraud Prevention and Detection Fee, and the American \n",
       " Competitiveness and Workforce Improvement Act of 1998 fee (when \n",
       " required), as well as the premium processing fee (if applicable). These \n",
       " fees, when applicable, may not be waived. Public Law 114-113 fees will \n",
       " remain effective through September 30, 2025.\n",
       "     USCIS collects this revenue, but does not spend it. One half of the \n",
       " revenue collected from such fees goes to the General Fund of the \n",
       " Treasury. The other half is deposited by DHS into the 9-11 Response and \n",
       " Biometric Exit Account to fund a biometric entry-exit data system to \n",
       " track the lawful entrance and departure of all noncitizens at U.S. \n",
       " airports and land border crossings. After a total of $1,000,000,000 is \n",
       " deposited into the 9-11 Response and Biometric Exit Account, further \n",
       " revenue will be deposited in the general fund of the Treasury. The \n",
       " funds in the 9-11 Response and Biometric Exit Account will remain \n",
       " available until expended to U.S. Customs and Border Protection and/or \n",
       " other DHS components to implement the biometric entry-exit data system.\n",
       "     USCIS is already collecting these new statutory fees and is in the \n",
       " process of revising the instructions for the Petition for a \n",
       " Nonimmigrant Worker, Form I-129, and the Nonimmigrant Petition Based on \n",
       " Blanket L Petition, Form I-129S, to include them. DHS is required to \n",
       " charge these fees and has no authority to change them. DHS is proposing \n",
       " to publish these new statutory fees in the interest of transparency, \n",
       " information and clarity.\n",
       " \n",
       " IV. The Immigration Examinations Fee Account\n",
       " \n",
       " A. General Background\n",
       " \n",
       "     In 1988, Congress established the IEFA in the Treasury of the \n",
       " United States. See Public Law 100-459, sec. 209, 102 Stat. 2186 (Oct. \n",
       " 1, 1988) (codified as amended at INA sections 286(m) and (n), 8 U.S.C. \n",
       " 1356(m) and (n)). Fees deposited into the IEFA fund the provision of \n",
       " immigration adjudication and naturalization services. In subsequent \n",
       " legislation, Congress directed that the IEFA also fund the cost of \n",
       " asylum processing and other services provided to immigrants at no \n",
       " charge. See Public Law 101-515, sec. 210(d)(1) and (2), 104 Stat. 2101, \n",
       " 2121 (Nov. 5, 1990). Consequently, the immigration benefit fees were \n",
       " increased to recover these additional costs. See 59 FR 30520 (June 14, \n",
       " 1994).\n",
       " \n",
       " B. Fee Review History\n",
       " \n",
       "     Most recently, DHS published a revised USCIS fee schedule in its \n",
       " 2010/2011 Fee Rule that amended many USCIS fees to more accurately \n",
       " reflect the costs of services provided by USCIS. 75 FR 58962 (Sept. 24, \n",
       " 2010).\\21\\ The rule was effective on November 23, 2010. The Department \n",
       " of Justice \\22\\ also adjusted fees incrementally in 1994, and DHS \n",
       " adjusted fees in 2002, 2004, and 2005. See 59 FR 30520 (June 14, 1994); \n",
       " 66 FR 65811 (Dec. 21, 2001); 69 FR 20528 (Apr. 15, 2004); 70 FR 56182 \n",
       " (Sept. 26, 2005). After a decade of incremental changes, DHS published \n",
       " a comprehensive Fee Rule in 2007. See 72 FR 29851 (May 30, 2007). The \n",
       " documentation accompanying this proposed rule in the rulemaking docket \n",
       " at <a href=\"http://www.regulations.gov\">www.regulations.gov</a> contains a historical fee schedule that shows \n",
       " the immigration benefit fee history since FY 1985.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\21\\ The phrase ``FY 2010/2011 Fee Rule,'' as used in this \n",
       " proposed rule, encompasses the proposed rule, final rule, fee study, \n",
       " and all supporting documentation associated with the regulations \n",
       " effective as of November 23, 2010.\n",
       "     \\22\\ The Homeland Security Act of 2002 abolished the Immigration \n",
       " and Naturalization Service (INS) and transferred the INS's \n",
       " immigration administration and enforcement responsibilities from the \n",
       " Department of Justice to DHS. The INS's immigration and citizenship \n",
       " services functions were specifically transferred to the Bureau of \n",
       " Citizenship and Immigration Services, later renamed U.S. Citizenship \n",
       " and Immigration Services. See Public Law 107-296, Sec.  451; 6 \n",
       " U.S.C. 271.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     USCIS reviews the IEFA every 2 years as required by the CFO Act and \n",
       " consistent with guidance in OMB Circular A-25. 31 U.S.C. 902(a)(8); OMB \n",
       " Circular A-25, section 8e. The CFO Act and OMB Circular A-25 require \n",
       " that fees be reviewed biennially so that fee-funded agencies monitor \n",
       " and adjust their fees in light of actual and projected expenses. Id.\n",
       "     Table 1 sets out the IEFA and biometric services fee schedule that \n",
       " took effect on November 23, 2010. DHS is proposing to change the fee \n",
       " schedule as a result of the 2016/2017 Fee Review. The table excludes \n",
       " statutory fees that DHS cannot adjust.\n",
       " \n",
       "   Table 1--Current Non-Statutory IEFA Immigration Benefit Request Fees\n",
       " ------------------------------------------------------------------------\n",
       "         Form No.\\23\\                     Title                  Fee\n",
       " ------------------------------------------------------------------------\n",
       " G-1041......................  Genealogy Index Search                 $20\n",
       "                                Request.\n",
       " G-1041A.....................  Genealogy Records Request               20\n",
       "                                (Copy from Microfilm).\n",
       " G-1041A.....................  Genealogy Records Request               35\n",
       "                                (Copy from Textual\n",
       "                                Record).\n",
       " I-90........................  Application to Replace                 365\n",
       "                                Permanent Resident Card.\n",
       " I-102.......................  Application for                        330\n",
       "                                Replacement/Initial\n",
       "                                Nonimmigrant Arrival-\n",
       "                                Departure Document.\n",
       " I-129.......................  Petition for a                         325\n",
       "                                Nonimmigrant Worker.\n",
       " I-129F......................  Petition for Alien                     340\n",
       "                                Fianc[eacute](e).\n",
       " I-130.......................  Petition for Alien                     420\n",
       "                                Relative.\n",
       " I-131.......................  Application for Travel                 360\n",
       "                                Document \\24\\.\n",
       " I-140.......................  Immigrant Petition for                 580\n",
       "                                Alien Worker.\n",
       " I-191.......................  Application for Advance                585\n",
       "                                Permission to Return to\n",
       "                                Unrelinquished Domicile.\n",
       " I-192.......................  Application for Advance                585\n",
       "                                Permission to Enter as\n",
       "                                Nonimmigrant.\n",
       " I-193.......................  Application for Waiver of              585\n",
       "                                Passport and/or Visa.\n",
       " I-212.......................  Application for Permission             585\n",
       "                                to Reapply for Admission\n",
       "                                into the U.S. After\n",
       "                                Deportation or Removal.\n",
       " I-290B......................  Notice of Appeal or Motion             630\n",
       " I-360.......................  Petition for Amerasian,                405\n",
       "                                Widow(er), or Special\n",
       "                                Immigrant.\n",
       " I-485.......................  Application to Register                985\n",
       "                                Permanent Residence or\n",
       "                                Adjust Status.\n",
       " I-485.......................  Application to Register                635\n",
       "                                Permanent Residence or\n",
       "                                Adjust Status \\25\\.\n",
       " \n",
       " [[Page 26909]]\n",
       " \n",
       "  \n",
       " I-526.......................  Immigrant Petition by                1,500\n",
       "                                Alien Entrepreneur.\n",
       " I-539.......................  Application to Extend/                 290\n",
       "                                Change Nonimmigrant\n",
       "                                Status.\n",
       " I-600.......................  Petition to Classify                   720\n",
       "                                Orphan as an Immediate\n",
       "                                Relative.\n",
       " I-600A......................  Application for Advance                720\n",
       "                                Processing of Orphan\n",
       "                                Petition.\n",
       " I-601.......................  Application for Waiver of              585\n",
       "                                Ground of Excludability.\n",
       " I-601A......................  Application for                        585\n",
       "                                Provisional Unlawful\n",
       "                                Presence Waiver.\n",
       " I-612.......................  Application for Waiver of              585\n",
       "                                the Foreign Residence\n",
       "                                Requirement (Under\n",
       "                                Section 212(e) of the\n",
       "                                INA, as Amended).\n",
       " I-687.......................  Application for Status as            1,130\n",
       "                                a Temporary Resident\n",
       "                                under Section 245A of the\n",
       "                                Immigration and\n",
       "                                Nationality Act.\n",
       " I-690.......................  Application for Waiver of              200\n",
       "                                Grounds of\n",
       "                                Inadmissibility.\n",
       " I-694.......................  Notice of Appeal of                    755\n",
       "                                Decision under Section\n",
       "                                210 or 245A.\n",
       " I-698.......................  Application to Adjust                1,020\n",
       "                                Status from Temporary to\n",
       "                                Permanent Resident (Under\n",
       "                                Section 245A of Pub. L.\n",
       "                                99-603).\n",
       " I-751.......................  Petition to Remove the                 505\n",
       "                                Conditions of Residence.\n",
       " I-765.......................  Application for Employment             380\n",
       "                                Authorization.\n",
       " I-800.......................  Petition to Classify                   720\n",
       "                                Convention Adoptee as an\n",
       "                                Immediate Relative.\n",
       " I-800A......................  Application for                        720\n",
       "                                Determination of\n",
       "                                Suitability to Adopt a\n",
       "                                Child from a Convention\n",
       "                                Country.\n",
       " I-817.......................  Application for Family                 435\n",
       "                                Unity Benefits.\n",
       " I-824.......................  Application for Action on              405\n",
       "                                an Approved Application\n",
       "                                or Petition.\n",
       " I-829.......................  Petition by Entrepreneur             3,750\n",
       "                                to Remove Conditions.\n",
       " I-910.......................  Application for Civil                  615\n",
       "                                Surgeon Designation.\n",
       " I-924.......................  Application for Regional             6,230\n",
       "                                Center Designation Under\n",
       "                                the Immigrant Investor\n",
       "                                Program \\26\\.\n",
       " I-929.......................  Petition for Qualifying                215\n",
       "                                Family Member of a U-1\n",
       "                                Nonimmigrant.\n",
       " N-300.......................  Application to File                    250\n",
       "                                Declaration of Intention.\n",
       " N-336.......................  Request for Hearing on a               650\n",
       "                                Decision in\n",
       "                                Naturalization\n",
       "                                Proceedings.\n",
       " N-400.......................  Application for                        595\n",
       "                                Naturalization.\n",
       " N-470.......................  Application to Preserve                330\n",
       "                                Residence for\n",
       "                                Naturalization Purposes.\n",
       " N-565.......................  Application for                        345\n",
       "                                Replacement\n",
       "                                Naturalization/\n",
       "                                Citizenship Document.\n",
       " N-600/600K..................  Application for                        600\n",
       "                                Certification of\n",
       "                                Citizenship/Application\n",
       "                                for Citizenship and\n",
       "                                Issuance of Certificate\n",
       "                                under Section 322.\n",
       "                               Immigrant visa DHS                     165\n",
       "                                domestic processing fee\n",
       "                                \\27\\.\n",
       " Biometrics Fee..............  Biometric services........              85\n",
       " ------------------------------------------------------------------------\n",
       " \n",
       " C. USCIS Initiatives Funded Under the 2010 Fee Adjustment\n",
       " \n",
       "     In the FY 2010/2011 fee rule, USCIS committed to a set of goals and \n",
       " performance improvements that were aimed at increasing accountability, \n",
       " providing better customer service, and increasing efficiency. See 75 FR \n",
       " 33457-8. These performance enhancements were:\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\23\\ Form when used in connection with a benefit or other \n",
       " request to be filed with DHS to request an immigration benefit, \n",
       " means a device for the collection of information in a standard \n",
       " format that may be submitted in a paper format or an electronic \n",
       " format as prescribed by USCIS on its official Internet Web site. The \n",
       " term ``Form'' followed by an immigration form number includes an \n",
       " approved electronic equivalent of such form as made available by \n",
       " USCIS on its official Internet Web site. See 8 CFR 1.2 and 299.1. \n",
       " Therefore, the word ``form'' is used in this rule in both the \n",
       " specific and general sense.\n",
       "     \\24\\ As described more fully below, the fees for an Application \n",
       " for Travel Document to request a Refugee Travel Document are guided \n",
       " by the United States' obligations under the 1967 Protocol relating \n",
       " to the Status of Refugees (incorporating by reference Article 28 of \n",
       " the 1951 U.N. Convention relating to the Status of Refugees) and not \n",
       " calculated by the USCIS fee model. 8 CFR 103.7(b)(1)(i)(M)(2) and \n",
       " (3).\n",
       "     \\25\\ This reduced fee is applied to ``an applicant under the age \n",
       " of 14 years when [the application] is (i) submitted concurrently \n",
       " with the Form I-485 of a parent, (ii) the applicant is seeking to \n",
       " adjust status as a derivative of his or her parent, and (iii) the \n",
       " child's application is based on a relationship to the same \n",
       " individual who is the basis for the child's parent's adjustment of \n",
       " status, or under the same legal authority as the parent.'' 8 CFR \n",
       " 103.7(b)(1)(i)(U)(2).\n",
       "     \\26\\ DHS proposes to remove the word ``Pilot'' from the form \n",
       " title.\n",
       "     \\27\\ DHS proposes to change the fee name to ``USCIS Immigrant \n",
       " Fee.'' See proposed 8 CFR 103.7(b)(1)(i)(D).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> Deployment of Transformed Processes and System. USCIS \n",
       " deployed the first release of its new electronic case management \n",
       " system, the Electronic Immigration System (ELIS), in the third quarter \n",
       " of FY 2012. ELIS was subsequently rebuilt using an agile software \n",
       " development methodology and simplified technology architecture. As a \n",
       " result of this effort, USCIS is able to deploy increased electronic \n",
       " processing capability to the system more quickly than the traditional \n",
       " software development approach. USCIS processed approximately 17 percent \n",
       " of agency intake of benefit requests in ELIS in fiscal year 2015. USCIS \n",
       " anticipates that approximately 30 percent of agency intake will be \n",
       " processed through ELIS by the end of fiscal year 2016; additional \n",
       " increased processing through ELIS is likely in fiscal year 2017.\n",
       "     <bullet> Expanding the Use of Systems Qualified Adjudication to a \n",
       " Larger Share of USCIS Workload. The term Systems Qualified Adjudication \n",
       " is now referred to as System Assisted Processing. This is a form of \n",
       " electronic pre-adjudication that improves the efficiency of processing \n",
       " benefit requests and affords immigration service officers more time to \n",
       " focus on complex adjudications. USCIS will continue to expand this \n",
       " approach where it is determined feasible as part of its business \n",
       " transformation initiative.\n",
       "     <bullet> Integration of Productivity Measures in Future Fee Review \n",
       " Methodology. DHS has stated in past fee rules that USCIS would \n",
       " integrate productivity measures into the underlying methodology it uses \n",
       " to conduct fee reviews. See, e.g., 72 FR 29857 (``Future productivity \n",
       " enhancements will produce lower costs per unit that will be reflected \n",
       " in future price adjustments.''). USCIS has done this and plans to \n",
       " continue to identify efficiency gains resulting from information \n",
       " technology investments and process improvements, including the cost \n",
       " savings that occur due to these changes, and ensure that those savings \n",
       " are incorporated into new fee amounts derived from future fee reviews.\n",
       " \n",
       " [[Page 26910]]\n",
       " \n",
       " D. Processing Time Outlook\n",
       " \n",
       "     USCIS acknowledges that since it last adjusted fees in FY 2010, the \n",
       " agency has experienced elevated processing times compared to the goals \n",
       " established in FY 2007. These processing delays have contributed to \n",
       " case processing backlogs. This can partially be attributed to having \n",
       " removed the surcharge previously applied to the IEFA fee schedule to \n",
       " recover costs related to the USCIS Refugee, Asylum, and International \n",
       " Operations Directorate (RAIO), SAVE, and the Office of Citizenship. \n",
       " This was done in anticipation of Congress granting the request for \n",
       " annual discretionary appropriations to fund these programs that was in \n",
       " the President's Budget. Those resources did not fully materialize and \n",
       " since FY 2012 USCIS has used other fee revenue to support these \n",
       " programs. DHS is proposing to adjust fees by a total weighted average \n",
       " increase of 21 percent; the total 21 percent weighted average increase \n",
       " would be allocated as follows:\n",
       "     <bullet> Reinstate a surcharge in the fee schedule to fully fund \n",
       " RAIO, SAVE, and the Office of Citizenship (approximately 8 percent);\n",
       "     <bullet> Account for reduced revenue stemming from an increase in \n",
       " fee waivers granted since FY 2010 (approximately 9 percent); and\n",
       "     <bullet> Recover the costs needed to sustain current operating \n",
       " levels while allowing for limited, strategic investments necessary to \n",
       " ensure the agency's information technology infrastructure is \n",
       " strengthened to protect against potential cyber intrusions, and to \n",
       " build the necessary disaster recovery and back-up capabilities required \n",
       " to effectively deliver the USCIS mission (approximately 4 percent).\n",
       "     Through this rule, USCIS expects to collect sufficient fee revenue \n",
       " to fully support RAIO, SAVE and the Office of Citizenship. This would \n",
       " allow USCIS to discontinue diverting fee revenue to fund these \n",
       " programs, thereby increasing resources to fund the personnel needed to \n",
       " improve case processing, reduce backlogs, and achieve processing times \n",
       " that are in line with the commitments in the FY 2007 Fee Rule, which \n",
       " USCIS is still committed to achieving.\n",
       "     In addition, to make current published processing time information \n",
       " more transparent and easier for customers to interpret, USCIS is \n",
       " evaluating the feasibility of calculating processing times using data \n",
       " generated directly from case management systems, rather than with self-\n",
       " reported performance data provided by Service Centers and Field \n",
       " Offices. Preliminary findings suggest that USCIS will be able to \n",
       " publish processing times sooner and with greater transparency by \n",
       " showing different processing times for each office and form type. USCIS \n",
       " is also considering publishing processing times using a range rather \n",
       " than using one number or date. This approach would show that, for \n",
       " example, half of cases are decided in between X and Y number of months.\n",
       "     USCIS also expects to improve the customer experience as we \n",
       " continue to transition to online filing and electronic processing of \n",
       " immigration applications and petitions. With the new person-centric \n",
       " electronic case processing environment, USCIS will possess the data \n",
       " needed to provide near-real-time processing updates to the customer \n",
       " that will identify the case status and time period lapsed between \n",
       " actions for each individual case. This will allow greater transparency \n",
       " to the public on how long it will take to process each case as it moves \n",
       " from stage to stage (e.g., from biometrics collection, to interview, to \n",
       " decision).\n",
       "     USCIS is committed to giving stakeholders and customers the \n",
       " information they need, when they need it. To that end, it is \n",
       " transforming how it calculates and posts processing time information to \n",
       " improve the timeliness of such postings, but more importantly, to \n",
       " achieve greater transparency of USCIS case processing.\n",
       " \n",
       " V. FY 2016/2017 Immigration Examinations Fee Account Fee Review\n",
       " \n",
       " A. Overall Approach\n",
       " \n",
       "     USCIS manages three fee accounts:\n",
       "     1. The IEFA (which includes premium processing revenues),\\28\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\28\\ INA secs. 286(m), (n) &amp; (u), 8 U.S.C. 1356(m), (n) &amp; (u).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     2. The Fraud Prevention and Detection Account,\\29\\ and\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\29\\ INA secs. 214(c)(12)-(13), 286(v), 8 U.S.C. 1184(c)(12)-\n",
       " (13) 1356(v).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     3. The H-1B Nonimmigrant Petitioner Account.\\30\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\30\\ INA secs. 214(c)(9), (11), 286(s), 8 U.S.C. 1184(c)(9), \n",
       " (11), 1356(s).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The Fraud Prevention and Detection Account and the H-1B \n",
       " Nonimmigrant Petitioner Account are both funded by statutorily set \n",
       " fees. The proceeds of these fees are divided among USCIS to use for \n",
       " fraud detection and prevention activities and for the National Science \n",
       " Foundation and the Department of Labor. DHS has no authority to adjust \n",
       " fees for these accounts.\n",
       "     The IEFA comprised approximately 94 percent of total funding for \n",
       " USCIS in FY 2015 and is the focus of this proposed rule. The FY 2016/\n",
       " 2017 Fee Review encompasses three core elements:\n",
       "     <bullet> Cost Projections--The cost baseline is the estimated level \n",
       " of funding necessary to maintain an adequate level of operations and \n",
       " does not include program increases for new development, modernization, \n",
       " or acquisition. Proposed program increases are considered outside of \n",
       " the baseline. Cost projections for FY 2016/2017 are derived from the \n",
       " USCIS annual operating plan for FY 2015.\n",
       "     <bullet> Revenue Status and Projections--Actual revenue collections \n",
       " for a set 12-month period (June 2013--May 2014) are used to derive \n",
       " projections for the 2-year period of the fee review based on current \n",
       " and anticipated trends.\n",
       "     <bullet> Cost and Revenue Differential--The difference between \n",
       " anticipated costs and revenue, assuming no change in fees, is \n",
       " identified.\n",
       "     The primary objective of this fee review was to ensure that fee \n",
       " revenue provides sufficient funding to meet ongoing operating costs, \n",
       " including national security, customer service, and adjudicative \n",
       " processing needs.\n",
       " \n",
       " B. Basis for Fee Schedule\n",
       " \n",
       "     When conducting the comprehensive fee review, USCIS reviewed its \n",
       " recent cost history, operating environment, and current service levels \n",
       " to determine the appropriate method to assign costs to particular form \n",
       " types. Overall, USCIS kept costs as low as possible and minimized non-\n",
       " critical program changes that would have increased costs.\n",
       " 1. Costs\n",
       "     The cost baseline is comprised of the resources (including both \n",
       " personnel and non-personnel expenses) necessary for each USCIS office \n",
       " to sustain operations. The baseline excludes new or expanded programs \n",
       " and significant policy changes. A detailed annual operating plan is the \n",
       " starting point for baseline estimates.\n",
       "     In developing estimates for program needs in FY 2016/2017, USCIS \n",
       " used the FY 2015 annual operating plan as the starting point and made \n",
       " necessary adjustments, including:\n",
       "     <bullet> Pay inflation ($11.3 million in FY 2016 and $23.1 million \n",
       " in FY 2017). The assumed government-wide pay inflation rate is 1 \n",
       " percent for FY 2016 and 2 percent for FY 2017;\n",
       "     <bullet> Additional staff ($166.7 million in FY 2016 and $171.6 \n",
       " million in FY 2017). Based on the results of the FY 2015 Staffing \n",
       " Allocation Model \\31\\ and\n",
       " \n",
       " [[Page 26911]]\n",
       " \n",
       " enhancement staffing requests submitted by program offices, USCIS \n",
       " projects that an additional 1,171 positions are needed to meet \n",
       " adjudicative processing goals and other USCIS mission objectives.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\31\\ The Staffing Allocation Model is a workforce planning model \n",
       " used to calculate estimates of staffing types and levels necessary \n",
       " to undertake specific workload (e.g., applications and petitions) \n",
       " levels at target processing times.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> Additional resource requirements ($24.9 million in FY 2016 \n",
       " and $16.7 million in FY 2017). These additional resources will sustain \n",
       " current operations to support the USCIS strategic goals.\n",
       "     <bullet> Premium processing costs ($264.3 million in FY 2016 and \n",
       " $266.7 million in FY 2017). In addition to continuing to cover costs \n",
       " associated with the Office of Transformation, USCIS plans to use \n",
       " premium processing fees to pay an annual average of $79.3 million in \n",
       " costs associated with administering premium-processing services and \n",
       " infrastructure improvements in the adjudications and customer services \n",
       " processes.\\32\\ These costs pertain to the Service Center Operations \n",
       " staff adjudicating cases that requested premium processing service, \n",
       " transformation-related expenses (including the Office of Transformation \n",
       " Coordination personnel), and infrastructure investments being made to \n",
       " enhance the adjudication process and customer service.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\32\\ Premium processing fees are a subset of IEFA fees \n",
       " separately designated by Congress. See INA section 286(u), 8 U.S.C. \n",
       " 1186(u).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> FY 2016/2017 total projected costs for the Refugee, \n",
       " Asylum, and International Operations Directorate (RAIO) (including an \n",
       " increase in the refugee admissions ceiling to 100,000 for FY 2017), \n",
       " SAVE,\\33\\ and the Office of Citizenship (including the Citizenship and \n",
       " Integration Grant Program) ($303.1 million). This is an increase of \n",
       " $158 million, or 108 percent, over FY 2010 actual costs of $145.4 \n",
       " million. The costs for these programs were removed from the FY 2010/\n",
       " 2011 model used to calculate the USCIS fee schedule in the 2010 Fee \n",
       " Rule, consistent with FY 2010 appropriations and consistent with the \n",
       " Administration's FY 2011 budget request. That budget request was not \n",
       " fulfilled, and USCIS was left to pay the costs of these programs after \n",
       " having removed the surcharge. See 75 FR 58963.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\33\\ SAVE is partially funded by reimbursable revenue from \n",
       " Federal, state, and local governments. The proposed fees only fund \n",
       " the remaining SAVE costs that are not funded by reimbursable \n",
       " revenue.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Table 2 summarizes adjustments to the FY 2015 cost baseline to \n",
       " reach the FY 2016 and FY 2017 cost baselines. After accounting for \n",
       " reductions, additional staff, and additional resource requirements, FY \n",
       " 2016 costs are 5 percent higher than the FY 2015 adjusted IEFA budget. \n",
       " FY 2017 costs are 2 percent higher than FY 2016 costs.\n",
       " \n",
       "                       Table 2--Baseline Adjustments\n",
       "                          [Dollars in thousands]\n",
       " ------------------------------------------------------------------------\n",
       "  \n",
       " ------------------------------------------------------------------------\n",
       " Total FY 2015 Adjusted IEFA Budget.........................   $2,863,889\n",
       " Plus: Pay Inflation and Promotions/Within Grade Increases..      130,092\n",
       " Plus: Net Additional Costs.................................      137,381\n",
       " Less: Spending Adjustments.................................     -122,338\n",
       " Total FY 2016 Adjusted IEFA Budget.........................   $3,009,024\n",
       " Plus: Pay Inflation and Promotions/Within Grade Increases..       38,072\n",
       " Plus: Net Additional Costs.................................       19,452\n",
       " Total FY 2017 Adjusted IEFA Budget.........................   $3,066,548\n",
       " ------------------------------------------------------------------------\n",
       " \n",
       "     The projected annual budget for the FY 2016/2017 biennial fee \n",
       " review period is $3.038 billion. This is a $767 million, or 34 percent, \n",
       " increase over the FY 2010/2011 adjusted annual budget of $2.271 \n",
       " billion. The main drivers of this increase are described in detail \n",
       " throughout this rule and the supporting documentation.\n",
       " 2. Revenue\n",
       "     The FY 2016/2017 Fee Review assumes that baseline revenue under the \n",
       " current fee schedule will increase from the FY 2010/2011 Fee Rule \n",
       " projection of $2.056 billion to $2.478 billion, an increase of \n",
       " approximately 9 percent. This results from a fee-paying volume increase \n",
       " of 13 percent despite a workload volume increase of 23 percent. See 75 \n",
       " FR 33456. Table 3 summarizes the projected cost differential.\n",
       " \n",
       "                                Table 3--IEFA Cost Baseline and Revenue Comparison\n",
       "                                              [Dollars in thousands]\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                                                                    FY 2016/2017\n",
       "                            Fiscal year                                FY 2016         FY 2017         Average\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Non-Premium Revenue.............................................      $2,507,683      $2,448,596      $2,478,139\n",
       " IEFA Cost Baseline..............................................      $3,009,024      $3,066,548      $3,037,786\n",
       " Difference......................................................      ($501,341)      ($617,952)      ($559,647)\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       "     Historically, and for the purpose of the fee review, USCIS has \n",
       " reported costs and revenue using an average over the biennial time \n",
       " period. In Table 3, FY 2016 and 2017 costs and revenue are averaged to \n",
       " determine the projected Fee Rule amounts. Based on current immigration \n",
       " benefit and biometric services fees and projected volumes, fees are \n",
       " expected to generate $2.478 billion in average annual revenue in FY \n",
       " 2016 and FY 2017. For the same period, the average cost of processing \n",
       " those benefit requests is $3.038 billion. This calculation results in \n",
       " an average annual deficit of $560 million.\n",
       " 3. No Discretionary Appropriations for RAIO, SAVE, Office of \n",
       " Citizenship, or Military Naturalization Costs\n",
       "     The current fee schedule is inadequate partly because it was \n",
       " established assuming that funds requested in the President's FY 2010 \n",
       " and FY 2011 budgets would be appropriated from Congress, yet those \n",
       " requests were not fulfilled. The FY 2010 and FY 2011 budgets requested \n",
       " $55 million and $259 million, respectively, to enable USCIS to remove \n",
       " the surcharge associated with refugee and asylum workload and military \n",
       " naturalization processing from immigration benefit request fees and to \n",
       " fund the cost of the SAVE program and the Office of Citizenship.\\34\\ \n",
       " Before 2010, the USCIS fee schedule included a surcharge that could be \n",
       " used to recover the cost of adjudicating asylum, refugee, and military \n",
       " naturalization requests. See 72 FR 29867. The 2010 Fee Rule removed \n",
       " those costs and the surcharge from the fee structure. See 75 FR 58961, \n",
       " 58966. Congress, in its FY 2011\n",
       " \n",
       " [[Page 26912]]\n",
       " \n",
       " continuing resolution, provided USCIS with only $29.95 million \\35\\ of \n",
       " the requested $259 million to fund the refugee and asylum processing \n",
       " administered under the RAIO Directorate and military naturalization \n",
       " processing. See Public Law 112-10, sec. 1639 (Apr. 15, 2011). USCIS has \n",
       " not received any substantial appropriations for these programs since FY \n",
       " 2011. Similarly, USCIS received no FY 2016 discretionary appropriations \n",
       " for the SAVE program or for the Office of Citizenship. See DHS \n",
       " Appropriations Act 2016, Public Law 114-113, div. F. (Dec. 18, \n",
       " 2015).\\36\\ To avoid ongoing funding shortfalls for these programs, \n",
       " USCIS assumes in its fee model that no appropriations will be received \n",
       " for workload related to RAIO, SAVE, or Office of Citizenship operations \n",
       " and related expense items for the FY 2016/2017 biennial period.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\34\\ See Office of Management and Budget, Budget of the United \n",
       " States Government, Fiscal Year 2010, at 510-1 (2009), available at \n",
       " <a href=\"http://www.gpo.gov/fdsys/pkg/BUDGET-2010-SUMMARY/pdf/BUDGET-2010-SUMMARY.pdf\">http://www.gpo.gov/fdsys/pkg/BUDGET-2010-SUMMARY/pdf/BUDGET-2010-SUMMARY.pdf</a>.\n",
       "     \\35\\ USCIS received $29.95 million and also reprogrammed $25 \n",
       " million from the prior year bringing the total spending authority to \n",
       " $54.95 million.\n",
       "     \\36\\ USCIS did not receive appropriations for refugee and asylum \n",
       " processing or SAVE after FY 2011. USCIS received $2.5 million for \n",
       " the immigrant integration grants program in FY 2014 (Pub. L. 113-76) \n",
       " and FY 2013 (Pub. L. 113-6). USCIS did not receive appropriations \n",
       " for the immigrant integration grants program in FY 2015 or FY 2016.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Therefore, DHS proposes to fund the USCIS costs for RAIO, SAVE, and \n",
       " the Office of Citizenship through IEFA fee collections received from \n",
       " other fee-paying individuals seeking immigration benefits. DHS proposes \n",
       " to set the fees at a level sufficient to recover full costs.\n",
       "     USCIS is, however, requesting reimbursement from DOD for costs \n",
       " related to military naturalizations. DOD has reimbursed USCIS for the \n",
       " cost of naturalization processing for eligible military service members \n",
       " since FY 2012. See 10 U.S.C. 1790 (providing that the Secretary of \n",
       " Defense may reimburse the Secretary of Homeland Security (Secretary) \n",
       " for actual costs incurred by USCIS for processing applications for \n",
       " naturalization, not to exceed $7,500,000 per fiscal year). The fee \n",
       " model presumes these reimbursements will continue in FY 2016/2017 and \n",
       " therefore does not seek to recover these costs through IEFA fee \n",
       " collections.\n",
       " 4. New Fee for Annual Certification of Regional Center, Form I-924A\n",
       "     DHS proposes to establish a new fee in this rule for Annual \n",
       " Certification of Regional Center, Form I-924A, to recover the full cost \n",
       " of processing this EB-5 benefit type. See proposed 8 CFR \n",
       " 103.7(b)(1)(i)(WW). Form I-924A is used by regional centers to \n",
       " demonstrate continued eligibility for their designation. See 8 CFR \n",
       " 204.6(m)(6). Regional centers must submit the form to USCIS annually or \n",
       " upon request. Id. Upon failure to file Form I-924A or to demonstrate \n",
       " continued promotion of economic growth, USCIS will issue a Notice of \n",
       " Intent to Terminate. Id. If the regional center fails to overcome the \n",
       " grounds alleged in the Notice of Intent to Terminate, USCIS will \n",
       " terminate the designation of the regional center. Id. The form helps \n",
       " USCIS ensure that regional centers are continuing to promote economic \n",
       " growth and are otherwise in compliance with all applicable program \n",
       " requirements. Further, the form assists investors seeking to invest in \n",
       " a regional center, as it provides the regional center and USCIS with a \n",
       " process for recording data regarding the regional center's activities \n",
       " and job creation that can be shared with potential investors on a case-\n",
       " by-case basis.\\37\\ Although approved regional centers are required to \n",
       " file the Form I-924A annually, there is currently no filing fee and the \n",
       " processing cost is borne by other individuals paying fees for \n",
       " immigration benefits.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\37\\ USCIS will provide the information to prospective investors \n",
       " in response to written requests for government records through the \n",
       " Freedom of Information Act, consistent with applicable laws and \n",
       " policies regarding the disclosure of information.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     USCIS is proposing to establish a fee for the Form I-924A because \n",
       " USCIS incurs significant costs to review the Form I-924A and to \n",
       " administer the regional center program. In addition, the regional \n",
       " center program is continuing to grow rapidly.\\38\\ With approximately \n",
       " 800 currently approved regional centers, USCIS must expend adjudicative \n",
       " resources to handle Form I-924A filings for which no fee is currently \n",
       " collected. Regional centers are often complex partnerships, limited \n",
       " liability companies, or other business entities involved in multiple \n",
       " commercial enterprises that may overlap or intertwine. These complex \n",
       " relationships must be described on the Form I-924A and the filing must \n",
       " be reviewed by USCIS to determine if the regional center continues to \n",
       " comply with program requirements. 8 CFR 204.6(m)(6) (requiring a \n",
       " regional center to provide USCIS with updated information to \n",
       " demonstrate the regional center is continuing to promote economic \n",
       " growth, including improved regional productivity, job creation, and \n",
       " increased domestic capital investment in the approved geographic area). \n",
       " In addition, USCIS conducts site visits to some regional centers to \n",
       " verify the information provided in connection with its original \n",
       " application. USCIS also conducts onsite audits of a select number of \n",
       " regional centers each year to validate the information the center has \n",
       " provided and ensure that the objectives of the Immigrant Investor \n",
       " Program are being met. DHS is proposing to establish and collect a fee \n",
       " for Form I-924A to recoup the costs of carrying out these activities.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\38\\ There were 340 designated regional centers required to file \n",
       " Form I-924A at the end of FY 2013, and 580 such centers at the end \n",
       " of FY 2014, representing a 70 percent increase in 1 year.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS proposes to establish the fee for the Form I-924A at $3,035. \n",
       " Proposed 8 CFR 103.7(b)(1)(i)(WW)(1). USCIS calculated this fee using \n",
       " the same ABC model used to calculate the other fees that DHS proposes \n",
       " in this rule. As with other proposed fees, projected adjudication hours \n",
       " determine part of the fee.\n",
       "     In addition to establishing the fee, DHS is clarifying the related \n",
       " regulations that provide for the annual regional center review related \n",
       " to the Form I-924A. In addition, a change is proposed to accommodate \n",
       " regional centers that seek to withdraw their designation. Proposed 8 \n",
       " CFR 204.6(m)(6)(vi). USCIS has received requests recently from regional \n",
       " centers seeking to withdraw their designation and discontinue their \n",
       " participation in the program. We currently have no procedure for this \n",
       " request and instead must proceed with the formal termination process of \n",
       " issuing a Notice of Intent to Terminate followed by a termination \n",
       " notice. Providing a withdrawal procedure will simplify the ability to \n",
       " terminate a regional center when the entity seeks to withdraw its \n",
       " designation. In conjunction with the fee, DHS wants to ensure that the \n",
       " requirements for continued participation for regional centers and the \n",
       " procedures to follow to meet the requirements are clear. Proposed 8 CFR \n",
       " 204.6(m)(6).\n",
       " 5. Summary\n",
       "     USCIS' projected FY 2016/2017 total operating costs are expected to \n",
       " exceed projected total revenue; this differential would be addressed \n",
       " with increased revenue. Under this proposed rule, increased revenue \n",
       " would be derived from a weighted average fee increase on existing \n",
       " immigration benefits and a new fee for Annual Certification of Regional \n",
       " Center, Form I-924A. The level of fee increase necessary to align costs \n",
       " and revenue is a weighted average of 21 percent. As noted earlier in \n",
       " this preamble, of the 21 percent weighted average increase, \n",
       " approximately four percent is directly attributable to cost increases \n",
       " for services included in the FY 2010/2011 Fee Rule. The remaining 17\n",
       " \n",
       " [[Page 26913]]\n",
       " \n",
       " percent is attributable to services that the FY 2010/2011 Fee Rule did \n",
       " not take into consideration, either because DHS assumed that these \n",
       " services would be funded through appropriations, or because the \n",
       " incidence of fee waivers has increased following the publication of the \n",
       " FY 2010/2011 Fee Rule.\n",
       " \n",
       " VI. Fee Review Methodology\n",
       " \n",
       "     When conducting a fee review, USCIS reviews its recent cost \n",
       " history, operating environment, and current service levels to determine \n",
       " the appropriate method to assign costs to particular benefit requests. \n",
       " The methodology used in the review reflects a robust capability to \n",
       " calculate, analyze, and project costs and revenues.\n",
       "     USCIS uses commercially available ABC software to create financial \n",
       " models to calculate the costs for processing immigration benefit \n",
       " requests, including the costs for biometric services. Following the FY \n",
       " 2010/2011 Fee Rule, USCIS identified several key methodology changes to \n",
       " improve the accuracy of its ABC model, as discussed in the \n",
       " ``Methodology for the 2016/2017 Fee Review'' section in the Supporting \n",
       " Documentation. USCIS continues to update the ABC model with the most \n",
       " current information for fee review and cost management purposes.\n",
       " \n",
       " A. Background\n",
       " \n",
       "     ABC is a business management tool that assigns resource costs to \n",
       " operational activities and then to products and services. These \n",
       " assignments provide an accurate cost assessment of each work stream \n",
       " involved in producing the individual outputs of an agency or \n",
       " organization. The Federal Accounting Standards Advisory Board (FASAB) \n",
       " notes that ABC helps improve product costing by avoiding arbitrary \n",
       " indirect cost allocation and enables USCIS to conform to Managerial \n",
       " Cost Accounting Concepts and Standards for the Federal Government.\\39\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\39\\ See Federal Accounting Standards Advisory Board Handbook, \n",
       " Version 14 (06/15), SFFAS 4, No. 152.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 1. ABC Methodology\n",
       "     DHS has included FY 2016/2017 Fee Review Supporting Documentation, \n",
       " including a detailed report on how it calculated the fee schedule \n",
       " proposed in the docket for this rulemaking. Comments are welcome on the \n",
       " supporting documentation and all aspects of this proposal. A summary of \n",
       " the fee study, calculations, methodology and conclusions follows.\n",
       " a. Resources\n",
       "     Resources equal the projected FY 2016/2017 annual cost baseline of \n",
       " $3.0 billion. USCIS designed the ABC model structure for FY 2016/2017 \n",
       " to resemble the structure of the FY 2015 annual operating plan. That \n",
       " plan is the detailed budget execution plan USCIS establishes at the \n",
       " beginning of the fiscal year consistent with the approved fiscal year \n",
       " spending authority and forecasted fee revenue.\n",
       " b. Resource Drivers and Resource Assignment\n",
       "     ABC uses resource drivers to assign resources to activities. (See \n",
       " Section VI.A.1.c. of this preamble for more information.) All resource \n",
       " costs are assigned to activities, so the total resources in the model \n",
       " equal the total cost of activities.\n",
       "     A common resource driver in ABC is the number of employees in an \n",
       " organization and the percentage of time they spend performing various \n",
       " activities. The FY 2016/2017 ABC model uses employee counts and \n",
       " activity information to assign resources to activities. USCIS refers to \n",
       " this process as the payroll title analysis. The payroll title analysis \n",
       " determines how employees contribute to the eleven activities in the fee \n",
       " review. When an office engages in more than one activity, USCIS uses \n",
       " operational information to prorate that office's time to multiple \n",
       " activities. Historical activity information is applied to projected \n",
       " staffing levels in FY 2016/2017. The ABC model assigns resources to \n",
       " activities using anticipated staffing levels and historical activity \n",
       " information from the payroll title analysis for each office.\n",
       "     USCIS assigns some costs directly to activities. For example, the \n",
       " contract awarded to support USCIS Application Support Center operations \n",
       " only pertains to the ``Perform Biometric Services'' activity. \n",
       " Therefore, the costs of this contract are assigned directly to this \n",
       " activity. Other overhead costs, including costs for the Office of \n",
       " Information Technology, service-level agreements, and USCIS \n",
       " contributions to the DHS working capital fund are prorated to each \n",
       " office based on the number of authorized positions in those offices, so \n",
       " that each office pays a proportionate share.\n",
       "     The allocation methods in the FY 2016/2017 review are in line with \n",
       " FASAB's Standard 4 on managerial cost accounting concepts. This \n",
       " fulfills the guideline for agencies to directly trace costs when \n",
       " feasible and to either assign costs on a cause-and-effect basis or \n",
       " allocate them in a reasonable and consistent way. Statement of Federal \n",
       " Financial Accounting Standards (SFFAS) 4, No. 126.\n",
       " c. Activities\n",
       "     In ABC, activities are the critical link between resources and cost \n",
       " objects. Activities represent work performed by an organization. USCIS \n",
       " allocates projected FY 2016/2017 operating costs (resources) to the \n",
       " following eleven activities:\n",
       "     <bullet> Inform the Public involves receiving and responding to \n",
       " customer inquiries through telephone calls, written correspondence, and \n",
       " walk-in inquiries. It also involves public engagement and stakeholder \n",
       " outreach activities.\n",
       "     <bullet> Perform Biometric Services involves the management of \n",
       " electronic biometric information, background checks performed by the \n",
       " Federal Bureau of Investigation (FBI), and the collection, use, and \n",
       " reuse of collected biometric information to verify the identity of \n",
       " individuals seeking immigration benefits.\n",
       "     <bullet> Intake involves mailroom operations, data entry and \n",
       " collection, file assembly, fee receipting, adjudication of fee waiver \n",
       " requests, and file room operations.\n",
       "     <bullet> Conduct TECS \\40\\ Check involves the process of comparing \n",
       " information on applicants, petitioners, requestors, beneficiaries, \n",
       " derivatives, and household members who apply for an immigration benefit \n",
       " against various Federal Government lookup systems.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\40\\ In previous reviews, USCIS called the ``Conduct TECS \n",
       " Check'' activity by different names, such as ``Conduct Interagency \n",
       " Border Inspection System Checks (IBIS)'' or ``Conduct Treasury \n",
       " Enforcement Communication System (TECS) Check.'' The system has \n",
       " changed names, and now ``TECS'' is the actual system name and is no \n",
       " longer an acronym.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> Records Management involves searching for and requesting \n",
       " files; creating temporary and/or permanent individual files; \n",
       " consolidating files; appending evidence submitted by applicants, \n",
       " petitioners, and requestors to existing immigration files; retrieving, \n",
       " storing, and moving files upon request; auditing and updating systems \n",
       " that track the location of files; and archiving inactive files.\n",
       "     <bullet> Make Determination involves adjudicating immigration \n",
       " benefit requests; making and recording adjudicative decisions; \n",
       " requesting and reviewing additional evidence; interviewing applicants, \n",
       " petitioners, or requestors; consulting with supervisors or legal \n",
       " counsel; and researching applicable laws and decisions on non-routine \n",
       " adjudications.\n",
       " \n",
       " [[Page 26914]]\n",
       " \n",
       "     <bullet> Fraud Detection and Prevention involves activities \n",
       " performed by the Fraud Detection and National Security Directorate in \n",
       " detecting, combating, and deterring immigration benefit fraud and \n",
       " addressing national security and intelligence concerns.\n",
       "     <bullet> Issue Document involves producing and distributing secure \n",
       " cards that identify the holder as a foreign national and also \n",
       " identifies his or her immigration status and/or employment \n",
       " authorization.\n",
       "     <bullet> Management and Oversight involves activities in all \n",
       " offices that provide broad, high-level operational support and \n",
       " leadership necessary to deliver on the USCIS mission and achieve its \n",
       " strategic goals.\n",
       "     Since the 2010 Fee Rule, USCIS added two activities to the fee \n",
       " review.\n",
       "     <bullet> Direct Costs directly support a specific immigration \n",
       " benefit type. For instance, USCIS applies costs specific to \n",
       " naturalization, including conducting naturalization ceremonies and \n",
       " naturalization benefit requests.\n",
       "     <bullet> Systematic Alien Verification for Entitlements (SAVE) \n",
       " represents the cost of this program.\\41\\ SAVE is an intergovernmental \n",
       " information-sharing program that helps Federal, state, and local \n",
       " benefit-issuing agencies, institutions, and licensing agencies (such as \n",
       " an individual state's department of motor vehicles) determine the \n",
       " immigration status of benefit applicants to help these agencies ensure \n",
       " that only those entitled to benefits or licenses receive them. Through \n",
       " the SAVE program, USCIS enters into reimbursable agreements with \n",
       " Federal, state, and local government agencies under the authority of \n",
       " the Economy Act and the Intergovernmental Cooperation Act of 1968 for \n",
       " those costs that can be directly assigned to SAVE. See generally 31 \n",
       " U.S.C. 1535; 31 U.S.C. 6501-6508, Public Law 97-258. These reimbursable \n",
       " agreements recover only a portion of the total program cost. \n",
       " Previously, USCIS treated SAVE as an overhead cost and did not consider \n",
       " the amounts recovered in the reimbursable agreements in calculating the \n",
       " costs of SAVE to be recovered by USCIS fees. USCIS has improved its \n",
       " model by distinguishing SAVE from other overheads. This may enable \n",
       " USCIS to examine SAVE reimbursable fees paid by federal, state and \n",
       " local governments in the future.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\41\\ USCIS is required to offer an automated or other system to \n",
       " verify the immigration status of applicants. Certain agencies \n",
       " determining eligibility for a number of specified Federal public \n",
       " benefits are required to use an automated or other such system to \n",
       " verify the immigration status of applicants. 42 U.S.C. 1320b-7. The \n",
       " automated verification system is entitled the Systematic Alien \n",
       " Verification for Entitlements (SAVE) program. INS and USCIS have \n",
       " refined and operated the SAVE program on a large scale for over 16 \n",
       " years.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " d. Activity Drivers and Activity Assignment\n",
       "     The fourth stage in the ABC process assigns activity costs to \n",
       " specific immigration benefit requests (cost objects) using activity \n",
       " drivers. For most activities, USCIS assigns activity costs to cost \n",
       " objects based on the percentage of total projected volume because, for \n",
       " these activities, similar time and effort are involved for each benefit \n",
       " request. Unique activity drivers are used for two activities: Make \n",
       " Determination and Perform Biometric Services.\n",
       "     USCIS allocates the Make Determination activity across immigration \n",
       " benefit requests by projected adjudication hours. USCIS calculates \n",
       " projected adjudication hours by multiplying projected volumes by \n",
       " completion rates for most benefit types. Completion rates are the \n",
       " average amount of time that employees take to adjudicate immigration \n",
       " benefit requests.\\42\\ Generally, the more time spent adjudicating a \n",
       " request, the more cost that gets assigned, and therefore, the higher \n",
       " the fee. Please see Section VIII: Completion Rates for additional \n",
       " information.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\42\\ Time here means the amount of time a USCIS immigration \n",
       " service officer spends on an adjudication. This is different than \n",
       " cycle time, the amount of time an applicant, petitioner, or \n",
       " requestor spends waiting for an output.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     The Perform Biometric Services activity uses a direct activity \n",
       " driver. All costs associated with this activity are assigned directly \n",
       " to the biometric services fee.\n",
       "     Activity costs are allocated to immigration benefit requests by the \n",
       " locations (service centers, field offices, etc.) that process them. \n",
       " USCIS uses data from the USCIS Performance Reporting Tool that, among \n",
       " other data points, include workload volumes, adjudication hours, and \n",
       " the number of completed requests by field office location and \n",
       " immigration benefit type. The Performance Reporting Tool also captures \n",
       " and records information on biometrics, records management, and customer \n",
       " service. For the FY 2016/2017 Fee Review, USCIS aligned its fee review \n",
       " metrics with the Performance Reporting Tool metrics used in the FY 2015 \n",
       " Staffing Allocation Model to ensure organizational alignment and \n",
       " consistency.\n",
       " e. Cost Objects\n",
       "     Cost objects are the immigration benefit requests that USCIS \n",
       " processes. USCIS calculates a separate fee for biometric services. The \n",
       " costs for the biometric services fee are derived from the costs of the \n",
       " Perform Biometric Services activity and a small amount of direct \n",
       " costs.\\43\\ USCIS determines costs for most immigration benefit \n",
       " requests, including those for asylum and refugee protection. The IEFA \n",
       " costs of immigration benefit requests for which no revenue is recovered \n",
       " are redistributed to other benefit requests in a prorated manner.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\43\\ For a quick reference of the immigration benefits that \n",
       " currently require biometric services with the initial submission, \n",
       " see Form G-1055, Fee Schedule, at <a href=\"http://www.uscis.gov/sites/default/files/files/form/g-1055.pdf\">http://www.uscis.gov/sites/default/files/files/form/g-1055.pdf</a>.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " f. Exclusion of Temporary or Uncertain Costs Items and Programs\n",
       "     USCIS excludes from the fee calculation model the costs and revenue \n",
       " associated with programs that are temporary by definition or where the \n",
       " program may diminish or cease to exist because the program is \n",
       " predicated on guidance only (and not preserved in regulations or \n",
       " statute). This exclusion applies to: The Application for TPS, Form I-\n",
       " 821, proposed 8 CFR 103.7(b)(1)(i)(NN); Consideration of Deferred \n",
       " Action for Childhood Arrivals, (DACA), Form I-821D; and Application for \n",
       " Suspension of Deportation or Special Rule Cancellation of Removal \n",
       " (Pursuant to Section 203 of Pub. L. 105-100) (Nicaraguan Adjustment and \n",
       " Central American Relief Act (NACARA)), Form I-881, proposed 8 CFR \n",
       " 103.7(b)(1)(i)(QQ). These programs are excluded from the FY 2016/2017 \n",
       " Fee Rule Supporting Documentation and this rule.\\44\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\44\\ For the purposes of this rule, DHS is including all \n",
       " requests funded from the IEFA in the term ``benefit request'' or \n",
       " ``immigration benefit request'' although the form or request may not \n",
       " be to request a benefit. For example, DACA is solely an exercise of \n",
       " prosecutorial discretion by DHS and not an immigration benefit, but \n",
       " would fit under the definition of ``benefit request'' solely for \n",
       " purposes of this rule. For historic receipts and completion \n",
       " information, see USCIS immigration and citizenship data available at \n",
       " <a href=\"https://www.uscis.gov/tools/reports-studies/immigration-forms-data\">https://www.uscis.gov/tools/reports-studies/immigration-forms-data</a>.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS excludes projected revenue from expiring or temporary programs \n",
       " in setting the fees required to support baseline operations due to the \n",
       " uncertainty associated with such programs. For example, the Secretary \n",
       " may designate a foreign country for TPS due to conditions in the \n",
       " country that temporarily prevent the country's nationals from returning \n",
       " safely, or in certain circumstances, where the country is unable to \n",
       " handle the return of its nationals adequately. TPS, however, is a \n",
       " temporary benefit, and\n",
       " \n",
       " [[Page 26915]]\n",
       " \n",
       " TPS designations may be terminated.\\45\\ INA section 244(b)(3)(B), 8 \n",
       " U.S.C. 1254a(b)(3)(B). Likewise, DACA allows certain individuals who \n",
       " meet specific guidelines to request consideration of deferred action \n",
       " from USCIS to not be placed into removal proceedings or removed from \n",
       " the United States for a specified period unless terminated.\\46\\ The \n",
       " DACA policy is an administrative exercise of prosecutorial discretion \n",
       " and it is implemented at the discretion of the agency. For NACARA, the \n",
       " eligible population will eventually be exhausted due to relevant \n",
       " eligibility requirements, including the date by which an applicant was \n",
       " required to have entered the United States. USCIS analyzes the distinct \n",
       " costs associated with processing these benefit types and excludes these \n",
       " costs from the ABC model. All fee revenue deposited into the IEFA is \n",
       " pooled and collectively used to finance USCIS operations. USCIS also \n",
       " responds to surges in customer demand for services by realigning \n",
       " resources to cover the cost of processing. Consequently, USCIS is \n",
       " capable of funding these programs even though their costs are not \n",
       " included in the fee model.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\45\\ Even though some TPS designations have been in place for a \n",
       " number of years, the Secretary could terminate them if the Secretary \n",
       " determines that the designation criteria are no longer met.\n",
       "     \\46\\ See USCIS, Consideration of Deferred Action for Childhood \n",
       " Arrivals (DACA), <a href=\"https://www.uscis.gov/humanitarian/consideration-deferred-action-childhood-arrivals-daca\">https://www.uscis.gov/humanitarian/consideration-deferred-action-childhood-arrivals-daca</a>.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS excludes the costs and revenue associated with these programs \n",
       " because program eligibility is subject to the discretion of the \n",
       " Department. Given this discretion, USCIS has excluded the cost and \n",
       " workload of these programs from the fee review and does not propose to \n",
       " allocate overhead and other fixed costs to these workload volumes. This \n",
       " mitigates an unnecessary revenue risk, i.e., that USCIS will not have \n",
       " enough revenue to recover full cost if the eligible populations \n",
       " diminish or cease to exist. As in prior fee reviews, USCIS has excluded \n",
       " both the cost and revenue associated with these programs from the fee \n",
       " review. By excluding programs that are temporary by definition, for \n",
       " which the population may diminish or cease to exist, DHS maintains the \n",
       " integrity of the ABC model, better ensures recovery of full costs, and \n",
       " mitigates revenue risk from unreliable sources.\n",
       " 2. Continuing Low Volume Reallocation From FY 2010/2011 Fee Rule\n",
       "     DHS uses its fee setting discretion to adjust certain immigration \n",
       " request fees that would be overly burdensome on applicants, \n",
       " petitioners, and requestors if set at recommended ABC model levels. \n",
       " Historically, as a matter of policy, DHS has chosen to limit USCIS fee \n",
       " adjustments for certain benefit requests to the weighted average fee \n",
       " increase represented by the model output costs for fee-paying benefit \n",
       " types. See 75 FR 33461.\\47\\ Any additional costs from these benefit \n",
       " request types beyond this calculated weighted average increase figure \n",
       " would be reallocated to other benefit types. In addition, as noted \n",
       " above, fees for the other benefit types would also be calculated to \n",
       " cover costs that are not directly supported by fees. This process is \n",
       " known as ``Low Volume Reallocation.''\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\47\\ This same methodology was used in the FY 2008/2009 Fee \n",
       " Rule. 72 FR 4910.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In the fee review for this proposed rule, the model output costs \n",
       " identified a weighted average 8 percent cost increase across all fee-\n",
       " paying benefit types. Accordingly, consistent with prior practice, DHS \n",
       " proposes to limit the fee adjustments for certain benefit types to this \n",
       " 8 percent weighted average increase. These immigration benefit requests \n",
       " do not receive any additional cost reallocation for fee waivers, \n",
       " refugee, asylum or other programs. DHS does not believe that using the \n",
       " calculated 8 percent weighted average increase figure as a basis for \n",
       " fee increases for these benefit types would result in fees for other \n",
       " benefit types that would be overly burdensome to the applicants, \n",
       " petitioners or requestors.\n",
       "     DHS proposes to subject specific benefit types to the 8 percent \n",
       " weighted average increase because the combined effect of cost, fee-\n",
       " paying volume, and methodology changes since the last Fee Rule would \n",
       " otherwise place an inordinate fee burden on individuals requesting \n",
       " these types of benefits. For example, without Low Volume Reallocation, \n",
       " the Petition to Classify Orphan as an Immediate Relative, Form I-600, \n",
       " would have a fee of at least $2,258. DHS believes it would be contrary \n",
       " to the public interest to impose a fee of this amount on an estimated \n",
       " 15,000 potential adoptive parents each year. Similar reasoning led to \n",
       " the other forms chosen to be adjusted using Low Volume Reallocation. \n",
       " For this reason, DHS proposes to subject these benefit types to the \n",
       " calculated 8 percent weighted average increase. In other words, \n",
       " consistent with past USCIS fee rules, DHS is proposing an 8 percent \n",
       " increase for each of these benefit types, based on the calculated 8 \n",
       " percent weighted average increase across all fee-paying benefit types \n",
       " as identified by the model.\n",
       "     DHS recognizes that charging less than the full cost of \n",
       " adjudicating an immigration benefit request requires USCIS to increase \n",
       " fees for other immigration benefit requests to ensure full cost \n",
       " recovery. This complies with INA section 286(m), which permits fees to \n",
       " cover those costs of providing applicants, petitioners, or requestors a \n",
       " service or part of a service ``without charge.''\n",
       "     DHS proposes to apply the Low Volume Reallocation methodology to \n",
       " the following USCIS forms:\n",
       " \n",
       " <bullet> Notice of Appeal or Motion, Form I-290B\n",
       " <bullet> Petition for Amerasian, Widow(er) or Special Immigrant, Form \n",
       " I-360\n",
       " <bullet> Petition to Classify Orphan as an Immediate Relative, Form I-\n",
       " 600\n",
       " <bullet> Application for Advance Processing of an Orphan Petition, Form \n",
       " I-600A\n",
       " <bullet> Petition to Classify Convention Adoptee as an Immediate \n",
       " Relative, Form I-800\n",
       " <bullet> Application for Determination of Suitability to Adopt a Child \n",
       " from a Convention Country, Form I-800A\n",
       " <bullet> Request for Action on Approved Form I-800A, Form I-800A, \n",
       " Supplement 3\n",
       " <bullet> Petition for Qualifying Family Member of a U-1 Nonimmigrant \n",
       " Form I-929\n",
       " <bullet> Application to File Declaration of Intention, Form N-300\n",
       " <bullet> Request for Hearing on a Decision in Naturalization \n",
       " Proceedings, Form N-336\n",
       " <bullet> Application to Preserve Residence for Naturalization Purposes, \n",
       " Form N-470.\n",
       " 3. Applying Cost Reallocation to Other Form Types\n",
       "     As described below, DHS also proposes to limit fee increases for \n",
       " additional benefit types at the calculated 8 percent weighted average \n",
       " increase, even though the potential fee increases for these benefit \n",
       " types would not have imposed the same level of burden on affected \n",
       " requestors as the benefit types described in the preceding section.\n",
       "     First, DHS proposes to increase the Application for Naturalization, \n",
       " Form N-400, fee by the 8 percent weighted average increase described \n",
       " above.\\48\\ As DHS stated in 2010, ``DHS has determined that the act of \n",
       " requesting and obtaining U.S. citizenship deserves special \n",
       " consideration given the unique nature of this benefit to the individual \n",
       " applicant, the significant public benefit to the Nation, and the \n",
       " Nation's proud tradition of welcoming new citizens.'' 75 FR 33461. This \n",
       " rationale still holds\n",
       " \n",
       " [[Page 26916]]\n",
       " \n",
       " true. DHS believes that by limiting the adjustment of the \n",
       " naturalization fee to the 8 percent weighted average increase, it would \n",
       " reinforce these principles by encouraging more immigrants to naturalize \n",
       " and fully participate in civic life. This proposal is also consistent \n",
       " with other DHS efforts to promote citizenship and immigrant \n",
       " integration.\\49\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\48\\ See the 2016/2017 Fee Rule Supporting Documentation in the \n",
       " rulemaking docket for an explanation of how the weighted average is \n",
       " calculated.\n",
       "     \\49\\ As noted later in this preamble, this rule proposes an \n",
       " option for naturalization applicants with family incomes greater \n",
       " than 150% and not more than 200% of the Federal Poverty Guidelines \n",
       " to pay a fee of $320 plus an additional $85 for biometric services, \n",
       " for a total of $405.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS also proposes to limit the adjustment of the fee for \n",
       " Application for Provisional Unlawful Presence Waiver, Form I-601A, and \n",
       " the Application for Employment Authorization, Form I-765. The current \n",
       " Form I-601A fee was not established by the 2010/2011 Fee Rule because \n",
       " it did not exist at that time. USCIS unfortunately has insufficient \n",
       " data on Form I-601A volumes and completion rates with which to use its \n",
       " fee calculation model to identify an appropriate fee with a sufficient \n",
       " level of confidence. Therefore, DHS has decided that proposing a \n",
       " weighted average increase at 8 percent of the current fee amount is \n",
       " appropriate until sufficient data becomes available. DHS will consider \n",
       " setting the fee for Form I-601A at the amount the model calculates if \n",
       " sufficient data are collected before the final rule is published.\n",
       "     DHS also proposes to apply the same 8 percent weighted average \n",
       " increase to the Form I-765 for humanitarian and practical reasons. Many \n",
       " individuals seeking immigration benefits face financial obstacles and \n",
       " cannot earn money through lawful employment in the United States until \n",
       " they receive an Employment Authorization Document (EAD).\n",
       "     Finally, as noted above, in the 2010 fee rule, DHS held fee \n",
       " increases for a number of benefit requests to the weighted average fee \n",
       " increase for all fee-paying immigration benefits. 75 FR 33461. In this \n",
       " rule, DHS proposes to not apply the 8 percent weighted average increase \n",
       " to a subset of those benefit requests, both because DHS has better data \n",
       " upon which to base proposed fees for those benefit requests, and \n",
       " because DHS believes the calculated fee is appropriate. Therefore, DHS \n",
       " no longer believes it is necessary to limit fee increases to the \n",
       " weighted average for the following USCIS forms:\n",
       " \n",
       " <bullet> Application for Waiver of Grounds of Inadmissibility, Form I-\n",
       " 690\n",
       " <bullet> Waiver Forms, Forms I-191, I-192, I-193, I-212, I-601, I-602, \n",
       " I-612. Proposed 8 CFR 103.7(b)(1)(i)(O), (P), (Q), (R), (AA), (BB), \n",
       " (CC) &amp; (EE).\n",
       " \n",
       "     Accordingly, the fees for these USCIS forms are proposed to be set \n",
       " at the level calculated in the ABC model, with adjustments.\n",
       " 4. Reduced Fee for Application for Naturalization\n",
       "     DHS proposes to establish a three-level fee for the Application for \n",
       " Naturalization, Form N-400. See 8 CFR 103.7(b)(1)(i)(AAA). First, as \n",
       " explained earlier in this preamble, DHS is proposing a fee for Form N-\n",
       " 400 of $640, plus $85 for biometrics, for a total of $725. Id. Second, \n",
       " no fee is charged to an applicant who meets the requirements of \n",
       " sections 328 or 329 of the Act with respect to military service, or to \n",
       " an applicant who applies for and receives a full fee waiver. Id. at \n",
       " 103.7(b)(1)(i)(AAA)(2)-(c)(2).\\50\\ Third, DHS proposes to permit \n",
       " naturalization applicants with household incomes greater than 150 \n",
       " percent and not more than 200 percent of the Federal Poverty Guidelines \n",
       " \\51\\ to pay a fee of $320 plus an additional $85 for biometrics, for a \n",
       " total of $405. DHS has created a proposed new form, USCIS Form I-942, \n",
       " Request for Reduced Fee, that would be filed with the N-400. The form \n",
       " would provide a convenient guide for applicants to demonstrate that \n",
       " their income meets the level required to pay the reduced fee. The \n",
       " Paperwork Reduction Act section of this preamble provides information \n",
       " on how to comment on the proposed form.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\50\\ As described elsewhere in this preamble, an applicant with \n",
       " a household income at or below 150 percent of the Federal Poverty \n",
       " Guidelines qualifies for a waiver of their entire fee under current \n",
       " USCIS policy.\n",
       "     \\51\\ The guidelines are issued each year by the Department of \n",
       " Health and Human Services and updated periodically in the Federal \n",
       " Register under 42 U.S.C. 9902(2). The poverty guidelines are used as \n",
       " an eligibility criterion for a number of Federal programs. For \n",
       " further information on how the guidelines are used or how income is \n",
       " defined, see ``Annual Update of the HHS Poverty Guidelines'' at 81 \n",
       " FR 4036 (Jan. 25, 2016).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS proposes the new reduced fee option to limit potential economic \n",
       " disincentives some eligible applicants may face when deciding whether \n",
       " or not to apply for naturalization. The proposed reduced fee option for \n",
       " low-income applicants supports the Administration's immigration \n",
       " integration policies \\52\\ and the USCIS mission to support aspiring \n",
       " citizens. Nevertheless, USCIS is funded mainly from fees and we must \n",
       " collect a fee to recover at least some of the costs associated with \n",
       " naturalization. DHS believes the reduced fee would help ensure that \n",
       " those immigrants whose goal it is to apply for naturalization are not \n",
       " unnecessarily limited by their economic means. DHS realizes that other \n",
       " fee payers would be required to bear the cost of the reduced fee, but \n",
       " believes the importance of naturalization justifies this slight shift \n",
       " of burden.\\53\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\52\\ See The White House Task Force on New Americans, \n",
       " Strengthening Communities by Welcoming All Residents, at 28-29 \n",
       " (2015), available at <a href=\"https://www.whitehouse.gov/sites/default/files/docs/final_tf_newamericans_report_4-14-15_clean.pdf\">https://www.whitehouse.gov/sites/default/files/docs/final_tf_newamericans_report_4-14-15_clean.pdf</a>.\n",
       "     \\53\\ DHS previously stated that adjusting fee levels based on \n",
       " income would be administratively complex and would require higher \n",
       " costs to administer. See 75 FR 58971. Specifically, in 2010, DHS \n",
       " stated that a tiered fee system would impose an unreasonable cost \n",
       " and administrative burden, because it would require staff dedicated \n",
       " to income verification and necessitate significant information \n",
       " system changes to accommodate multiple fee scenarios. See id. DHS \n",
       " will need to reprogram intake operations for Form N-400 to recognize \n",
       " the new fee and documentation. Staff must be added to review the \n",
       " income documentation provided to determine if the applicant \n",
       " qualifies for the new fee. DHS has determined that the change \n",
       " proposed here, because it applies only to Form N-400 and the act of \n",
       " acquiring citizenship, is of sufficient value from a public policy \n",
       " standpoint to justify USCIS incurring the additional administrative \n",
       " and adjudicative burden.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     USCIS is uncertain exactly how many new N-400 applicants would be \n",
       " eligible and apply for naturalization as a result of the reduced fee. \n",
       " In addition, DHS has no reliable data indicating how demand for filing \n",
       " an N-400 may change due to adjustments in the fee amount. Nonetheless, \n",
       " research on barriers to naturalization indicates a correlation between \n",
       " the N-400 filing fee and the number of applications submitted to USCIS. \n",
       " As the Center for the Study of Immigrant Integration stated:\n",
       " \n",
       "     Some evidence of price sensitivity was shown when USCIS \n",
       " increased the cost to naturalize from $400 to $595 (plus the costs \n",
       " of biometrics) in the middle of 2007: the result was a surge of \n",
       " applications just prior to the fee increase. As a result, there were \n",
       " nearly 1.4 million naturalization applications filed in 2007 but \n",
       " just over 500,000 in 2008.\\54\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\54\\ Manuel Pastor &amp; Justin Scoggins, Center for the Study of \n",
       " Immigrant Integration, Citizen Gain: The Economic Benefits of \n",
       " Naturalization for Immigrants and the Economy 20 (Dec. 2012), \n",
       " available at <a href=\"http://dornsife.usc.edu/assets/sites/731/docs/citizen_gain_web.pdf\">http://dornsife.usc.edu/assets/sites/731/docs/citizen_gain_web.pdf</a>.\n",
       " \n",
       " In addition, USCIS analyzed the 2012 American Community Survey and \n",
       " determined that 10 percent of new citizens who naturalized since 2000 \n",
       " reported incomes between 150 percent and 200 percent of the Federal \n",
       " Poverty Guidelines.\\55\\ Independent university\n",
       " \n",
       " [[Page 26917]]\n",
       " \n",
       " research \\56\\ estimated that about 12 percent of adult lawful permanent \n",
       " residents eligible to naturalize fell within the 150 to 200 percent of \n",
       " the Federal Poverty Guidelines. By averaging the 10 percent and the 12 \n",
       " percent from the two data sources, USCIS estimates 11 percent of \n",
       " average annual Form N-400 filings would be likely to qualify for the \n",
       " lower fee. The average FY 2016/2017 Application for Naturalization \n",
       " volume estimate is 821,500, excluding military naturalizations. USCIS \n",
       " expects that an average of 90,365 filers, 11 percent of the 821,500, \n",
       " would be eligible for the reduced fee of $405 (including the biometrics \n",
       " fee).\\57\\ Assuming that all 90,365 would have paid the full fee of $725 \n",
       " for their Form N-400 and biometrics, this new N-400 fee would result in \n",
       " approximately $28.9 million in foregone fee revenue associated with \n",
       " adjudication of Form N-400. That amount of USCIS operating expenses \n",
       " would be funded using fee revenue from other fee increases proposed in \n",
       " this rule.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\55\\ USCIS analyzed immigrants who reported naturalization since \n",
       " the year 2000. These represent people who recently became U.S. \n",
       " citizens. Approximately 24.7% were eligible for a fee waiver based \n",
       " on current criteria (2.2 million out of 8.9 million) because their \n",
       " household income is below 150% of the federal poverty guidelines. A \n",
       " further 10.3% (923,901 out of 8.9 million) would have been eligible \n",
       " for a partial fee waiver, since their income falls between 150% and \n",
       " 200% of the federal poverty guidelines. Among immigrants who \n",
       " reported naturalizing in 2011 (737,618), 10.4% or 77,003 immigrants \n",
       " would have been eligible for a partial fee waiver.\n",
       "     \\56\\ See Manuel Pastor, University of Southern California, \n",
       " Reducing Barriers to Citizenship: New Research and the Need for a \n",
       " Partial Fee Waiver (Jan. 8, 2015), available at <a href=\"http://newamericanscampaign.org/wp-content/uploads/New-Research-on-Reducing-Barriers-to-Citizenship-1-8-15-Webinar-Powerpoint.pdf\">http://newamericanscampaign.org/wp-content/uploads/New-Research-on-Reducing-Barriers-to-Citizenship-1-8-15-Webinar-Powerpoint.pdf</a>.\n",
       "     \\57\\ This is an estimate of the net impacts. Some who would have \n",
       " filed and paid the full fee would now opt to pay the reduced fee. \n",
       " Others who are eligible to seek a fee reduction based on income \n",
       " level may also qualify for a Federal means tested benefit in their \n",
       " state and thus qualify for a full fee waiver.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 5. Holding the Biometric Services Fee at Its Current Level\n",
       "     DHS proposes to hold the biometric services fee at its current \n",
       " level of $85. Proposed and current 8 CFR 103.7(b)(1)(i)(C). While the \n",
       " model calculated a biometric services fee of $75, DHS believes that the \n",
       " importance of and uncertainty in the biometric services area justifies \n",
       " holding that fee at $85.\n",
       "     DHS has broad statutory authority to collect biometric information \n",
       " when such information is ``necessary,'' or ``material and relevant'' to \n",
       " the administration and enforcement of the INA. See, e.g., INA secs. \n",
       " 103(a), 235(d)(3), 264(a); 8 U.S.C. 1103(a), 1225(d)(3), 1304(a). The \n",
       " collection, use, and reuse of biometric data are integral to identity \n",
       " management, excluding people with criminal backgrounds, minimizing \n",
       " national security concerns, and maintaining program integrity. Over the \n",
       " next few fiscal years the volume of requests for biometrics services, \n",
       " as well as the costs associated with those services, such as fees paid \n",
       " to the FBI for fingerprints and name checks, are uncertain. Therefore, \n",
       " a moderate amount above current full cost recovery calculation is \n",
       " justified to shield USCIS from that uncertainty.\n",
       "     In addition, DHS proposes to use its discretion in setting this fee \n",
       " to hedge against potential rising programmatic costs which USCIS cannot \n",
       " foresee or control. For example, new regulatory or statutory background \n",
       " check requirements may be borne out of increased national security \n",
       " concerns dictated by events or changing circumstances. For the same \n",
       " reasons, DHS is also proposing to clarify regulations pertaining to \n",
       " biometrics and the biometric services fee.\n",
       "     Current regulations provide both general authority for the \n",
       " collection of biometrics in connection with immigration and \n",
       " naturalization benefits as well as requirements specific to certain \n",
       " benefit types.\\58\\ See 8 CFR 103.16(a). A related provision provides \n",
       " that an applicant, petitioner, sponsor, beneficiary, or other \n",
       " individual residing in the United States at the time of filing may be \n",
       " required to appear for fingerprinting. See 8 CFR 103.2(b)(9). The \n",
       " wording of the latter provision has resulted in questions and confusion \n",
       " about DHS authority to require biometrics and the associated biometric \n",
       " services fee beyond a case-by-case basis. While DHS believes its \n",
       " current biometrics and biometrics fee collections are fully authorized, \n",
       " DHS proposes changes to the latter provision to clarify its regulatory \n",
       " authority to require and conduct biometrics-based identity and \n",
       " background checks, and to collect the associated fees. In addition, DHS \n",
       " is clarifying this section with regard to the use of the term \n",
       " biometrics in place of the term fingerprints. DHS has been using the \n",
       " term biometrics for several years in multiple contexts. See, e.g., 72 \n",
       " FR 4906 (Feb. 1, 2007) (discussing the proposed fee for immigration and \n",
       " naturalization benefit application and petition and biometric service \n",
       " processing activities and describing biometrics as fingerprints, \n",
       " photographs, and signatures). The term ``biometrics'' is also used \n",
       " throughout title 8 of the CFR. See, e.g., 8 CFR 103.7(b)(1)(i)(C), \n",
       " 103.16, 103.17, 204.310(a)(3)(ii), 204.312(e)(3)(ii), 209.1(b), \n",
       " 212.7(e)(1)(i), 204.312(e)(3)(ii), 214.2(w)(15), 245.21(b). Therefore, \n",
       " DHS proposes to revise 8 CFR 103.2(b)(9) to clarify that any applicant, \n",
       " petitioner, sponsor, beneficiary, or requestor, or individual filing a \n",
       " request may be required to appear for biometrics collection or for an \n",
       " interview. This requirement may be imposed upon individual notice or as \n",
       " established in the applicable regulations or form instructions. See \n",
       " proposed 8 CFR 103.2(b)(9). DHS is also making conforming edits in 8 \n",
       " CFR 103.16(a) to provide that an individual may be required to submit \n",
       " biometric information by law, regulation, Federal Register notice or \n",
       " the form instructions applicable to the request type or if required in \n",
       " accordance with 8 CFR 103.2(b)(9). See proposed 8 CFR 103.16(a).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\58\\ See, e.g., 8 CFR 103.16(a), 204.2(a)(2) (requiring evidence \n",
       " of the claimed relationship), 204.3(c)(3) (requiring \n",
       " fingerprinting), 204.2(d)(2)(vi) (authorizing blood testing), \n",
       " 245a.2(d) (requiring photographs and a completed fingerprint card), \n",
       " 316.4(a) (requiring three photographs and fingerprinting).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 6. Continuing To Hold Refugee Travel Document Fee to the Department of \n",
       " State Passport Fee\n",
       "     Consistent with U.S. obligations under Article 28 of the 1951 \n",
       " Convention Relating to the Status of Refugees,\\59\\ USCIS proposes to \n",
       " continue to charge a fee for Refugee Travel Documents similar to the \n",
       " charge for a U.S. passport book. See 75 FR at 58972 (discussing Article \n",
       " 28 standards for assessing charges for a Refugee Travel Document). \n",
       " Under this proposal, the fee for an Application for Travel Document, \n",
       " Form I-131, would be $575 for advance parole and any other travel \n",
       " document, as calculated by the fee model. See proposed 8 CFR \n",
       " 103.7(b)(1)(i)(M)(3). However, the current fees for Form I-131 for a \n",
       " Refugee Travel Document would be maintained at $135 for adults and $105 \n",
       " for children under the age of 16 years. These fees are the same as the \n",
       " Department of State (DOS) passport book fees,\\60\\ plus biometrics if \n",
       " the applicant is between 14 and 79 years of age. See proposed 8 CFR \n",
       " 103.7(b)(1)(i)(M)(1)-(2).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\59\\ The United States is party to the 1967 Protocol Relating to \n",
       " the Status of Refugees, Jan. 31, 1967, 19 U.S.T. 6224, 606 U.N.T.S. \n",
       " 267 (1968), which incorporates articles 2 through 34 of the 1951 \n",
       " Convention. The United States is not party to the 1951 Convention. \n",
       " See Sale v. Haitian Ctrs. Council, Inc., 509 U.S. 155, 169 n.19 \n",
       " (1993) (``Although the United States is not a signatory to the \n",
       " Convention itself, in 1968 it acceded to the United Nations Protocol \n",
       " Relating to the Status of Refugees, which bound the parties to \n",
       " comply with Articles 2 through 34 of the Convention as to persons \n",
       " who had become refugees because of events taking place after January \n",
       " 1, 1951.'').\n",
       "     \\60\\ The Refugee Travel Document fees are the same as the sum of \n",
       " the United States passport book application fee plus the additional \n",
       " execution fee that DOS charges for first time applicants.\n",
       " \n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " [[Page 26918]]\n",
       " \n",
       " 7. Holding the Fee for a Petition by Entrepreneur To Remove Conditions \n",
       " (Form I-829) at Its Current Level\n",
       "     DHS proposes to hold the fee for the Petition by Entrepreneur to \n",
       " Remove Conditions, Form I-829, at its current level of $3,750. While \n",
       " the fee model calculated a fee of $2,353, DHS proposes to maintain the \n",
       " current fee for such petitions. Because of the recent and continued \n",
       " growth and maturation of the EB-5 Program, the costs over the next few \n",
       " fiscal years are uncertain because the final parameters of the program \n",
       " are still evolving, such as the number of employees and facilities \n",
       " necessary to carry out the enhanced review of EB-5 filings and site \n",
       " visits. This makes it uncertain whether EB-5 related fees will fully \n",
       " fund EB-5 program activities.\n",
       "     The EB-5 program was created by Congress in 1990 to stimulate the \n",
       " U.S. economy through job creation and capital investment by foreign \n",
       " investors. The EB-5 ``regional center program'' was later added in 1992 \n",
       " by the Departments of Commerce, Justice, and State, the Judiciary, and \n",
       " Related Agencies Appropriations Act, 1993. Public Law 102-395, sec. \n",
       " 610, 106 Stat 1828 (Oct. 6, 1992). The EB-5 immigrant classification \n",
       " allows qualifying individuals, and any accompanying or following to \n",
       " join spouses and children, to obtain lawful permanent resident (LPR) \n",
       " status if the qualifying individuals have invested, or are actively in \n",
       " the process of investing, $1 million in a new commercial enterprise. \n",
       " See INA section 203(b)(5)(A) and (C), 8 U.S.C. 1153(b)(5)(A) and (C). \n",
       " To qualify, the individual's investment must benefit the U.S. economy \n",
       " and create full-time jobs for 10 or more qualifying employees. INA \n",
       " section 203(b)(5)(A)(ii), 8 U.S.C. 1153(B)(5)(A)(ii). If the investment \n",
       " is in a Targeted Employment Area (TEA) (i.e., a rural area or an area \n",
       " that has unemployment of at least 150% of the national average), the \n",
       " required capital investment amount is $500,000 rather than $1 million. \n",
       " INA section 203(b)(5)(C)(ii), 8 U.S.C. 1153(b)(5)(C)(ii); 8 CFR \n",
       " 204.6(f)(2). Entrepreneurs may meet the job creation requirements \n",
       " through the creation of indirect jobs by making qualifying investments \n",
       " within a new commercial enterprise associated with a regional center \n",
       " approved by USCIS for participation in the regional center program. INA \n",
       " section 203(b)(5), 8 U.S.C. 1153(b)(5); 8 CFR 204.6(e) and (m)(7).\n",
       "     To increase its support of Congress's objective in establishing the \n",
       " program, USCIS has recently implemented several changes to refine and \n",
       " improve the delivery, security and integrity of the EB-5 Program.\\61\\ \n",
       " USCIS established the Immigrant Investor Program Office (IPO) in \n",
       " Washington, DC at USCIS headquarters in 2012. Since that time, IPO has \n",
       " regularly added staff positions to focus both on managing the program \n",
       " and ensuring identification of fraud, national security, or public \n",
       " safety concerns within the program. In addition, USCIS plans to conduct \n",
       " more site visits to regional centers and associated commercial \n",
       " enterprises to verify information provided in regional center \n",
       " applications and investor petitions and to clarify its EB-5 \n",
       " regulations. DHS proposes to keep the Form I-829 at the current fee, \n",
       " above the full cost recovery calculation,\\62\\ to shield USCIS against \n",
       " potential but likely rising costs. DHS believes the fee would still be \n",
       " set at an appropriate level and that it would not be overly burdensome \n",
       " to the Form I-829 filers, particularly considering the size of the \n",
       " investment required to participate in the program.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\61\\ USCIS is committed to strengthening and improving the \n",
       " overall administration of the EB-5 Program. The EB-5 Program \n",
       " encompasses Forms I-526, I-829, I-924, and I-924A. The cost baseline \n",
       " includes $16.0 million in FY 2016 and $15.9 million in FY 2017 for \n",
       " additional staff that would comprise a specialized team of forensic \n",
       " auditors, compliance officers, and other staff, whose primary focus \n",
       " would be to ensure regulatory compliance. This would directly \n",
       " contribute to the integrity of the program by providing the USCIS \n",
       " Investor Program Office with employees who have specialized \n",
       " knowledge required to adjudicate these benefits. In addition to \n",
       " enhanced staffing, USCIS would make additional IT systems \n",
       " investments to make case processing more efficient. USCIS would add \n",
       " $1.7 million in FY 2016 and $1.8 million in FY 2017 to improve the \n",
       " case management system and further develop its risk management \n",
       " strategy to ensure program compliance.\n",
       "     \\62\\ If DHS had decided to adjust the fee consistent with the \n",
       " adjustment that DHS made to most other fees, the proposed fee would \n",
       " have decreased to $3,280. The proposed fee would have been higher \n",
       " than the model output because of Cost Reallocation. Other fees would \n",
       " also have been adjusted accordingly.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " B. Changes in the FY 2016/2017 Fee Review\n",
       " \n",
       " 1. Interim Benefits\n",
       "     The FY 2016/2017 Fee Review isolates the workload volume and fee-\n",
       " paying percentage of Applications for Employment Authorization, Forms \n",
       " I-765, and Applications for Travel Document, Forms I-131, that are not \n",
       " associated with Applications to Register Permanent Residence or Adjust \n",
       " Status, Forms I-485. This change helps DHS to more accurately calculate \n",
       " the fees necessary for cost recovery for all three benefit types.\n",
       "     Usually, the favorable adjudication of an immigration benefit \n",
       " request is necessary before the beneficiary will receive ancillary \n",
       " benefits such as work and travel authorization. That is, USCIS only \n",
       " grants those ancillary benefits after, or at the same time as, it \n",
       " grants the underlying immigration status or benefit. In some \n",
       " situations, however, an individual may become entitled to a benefit \n",
       " because a case is pending adjudication. For example, a person who \n",
       " applies for adjustment of status would, in certain instances, be able \n",
       " to obtain work and/or travel authorization based on the pending \n",
       " immigration benefit request. 8 CFR 274a.12(c)(9). When this occurs, \n",
       " these ancillary benefits are referred to generally as ``interim \n",
       " benefits.'' \\63\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\63\\ The following case types are subject to appeal and \n",
       " frequently have an associated application for adjustment of status, \n",
       " thereby possibly warranting interim benefits: Immigrant Petition for \n",
       " Alien Workers, Form I-140; Petition for Amerasian, Widow(er) or \n",
       " Special Immigrant, Form I-360; Application for Permission to Reapply \n",
       " for Admission into the United States after Deportation or Removal, \n",
       " Form I-212; and Application for Waiver of Ground of Inadmissibility, \n",
       " Form I-601. Interim benefits may also be derived from an Application \n",
       " for Temporary Protected Status, Form I-821. DHS proposes free \n",
       " interim benefits in this rule only associated with a pending \n",
       " Application to Register Permanent Residence or Adjust Status, Form \n",
       " I-485.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS currently permits applicants who file and pay the required fee \n",
       " for an Application to Register Permanent Residence or Adjust Status, \n",
       " Form I-485, to submit an Application for Employment Authorization, Form \n",
       " I-765, and/or an Application for Travel Document, Form I-131, without \n",
       " paying an additional fee. See 8 CFR 103.7(b)(1)(i)(M)(4) &amp; (HH). \n",
       " Applicants may file Form I-765 and/or Form I-131 concurrently with Form \n",
       " I-485. Alternatively, they may also file these forms after USCIS \n",
       " accepts their Form I-485, but while the Form I-485 is still pending.\n",
       "     In the FY 2016/2017 Fee Review, USCIS determined the workload \n",
       " volume and fee-paying percentage of Forms I-765 and Forms I-131 that \n",
       " are not associated with Forms I-485. This methodology change enables \n",
       " USCIS to derive a fee-paying percentage for standalone Forms I-765 and \n",
       " Forms I-131, meaning those forms not filed concurrently with a Form I-\n",
       " 485. By isolating stand-alone interim benefit customers from those \n",
       " concurrently filing Form I-485, USCIS can more accurately assess fee-\n",
       " paying percentages, fee-paying volumes, and fees for all three benefit \n",
       " types. As a result, DHS is confident that the fees for these three \n",
       " benefit types proposed in this rule are consistent with the ABC \n",
       " methodology for full cost recovery.\n",
       " \n",
       " [[Page 26919]]\n",
       " \n",
       " 2. Form I-485 Fee for Child Under 14, Filing With Parent\n",
       "     USCIS proposes a fee of $750 for a child under the age of 14 years \n",
       " when filing Form I-485 concurrently with the application of a parent \n",
       " seeking classification as an immediate relative of a U.S. citizen, a \n",
       " family-sponsored preference immigrant, or a family member accompanying \n",
       " or following to join a spouse or parent under sections 201(b)(2)(A)(i), \n",
       " 203(a)(2)(A), or 203(d) of the INA, 8 U.S.C. 1151(b)(2)(A)(i), \n",
       " 1153(a)(2)(A), or 1153(d). Proposed 8 CFR 103.7(b)(1)(i)(U)(2). For \n",
       " this review, the proposed fee of $750 is the model output cost for a \n",
       " Form I-485 filed with Form I-131. Children under the age of 14 cannot \n",
       " work in the United States. These children, however, can travel. This is \n",
       " $390 less than the proposed fee of $1,140 for adults. Proposed 8 CFR \n",
       " 103.7(b)(1)(i)(U)(1).\n",
       "     Currently, the fee is $985 for an adult and $635 for a child under \n",
       " the age of 14 filing with a parent ($350 less than the fee for adults). \n",
       " 8 CFR 103.7(b)(1)(i)(U). In the 2010 Fee Rule, USCIS calculated the \n",
       " $635 fee outside of the model due to a lack of available data. The FY \n",
       " 2016/2017 Fee Review calculated the proposed $750 fee using actual data \n",
       " for each of the elements of the model. Therefore, the proposed fee for \n",
       " Form I-485 for a child under the age of 14 filing with a parent \n",
       " complies more closely with the ABC methodology for full cost recovery \n",
       " at a level that tracks its relative burden.\n",
       "     USCIS proposes to remove the provision at 8 CFR \n",
       " 103.7(b)(1)(i)(U)(iii) that states, ``The child's application is based \n",
       " on a relationship to the same individual who is the basis for the \n",
       " child's parent's adjustment of status, or under the same legal \n",
       " authority as the parent.'' See proposed 8 CFR 103.7(b)(1)(i)(U). This \n",
       " sentence is unnecessary because 8 CFR 103.7(b)(1)(i)(U)(ii) already \n",
       " requires that a child must adjust as a derivative to pay the lesser \n",
       " fee. See INA section 203(d), 8 U.S.C. 1153(d). This proposed revision \n",
       " is a clarifying change to remove a redundancy in the regulatory \n",
       " language; it would have no substantive effect.\n",
       " 3. One Fee for a Genealogy Records Request\n",
       "     USCIS has included the genealogy fees in the FY 2016/2017 IEFA fee \n",
       " review. The USCIS genealogy program processes requests for historical \n",
       " records of deceased individuals. See Final Rule, Establishment of a \n",
       " Genealogy Program, 73 FR 28026 (May 15, 2008). Before creating a \n",
       " genealogy program, USCIS processed the requests as Freedom of \n",
       " Information Act (FOIA) request workload, which resulted in delays. See \n",
       " Proposed Rule, Establishment of a Genealogy Program, 71 FR 20357-8 \n",
       " (Apr. 20, 2006). DHS created the genealogy program to reduce delays for \n",
       " these requests. At the time, USCIS averaged 10,000 such requests over \n",
       " four years, see id., and USCIS expected the workload to increase to \n",
       " 26,000 a year with the new program, see 71 FR 20361. USCIS determined \n",
       " that genealogy fees would range between $16 and $55. See 71 FR 20362. \n",
       " These proposed fees were based on projected volume and full cost of the \n",
       " program. Id. After considering the comments received on the proposed \n",
       " genealogy rule, the costs of providing this service, OMB Circular A-25 \n",
       " guidelines, and the fees charged for similar services, DHS set the fees \n",
       " for Forms G-1041 at $20 and G-1041A at $20 or $35 (depending on the \n",
       " format requested) in the final rule. 73 FR 28028; 8 CFR \n",
       " 103.7(b)(1)(i)(E)-(F). Requestors use the Genealogy Records Request, \n",
       " Form G-1041A, to obtain copies of USCIS historical records that may \n",
       " assist them in conducting genealogical research. Requestors use the \n",
       " Genealogy Index Search Request, Form G-1041, to request an index search \n",
       " of USCIS historical records.\n",
       "     The current genealogy program fees were not established based on \n",
       " the projected full cost of operating the genealogy research and \n",
       " information services of USCIS, although that was permitted by the \n",
       " authorizing law. See INA section 286(t)(1), 8 U.S.C. 1356(t)(1).\\64\\ At \n",
       " the time, USCIS did not have clearly segregated records of the full \n",
       " cost of operating its genealogy research and information services, and \n",
       " DHS has not since adjusted the genealogy program fees. But after seven \n",
       " years of operating the program, DHS now has reliable data to determine \n",
       " the new fees. USCIS has thus incorporated the genealogy records \n",
       " requests fees in the comprehensive costs recovery fee model with the \n",
       " aim to simplify the genealogy fee structure.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\64\\ The statute requires genealogy program fees to be deposited \n",
       " as offsetting collections into the IEFA and that the fees for ``such \n",
       " research and information services'' may be set at a level that will \n",
       " ensure the recovery of the full costs of providing all such \n",
       " services. INA sec. 286(t)(1), 8 U.S.C. 1356(t)(1).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Current regulations state that the Form G-1041A fee is $20 for each \n",
       " file copy from microfilm and $35 for each hard copy. In some cases, the \n",
       " requestor may be unable to determine the fee, because the requestor \n",
       " will have a file number obtained from a source other than USCIS and \n",
       " therefore not know whether the format of the file is microfilm or \n",
       " paper. In such cases, individuals may provide the lesser $20 amount and \n",
       " if USCIS discovers the relevant file is a paper file, USCIS will notify \n",
       " the requestor to remit an additional $15. In addition, USCIS will \n",
       " refund the records request fee only when the agency is unable to locate \n",
       " the file previously identified in response to the index search request. \n",
       " See 8 CFR 103.7(b)(1)(i)(F).\n",
       "     DHS proposes to charge a single $65 fee for Form G-1041A. See \n",
       " proposed 8 CFR 103.7(b)(1)(i)(F). Under the ABC model, USCIS projected \n",
       " the cost of the forms G-1041 and G-1041A to be $46 each. The cost is \n",
       " based on the projected volumes and costs of the genealogy program. The \n",
       " projected costs include a portion of Lockbox costs, genealogy \n",
       " contracts, and a portion of costs related to the division that handles \n",
       " genealogy, FOIA and similar USCIS workloads. The proposed $65 fee is \n",
       " based on the ABC model output, plus an additional $19 to recover the \n",
       " applicable administrative costs associated with funding these services, \n",
       " such as the USCIS Librarian and other genealogy research and \n",
       " information services.\\65\\ Because the INA contains a separate fee \n",
       " setting authorization for the genealogy program to recover the full \n",
       " costs of providing all genealogy research and information services, DHS \n",
       " does not propose to adjust the ABC model output for genealogy fees \n",
       " using the cost reallocation methodology that was used to adjust the \n",
       " other fees for which the model output was not used. See INA section \n",
       " 286(t), 8 U.S.C. 1356(t). Administrative costs, such as the Management \n",
       " and Oversight activity cost, range from $33 to $426 for other \n",
       " immigration benefit fees. Had USCIS included all such costs in the \n",
       " proposed genealogy fees, it would have added at least $141 to the \n",
       " proposed genealogy fees. DHS proposes to add only $19 to the model \n",
       " output for estimated applicable costs for a total proposed fee of $65.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\65\\ The Cost Reallocation amount is $18. The additional $1 \n",
       " results from rounding the proposed fee to the nearest $5 increment.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 4. Dishonored Payments and Failure To Pay the Biometrics Services Fee\n",
       "     DHS proposes to amend the regulations regarding how USCIS will \n",
       " treat a benefit request accompanied by fee payment (in the form of \n",
       " check or other financial instrument) that is subsequently returned as \n",
       " not payable. Proposed 8 CFR 103.2(a)(7)(ii). DHS also proposes changes \n",
       " to provisions governing non-payment of the biometric service fee. \n",
       " Proposed 8 CFR 103.17(b).\n",
       " \n",
       " [[Page 26920]]\n",
       " \n",
       " Each of these proposed changes is described below.\n",
       "     Current regulations provide that when a check or other financial \n",
       " instrument used to pay a filing fee is subsequently returned as not \n",
       " payable, the remitter will be notified and requested to pay the filing \n",
       " fee and associated service charge within 14 calendar days, without \n",
       " extension. If the benefit request is pending and these charges are not \n",
       " paid within 14 days, the benefit request will be rejected as improperly \n",
       " filed.\\66\\ See 8 CFR 103.2(a)(7)(ii). In addition, a receipt issued by \n",
       " a DHS officer for any remittance will not be binding upon DHS if the \n",
       " remittance is found uncollectible, and legal and statutory deadlines \n",
       " will not be deemed to have been met if payment is not made within 10 \n",
       " business days after notification by DHS of the dishonored form of \n",
       " payment. See 8 CFR 103.7(a)(2). Finally, if a benefit request is \n",
       " received by DHS without the correct biometric service fee, DHS will \n",
       " notify the applicant of the deficiency and take no further action until \n",
       " payment is received. 8 CFR 103.17(b)(1). Failure to submit the correct \n",
       " biometric service fee within the time allotted in the notice will \n",
       " result in denial of the benefit request. Id. In accordance with these \n",
       " provisions, when a payment is returned as non-payable, USCIS places the \n",
       " immigration benefit request on hold and suspends adjudication. If a \n",
       " check is dishonored or payment otherwise fails, USCIS assesses a $30 \n",
       " charge and pursues the unpaid fee and penalty using administrative debt \n",
       " collection procedures. If the biometrics services fee was required and \n",
       " is missing, USCIS generally provides the filer 30 days to correct the \n",
       " payment. If payment is made within the allotted time, USCIS resumes \n",
       " processing the benefit request. If the filer does not correct the \n",
       " payment, USCIS rejects the filing. If the biometric fee is not paid, \n",
       " USCIS considers the benefit request as abandoned.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\66\\ By contrast, DHS immediately rejects any application or \n",
       " petition submitted without a fee payment instrument. See 8 CFR \n",
       " 103.2(a)(1) (``Each benefit request or other document must be filed \n",
       " with fee(s) as required by regulation. Benefit requests which \n",
       " require a person to submit biometric information must also be filed \n",
       " with the biometric service fee in 8 CFR 103.7(b)(1), for each \n",
       " individual who is required to provide biometrics.''); 8 CFR \n",
       " 103.2(a)(7)(i) (``A benefit request which is not signed and \n",
       " submitted with the correct fee(s) will be rejected.'').\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS proposes to eliminate the three rules requiring that cases be \n",
       " held while deficient payments are corrected. See proposed 8 CFR \n",
       " 103.2(a)(7)(ii), 103.7(a)(2), 103.17(b). As a practical matter, USCIS \n",
       " clears payment checks through the Automated Clearing House (ACH) by \n",
       " converting checks to electronic payments. Because USCIS converts checks \n",
       " into ACH payments, there is currently no or very little delay before \n",
       " USCIS knows whether the check is valueless. DHS is proposing that USCIS \n",
       " will not begin processing the benefit request until the payment has \n",
       " cleared. DHS anticipates that the proposed change would reduce the \n",
       " USCIS administrative costs for holding and tracking immigration benefit \n",
       " requests with rejected payments. This change would streamline USCIS' \n",
       " process for handling immigration benefit requests when payments are \n",
       " returned as not payable or do not include the required biometric \n",
       " services fee.\n",
       "     This proposal further recognizes that a fee is a fundamental aspect \n",
       " of the benefit request filing. For example, under current 8 CFR \n",
       " 103.2(a)(7)(ii), an H-1B cap-subject petition \\67\\ that was submitted \n",
       " with a check that was dishonored would be able to preserve its place in \n",
       " the lottery as long as the petitioner paid the fee and the \n",
       " aforementioned $30 charge within 14 days.\\68\\ Under proposed 8 CFR \n",
       " 103.2(a)(7)(ii), an H-1B cap-subject petition that is submitted with a \n",
       " check that is dishonored would be rejected and the receipt date would \n",
       " not be retained. By providing a 14-day correction window for dishonored \n",
       " checks, current regulations permit a benefit request paid with a \n",
       " dishonored payment instrument to secure a place in line ahead of a \n",
       " benefit request that was accompanied by a proper payment. DHS believes \n",
       " that this result is unfair, particularly because a rejected applicant, \n",
       " petitioner, or requestor may complete a new application and refile it \n",
       " immediately with proper payment.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\67\\ Congress has established limits on the number of temporary \n",
       " workers who may be granted H-1B nonimmigrant status each fiscal year \n",
       " (commonly known as the ``H-1B cap''). See INA section 214(g), 8 \n",
       " U.S.C. 1184(g). Due to the historically high demand for cap-subject \n",
       " H-1B workers, the H-1B cap usually is reached within days of the \n",
       " opening of the H-1B filing period for a new fiscal year.\n",
       "     \\68\\ USCIS employs a random selection process after announcing a \n",
       " final date on which it will receive H-1B petitions. USCIS refers to \n",
       " this day as the ``final receipt date.'' See 8 CFR \n",
       " 214.2(h)(8)(ii)(B). All petitions submitted properly prior to or on \n",
       " the ``final receipt date'' undergo a random selection process to \n",
       " determine which petitions can be processed to completion and, if \n",
       " otherwise eligible, which beneficiaries are able to receive a new H-\n",
       " 1B visa number.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS is also proposing minor changes to this same provision to \n",
       " clarify when USCIS would consider a benefit request received and when \n",
       " USCIS would reject a benefit request. Proposed 8 CFR 103.2(a)(7)(i)-\n",
       " (ii). Currently, numerous regulations address filing requirements for \n",
       " different benefits, including rejection criteria.\\69\\ To ensure clarity \n",
       " among these numerous regulations, DHS proposes to delete the reference \n",
       " to parts 204, 245, and 245a, and insert in its place a corresponding \n",
       " revision to 8 CFR 103.2(a)(7)(ii)(C) providing that a benefit request \n",
       " would be rejected if it is not, among other things, filed in compliance \n",
       " with the regulations governing the filing of the specific application, \n",
       " petition, form, or request. Finally, DHS proposes to address the \n",
       " possibility that special rules may apply for paying fees at a \n",
       " Department of Homeland Security office located outside of the United \n",
       " States. We propose to clarify fees paid in person overseas must be made \n",
       " payable in accordance with the guidance specific to the applicable U.S. \n",
       " Government office when submitting it. Proposed 8 CFR 103.7(a)(2).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\69\\ Current 8 CFR 103.2(a)(7)(i) states, in part, ``[e]xcept as \n",
       " provided in 8 CFR parts 204, 245, or 245a, a benefit request will be \n",
       " considered received by USCIS as of the actual date of receipt at the \n",
       " location designated for filing such benefit request whether \n",
       " electronically or in paper format.'' 8 CFR 245.2(a)(2) requires a \n",
       " current priority date for proper filing, 8 CFR 245a.2(e) permits \n",
       " receipt at a Qualified Designated Entity as opposed to a USCIS \n",
       " office, and 8 CFR 204.5(a) provides that a petition is considered \n",
       " properly filed only if it is accompanied by any required individual \n",
       " labor certification. In addition, regulations specific to a given \n",
       " benefit request produce filing requirements beyond those required \n",
       " under 8 CFR 103.2. See, e.g., 8 CFR 212.7(e)(5)(ii) (providing \n",
       " additional filing requirements for an application for a provisional \n",
       " unlawful presence waiver).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 5. Refunds\n",
       "     DHS proposes a minor change in the provision regarding USCIS fee \n",
       " refunds. See 8 CFR 103.2(a)(1) (providing that filing fees and \n",
       " biometric service fees are non-refundable.).\\70\\ In general, and except \n",
       " for a premium processing fee under 8 CFR 103.7(e)(2)(i),\\71\\ USCIS does \n",
       " not refund a fee regardless of the decision on the immigration benefit\n",
       " \n",
       " [[Page 26921]]\n",
       " \n",
       " request. USCIS will refund a fee if the agency determines that an \n",
       " administrative error occurred resulting in the incorrect collection of \n",
       " a fee. Examples of USCIS errors include:\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\70\\ USCIS is proposing no changes with regard to the \n",
       " prohibitions on refunds of a Notice of Appeal or Motion (Form I-\n",
       " 290B) in 8 CFR 103.3(a)(2), which provide that the fee paid with an \n",
       " appeal filed too late or by a person or entity not entitled to file \n",
       " it will not be refunded regardless of the action taken. See also 8 \n",
       " CFR 103.5(a)(iii)(B) (requiring a motion to reopen to be accompanied \n",
       " by a nonrefundable fee as set forth in 8 CFR 103.7) (emphasis \n",
       " added). Likewise, no changes are proposed to the prohibition on \n",
       " refunds for a Genealogy Index Search Request (Form G-1041), proposed \n",
       " 8 CFR 103.7(b)(1)(i)(E), the limited refunds for a Genealogy Records \n",
       " Request (Form G-1041A), proposed 8 CFR 103.7(b)(1)(i)(F), or no \n",
       " refund of the DCL System Costs Fee. 8 CFR 103.7(b)(ii)(A).\n",
       "     \\71\\ USCIS automatically refunds the fee for a Request for \n",
       " Premium Processing (Form I-907) if USCIS has not reached a final \n",
       " decision (approval, denial, notice of intent to deny, or request for \n",
       " evidence) or opened an investigation relating to the benefit request \n",
       " for which premium processing was requested within 15 days of its \n",
       " receipt. 8 CFR 103.7(e)(2). No changes are proposed to that \n",
       " provision.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     <bullet> Unnecessary filings. Cases in which USCIS (or DOS in the \n",
       " case of an immigration benefit request filed overseas) erroneously \n",
       " requests that an individual file an unnecessary form along with the \n",
       " associated fee; and\n",
       "     <bullet> Accidental payments. Cases in which an individual pays a \n",
       " required fee more than once or otherwise pays a fee in excess of the \n",
       " amount due and USCIS (or the DOS in the case of an immigration benefit \n",
       " request filed overseas) erroneously accepts the erroneous fee.\n",
       "     DHS is proposing that 8 CFR 103.2(a)(1) be revised to provide that \n",
       " fees are ``generally'' not refunded. See proposed 8 CFR 103.2(a)(1). \n",
       " This would address concern that the current regulatory text does not \n",
       " explicitly permit refunds at DHS discretion. DHS currently grants such \n",
       " refunds because as electronic filings and associated electronic \n",
       " payments have increased, there has been an increase in the number of \n",
       " erroneous payments where refunds are appropriate. For example, an \n",
       " applicant may be charged twice in error due to technical issues related \n",
       " to the specific device, software, or internet connection used to pay \n",
       " the fee. In such a case, if the request is not rejected for an \n",
       " erroneous payment, a refund may be appropriate. DHS is proposing to \n",
       " continue the practice of providing these refunds in limited \n",
       " circumstances where refunds are justified. Applicants would continue to \n",
       " request refunds by calling the USCIS customer service line or \n",
       " submitting written requests to the office having jurisdiction over the \n",
       " relevant filing.\n",
       " \n",
       " C. Fee-Related Issues Noted for Consideration\n",
       " \n",
       "     DHS has identified a number of issues that do not affect the 2016/\n",
       " 2017 Fee Review but which, for a variety of reasons, merit some \n",
       " discussion. No changes are proposed related to the issues discussed in \n",
       " this section. USCIS may discuss these issues in future biennial fee \n",
       " reviews or in conjunction with other USCIS Fee Rules. DHS welcomes \n",
       " comments on all facets of the 2016/2017 Fee Review, this proposed rule, \n",
       " and USCIS fees in general, regardless of whether changes have been \n",
       " proposed here.\n",
       " 1. Premium Processing\n",
       "     USCIS is proposing no change to premium processing fees or \n",
       " regulations but notes it here for consideration due to stakeholder \n",
       " interest, past comments, and correspondence on the subject. Section \n",
       " 286(u) of the INA, 8 U.S.C. 1356(u), authorizes DHS to establish and \n",
       " collect a fee for a premium processing service for employment-based \n",
       " petitions and applications. Revenue from premium processing fees fund \n",
       " the costs associated with providing the premium processing service, as \n",
       " well as infrastructure improvements in the adjudications and customer \n",
       " service processes.\\72\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\72\\ Premium processing fees are paid in addition to the regular \n",
       " form fee. For example, individuals would pay the proposed $700 fee \n",
       " for a Form I-140 under this rule, plus $1,225 for premium \n",
       " processing. Premium processing prioritizes the applicable \n",
       " application or petition for adjudication. The additional fee permits \n",
       " the devotion of specific resources to resolving that immigration \n",
       " benefit request.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     Congress set the premium processing fee at $1,000 and authorized \n",
       " USCIS to adjust the fee for inflation, as determined by the Consumer \n",
       " Price Index (CPI). USCIS adjusted the premium processing fee by using \n",
       " the CPI in the 2010 Fee Rule to $1,225. See 75 FR 58979; 8 CFR \n",
       " 103.7(b)(1)(i)(RR). Because projected premium processing revenue is \n",
       " sufficient to cover the projected costs of providing the premium \n",
       " service and other permissible infrastructure investments, USCIS is \n",
       " proposing no change to the premium processing fee. DHS is not barred \n",
       " from increasing the premium processing fee outside of rulemaking should \n",
       " circumstances require it.\n",
       "     DHS also notes that commenters regularly request that DHS: Extend \n",
       " premium processing beyond the limits of section 286(u) to other \n",
       " immigration benefit requests. See 75 FR 58978. The FY 2016/2017 Fee \n",
       " Review did not analyze the potential effect of premium processing for \n",
       " other forms. Congress established the premium processing fee at an \n",
       " amount it determined to be appropriate and permitted USCIS to increase \n",
       " it based on inflation. Id. USCIS has not incurred any operating \n",
       " deficits as a result of the amount of that fee. These fees more than \n",
       " cover the costs of providing premium processing for the associated \n",
       " benefits. Nevertheless, USCIS has many years' experience in processing \n",
       " certain employment-based cases using premium processing. It would be \n",
       " very difficult to estimate the staff, resources, and costs necessary to \n",
       " ensure the processing of additional benefit types within a certain time \n",
       " frame, especially when those cases may require other types of \n",
       " background checks, interviews and additional steps that USCIS does not \n",
       " generally control. Expanding the premium processing program would \n",
       " require USCIS to estimate the costs of a service that does not \n",
       " currently exist with sufficient confidence that it can deliver the \n",
       " service promised and not impair service in other product lines. To \n",
       " study a potential new premium processing program would require the \n",
       " devotion of considerable resources. Thus, DHS proposes no extension of \n",
       " premium processing beyond its current usage. Comments, however, are \n",
       " welcome on that subject.\n",
       "     USCIS currently offers premium processing to business customers \n",
       " filing: A Petition for Nonimmigrant Worker, Form I-129, and an \n",
       " Immigrant Petition for Alien Worker, Form I-140, in certain visa \n",
       " classifications. In the 2007 and 2010 Fee Rules, USCIS indicated that \n",
       " it would dedicate premium processing fee revenue for transformation \n",
       " activities.\\73\\ At that time, projected annual premium processing \n",
       " revenues and annual transformation investment costs were roughly equal. \n",
       " Since that time, the projected lifecycle costs of the transformation \n",
       " investment, which now includes USCIS' electronic immigration system, \n",
       " have decreased, whereas demand for USCIS premium processing services \n",
       " has grown, resulting in an imbalance between revenue and spending.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\73\\ Transformation is an agency-wide effort to transition the \n",
       " agency from a fragmented, paper-based operational environment to a \n",
       " centralized environment facilitating electronic processing of \n",
       " requests for immigration benefits through the USCIS electronic \n",
       " immigration system (ELIS). This investment is a large-scale, complex \n",
       " undertaking to modernize USCIS business processes using information \n",
       " technology-enabled re-engineering. ELIS will employ the types of \n",
       " online customer accounts used in the private sector to manage \n",
       " transactions and track activities while helping USCIS enforce and \n",
       " administer the immigration laws. The revised processes, enabled by \n",
       " ELIS, will help USCIS meet customer expectations for on-demand \n",
       " information and immediate real-time electronic service over the \n",
       " Internet.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In the FY 2016/2017 Fee Review, USCIS identified $79.3 million in \n",
       " additional costs to be funded through premium processing fee revenue, \n",
       " thereby reducing the costs that USCIS must recover through its standard \n",
       " (non-premium) immigration benefit request fees. Consistent with INA \n",
       " section 286(u), 8 U.S.C. 1186(u), DHS intends to use premium processing \n",
       " revenue to pay for the salaries of immigration services officers that \n",
       " process this workload, associated supervisory and support staff, and \n",
       " associated non-personnel costs. Premium processing revenue will also be \n",
       " used to fund the salaries and benefits costs for Office of \n",
       " Transformation Coordination staff that manage USCIS' electronic \n",
       " immigration system and transformation investment.\n",
       " \n",
       " [[Page 26922]]\n",
       " \n",
       " USCIS also identified additional costs for staff adjudicating requests \n",
       " for premium processing service, transformation-related expenses, and \n",
       " infrastructure investments being made to enhance the adjudication \n",
       " process and customer service, that the agency intends to fund with \n",
       " premium processing fee collections instead of continuing to use general \n",
       " filing fees.\n",
       " 2. Accommodating E-Filing and Form Flexibility\n",
       "     DHS has endeavored, as it did in the 2010 fee rule, to propose fees \n",
       " based on form titles instead of form numbers to avoid prescribing fees \n",
       " in a manner that could undermine the transformation process. See \n",
       " proposed 8 CFR 103.7(b)(1). Form numbers are included for informational \n",
       " purposes but are not intended to restrict the ability of USCIS to \n",
       " collect a fee for a benefit request that falls within the parameters of \n",
       " the adjudication for which the fee is promulgated. As USCIS modernizes \n",
       " its processes and systems to allow more people to file applications \n",
       " online, the agency may collect fees for requests that do not have a \n",
       " form number or do not have the same form number as described in \n",
       " regulations. This could occur, for example, if USCIS developed an \n",
       " online version of a request that individuals often submit with \n",
       " applications for employment authorization. In this situation, USCIS may \n",
       " find it best to consolidate the two requests without separately \n",
       " labelling the different sections pursuant to the relevant form numbers. \n",
       " DHS would still collect the required fee for the underlying benefit \n",
       " request as well as the request for employment authorization, but the \n",
       " actual online request would not necessarily contain form numbers \n",
       " corresponding to each separate request.\n",
       "     Likewise, if USCIS determines that efficiency and customer service \n",
       " would be improved by breaking paper Form I-131 into separate paper \n",
       " forms (for instance, USCIS could institute a separate form and form \n",
       " number for advance parole, humanitarian parole, parole in place, \n",
       " refugee travel documents, reentry permits, or boarding documents), \n",
       " USCIS could do so and continue to charge the Form I-131 fee that is \n",
       " included in this rule. This structure permits USCIS to change forms \n",
       " more easily without having to perform a new fee study each time the \n",
       " agency chooses to do so.\n",
       " 3. Fee Waivers\n",
       "     USCIS may waive the fee for certain immigration benefit requests \n",
       " when the individual requesting the benefit is unable to pay the fee. \n",
       " See 8 CFR 103.7(c). To request a fee waiver, the individual must submit \n",
       " a written waiver request for permission to have their benefit request \n",
       " processed without payment. The waiver request must state the person's \n",
       " belief that he or she is entitled to or deserving of the benefit \n",
       " requested, the reasons for his or her inability to pay, and evidence to \n",
       " support the reasons indicated. See 8 CFR 103.7(c)(2). There is no \n",
       " appeal of the denial of a fee waiver request. See id. Before 2007, \n",
       " USCIS could waive any fee, even where the fee waiver would be \n",
       " inconsistent with the underlying benefit request. For example, prior to \n",
       " 2007, USCIS could waive fees for companies seeking to sponsor foreign \n",
       " workers; individuals seeking status based on substantial business \n",
       " investments; or individuals seeking to sponsor foreign relatives to \n",
       " whom the sponsors must provide a financial safety net. See 72 FR 4912. \n",
       " Since 2007, however, DHS has limited the USCIS fees that may be waived \n",
       " in 8 CFR 103.7(c)(3) based on the general premise that fee waivers must \n",
       " be consistent with any financial considerations that apply to the \n",
       " status or benefit sought. See 8 CFR 103.7(c)(1)(ii).\n",
       "     Following the 2010 Fee Rule, USCIS also issued guidance to the \n",
       " field to streamline fee waiver adjudications and make them more \n",
       " consistent among offices and form types nationwide. See Policy \n",
       " Memorandum, PM-602-0011.1, Fee Waiver Guidelines as Established by the \n",
       " Final Rule of the USCIS Fee Schedule; Revisions to Adjudicator's Field \n",
       " Manual (AFM) Chapter 10.9, AFM Update AD11-26 (Mar. 13, 2011) (``Fee \n",
       " Waiver Policy''). This guidance clarifies what measures of income can \n",
       " be used and the types of documentation that are acceptable for \n",
       " individuals to present as demonstration that they are unable to pay a \n",
       " fee when requesting a fee waiver. In June 2011, USCIS issued the \n",
       " Request for Fee Waiver, Form I-912, which is an optional standardized \n",
       " form with instructions that can be used to request a fee waiver in \n",
       " accordance with the fee waiver guidance.\\74\\ USCIS previously engaged \n",
       " in a holistic analysis of the individual's finances to determine \n",
       " inability to pay. See, e.g., William R. Yates, Field Guidance on \n",
       " Granting Fee Waivers Pursuant to 8 CFR 103.7(c), dated March 4, 2004. \n",
       " Under the fee waiver guidance, USCIS established a streamlined process \n",
       " under which it will usually waive the entire fee and the biometric \n",
       " services fee for forms listed in 8 CFR 103.7(c)(3) for applicants who:\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\74\\ The form and its instructions may be viewed at <a href=\"http://www.uscis.gov/i-912\">http://www.uscis.gov/i-912</a>.\n",
       " \n",
       "     <bullet> Are currently receiving a means-tested benefit;\n",
       "     <bullet> Have household income at or below 150 percent of the \n",
       " Federal poverty level; or\n",
       "     <bullet> Are experiencing extreme financial hardship such as \n",
       " unexpected medical bills or emergencies. AFM Chapter 10.9(b).\n",
       " \n",
       " The 2010 Fee Rule also authorized the USCIS Director to approve and \n",
       " suspend exemptions from fees or provide that the fee may be waived for \n",
       " a case or class of cases that is not otherwise provided in 8 CFR \n",
       " 103.7(c). See 75 FR 58990; 8 CFR 103.7(d).\n",
       "     As noted in the Fiscal Year (FY) 2016/2017 Immigration Examinations \n",
       " Fee Account Fee Review Supporting Documentation, the projected annual \n",
       " impact of fee waivers and exemptions has increased markedly since the \n",
       " 2010 Fee Rule from $191 million to $613 million. Applicants, \n",
       " petitioners, and requestors that pay a fee cover the cost of processing \n",
       " requests that are fee-waived or fee-exempt. Although DHS does not \n",
       " currently plan to do so, it may in the future revisit the USCIS fee \n",
       " waiver guidance with respect to what constitutes inability to pay under \n",
       " 8 CFR 103.7(c). DHS welcomes comment on this issue.\n",
       " \n",
       " VII. Volume\n",
       " \n",
       "     USCIS uses two types of volume data in the fee review. Workload \n",
       " volume is a projection of the total number of immigration benefit \n",
       " requests that will be received in a fiscal year. Fee-paying volume is a \n",
       " projection of the number of applicants, petitioners, and requestors \n",
       " that will pay a fee when filing requests for immigration benefits. Not \n",
       " all applicants, petitioners, or requestors pay a fee. Those applicants, \n",
       " petitioners, and requestors for whom USCIS grants a fee waiver or to \n",
       " whom an exemption applies are represented in the workload volume but \n",
       " not the fee-paying volume. Applicants, petitioners, and requestors that \n",
       " pay a fee fund the cost of processing requests for fee-waived or fee-\n",
       " exempt immigration benefit requests.\n",
       " \n",
       " A. Workload Volume and Volume Projection Committee\n",
       " \n",
       "     USCIS uses statistical time series modeling and immigration receipt \n",
       " data from the last 15 years, as well as the best available internal \n",
       " assessment of future developments (such as annualized data prepared by \n",
       " the USCIS Office of Performance and Quality) to develop workload volume \n",
       " projections. All relevant USCIS directorates and program offices are \n",
       " represented on the USCIS Volume Projection Committee\n",
       " \n",
       " [[Page 26923]]\n",
       " \n",
       " (VPC). The VPC forecasts USCIS workload volume with subject-matter-\n",
       " expert input from USCIS Service Centers, the National Benefits Center, \n",
       " the RAIO Directorate, and Regional, District, and Field Offices. Input \n",
       " from these offices helps refine projected volume estimates. The VPC \n",
       " reviews short- and long-term volume trends. In most cases, time series \n",
       " models provide volume projections by form type. The time series models \n",
       " use historical receipts data to determine patterns (such as level, \n",
       " trend, and seasonality) or correlations with historical events, which \n",
       " in turn are used to derive the projected receipts. Where possible, the \n",
       " models are also used to determine relationships between different \n",
       " benefit request types. Workload volumes are a key element used when \n",
       " determining the USCIS resources needed to process benefit requests \n",
       " within established adjudicative processing goals. They are also the \n",
       " primary cost driver for assigning activity costs to immigration \n",
       " benefits and biometric services in the USCIS ABC model.\n",
       " \n",
       "                                        Table 4--Workload Volume Comparison\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                                       Average         Average\n",
       "                                                                   annual FY 2010/ annual FY 2016/\n",
       "                    Immigration benefit request                    2011 projected  2017 projected    Difference\n",
       "                                                                      workload        workload\n",
       "                                                                      receipts        receipts\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " I-90 Application to Replace Permanent Resident Card.............         540,000         810,707         270,707\n",
       " I-102 Application for Replacement/Initial Nonimmigrant Arrival-           17,165          10,143          -7,022\n",
       "  Departure Document.............................................\n",
       " I-129 Petition for a Nonimmigrant Worker........................         395,000         432,156          37,156\n",
       " I-129F Petition for Alien Fianc[eacute](e)......................          54,000          45,351          -8,649\n",
       " I-130 Petition for Alien Relative...............................         690,520         911,349         220,829\n",
       " I-131/I-131A Application for Travel Document....................         256,255         256,622             367\n",
       " I-140 Immigrant Petition for Alien Worker.......................          75,000          88,602          13,602\n",
       " I-290B Notice of Appeal or Motion...............................          28,734          24,706          -4,028\n",
       " I-360 Petition for Amerasian, Widow(er) or Special Immigrant....          17,669          26,428           8,759\n",
       " I-485 Application to Register Permanent Residence or Adjust              526,000         593,717          67,717\n",
       "  Status.........................................................\n",
       " I-526 Immigrant Petition by Alien Entrepreneur..................           1,399          14,673          13,274\n",
       " I-539 Application to Extend/Change Nonimmigrant Status..........         195,000         172,001         -22,999\n",
       " I-600/I-600A; I-800/I-800A Orphan Petitions.....................          25,241          15,781          -9,460\n",
       " I-601A Provisional Unlawful Presence Waiver.....................             N/A          42,724          42,724\n",
       " I-687 Application for Status as a Temporary Resident............              48              18             -30\n",
       " I-690 Application for Waiver on Grounds of Inadmissibility......              74              21             -53\n",
       " I-694 Notice of Appeal of Decision..............................              50              39             -11\n",
       " I-698 Application to Adjust Status From Temporary to Permanent               704              91            -613\n",
       "  Resident.......................................................\n",
       " I-751 Petition to Remove the Conditions of Residence............         183,000         173,000         -10,000\n",
       " I-765 Application for Employment Authorization..................         720,000         747,825          27,825\n",
       " I-800A Supp. 3 Request for Action on Approved Form I-800A.......             N/A           1,585           1,585\n",
       " I-817 Application for Family Unity Benefits.....................           1,750           2,069             319\n",
       " I-824 Application for Action on an Approved Application or                20,961          10,921         -10,040\n",
       "  Petition.......................................................\n",
       " I-829 Petition by Entrepreneur to Remove Conditions.............             441           3,562           3,121\n",
       " I-910 Application for Civil Surgeon Designation.................           3,410             609          -2,801\n",
       " I-924 Application for Regional Center Designation Under the                  132             400             268\n",
       "  Immigrant Investor Program.....................................\n",
       " I-924A Annual Certification of Regional Center..................             N/A             882             882\n",
       " I-929 Petition for Qualifying Family Member of a U-1                         N/A             575             575\n",
       "  Nonimmigrant...................................................\n",
       " N-300 Application to File Declaration of Intention..............              45              41              -4\n",
       " N-336 Request for Hearing on a Decision in Naturalization                  4,145           4,666             521\n",
       "  Proceedings....................................................\n",
       " N-400 Application for Naturalization............................         693,890         830,673         136,783\n",
       " N-470 Application to Preserve Residence for Naturalization                   621             362            -259\n",
       "  Purposes.......................................................\n",
       " N-565 Application for Replacement Naturalization/Citizenship              29,298          28,914            -384\n",
       "  Document.......................................................\n",
       " N-600/600K Naturalization Certificate Applications..............          45,347          69,723          24,376\n",
       " I-191, I-192, I-193, I-212, I-601, I-612 Waiver Forms...........          31,432          71,527          40,095\n",
       " USCIS Immigrant Fee.............................................         215,000         472,511         257,511\n",
       " G-1041 Genealogy Index Search Request...........................             N/A           3,605           3,605\n",
       " G-1041A Genealogy Records Request...............................             N/A           2,410           2,410\n",
       "                                                                  -----------------------------------------------\n",
       "     Subtotal....................................................       4,772,331       5,870,989       1,101,459\n",
       "     Biometrics..................................................       2,048,177       3,028,254         980,077\n",
       "                                                                  -----------------------------------------------\n",
       "         Grand Totals............................................       6,820,508       8,899,243       2,081,536\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       " B. Fee-Paying Volume and Methodology\n",
       " \n",
       "     USCIS uses historical revenue and receipt data to determine the \n",
       " number of individuals that paid the fee for each immigration benefit \n",
       " type. Total revenue for an immigration benefit request is divided by \n",
       " its fee to determine the number of fee-paying immigration benefit \n",
       " requests. Fee-paying receipts are compared to the total number of \n",
       " receipts (workload volume) to determine a fee-paying percentage for \n",
       " each immigration benefit request. When appropriate, projected fee-\n",
       " paying volumes are adjusted to reflect filing trends and anticipated \n",
       " changes.\n",
       " \n",
       " [[Page 26924]]\n",
       " \n",
       " \n",
       " \n",
       "                                       Table 5--Fee-Paying Volume Comparison\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                                       Average         Average\n",
       "                                                                   annual FY 2010/ annual FY 2016/\n",
       "                    Immigration benefit request                       2011 fee        2017 fee       Difference\n",
       "                                                                       paying          paying\n",
       "                                                                     projection      projection\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " I-90 Application to Replace Permanent Resident Card.............         518,400         718,163         199,763\n",
       " I-102 Application for Replacement/Initial Nonimmigrant Arrival-           17,165           9,499          -7,666\n",
       "  Departure Document.............................................\n",
       " I-129 Petition for a Nonimmigrant Worker........................         395,000         427,778          32,778\n",
       " I-129F Petition for Alien Fianc[eacute](e)......................          39,960          39,277            -683\n",
       " I-130 Petition for Alien Relative...............................         690,520         907,512         216,992\n",
       " I-131/I-131A Application for Travel Document....................         192,255         194,461           2,206\n",
       " I-140 Immigrant Petition for Alien Worker.......................          75,000          88,602          13,602\n",
       " I-290B Notice of Appeal or Motion...............................          28,734          20,955          -7,779\n",
       " I-360 Petition for Amerasian, Widow(er) or Special Immigrant....           6,957           8,961           2,004\n",
       " I-485 Application to Register Permanent Residence or Adjust              480,000         473,336          -6,664\n",
       "  Status.........................................................\n",
       " I-526 Immigrant Petition by Alien Entrepreneur..................           1,343          14,673          13,330\n",
       " I-539 Application to Extend/Change Nonimmigrant Status..........         195,000         171,616         -23,384\n",
       " I-600/600A; I-800/800A Orphan Petitions.........................          16,211           5,811         -10,400\n",
       " I-601A Provisional Unlawful Presence Waiver.....................             N/A          42,724          42,724\n",
       " I-687 Application for Status as a Temporary Resident............              43               0             -43\n",
       " I-690 Application for Waiver on Grounds of Inadmissibility......              74              17             -57\n",
       " I-694 Notice of Appeal of Decision..............................              50              39             -11\n",
       " I-698 Application to Adjust Status From Temporary to Permanent               605              91            -514\n",
       "  Resident.......................................................\n",
       " I-751 Petition to Remove the Conditions of Residence............         177,510         162,533         -14,977\n",
       " I-765 Application for Employment Authorization..................         511,200         397,954        -113,247\n",
       " I-800A Supp. 3 Request for Action on Approved Form I-800A.......             N/A             746             746\n",
       " I-817 Application for Family Unity Benefits.....................           1,750           1,988             238\n",
       " I-824 Application for Action on an Approved Application or                20,961          10,828         -10,134\n",
       "  Petition.......................................................\n",
       " I-829 Petition by Entrepreneur to Remove Conditions.............             256           3,562           3,306\n",
       " I-910 Application for Civil Surgeon Designation.................           1,160             609            -551\n",
       " I-924 Application for Regional Center Designation Under the                  132             400             268\n",
       "  Immigrant Investor Program.....................................\n",
       " I-924A Annual Certification of Regional Center..................             N/A             882             882\n",
       " I-929 Petition for Qualifying Family Member of a U-1                         N/A             257             257\n",
       "  Nonimmigrant...................................................\n",
       " N-300 Application to File Declaration of Intention..............              45              36              -9\n",
       " N-336 Request for Hearing on a Decision in Naturalization                  4,145           3,593            -553\n",
       "  Proceedings....................................................\n",
       " N-400 Application for Naturalization............................         684,390         631,655         -52,736\n",
       " N-470 Application to Preserve Residence for Naturalization                   621             360            -261\n",
       "  purposes.......................................................\n",
       " N-565 Application for Replacement Naturalization/Citizenship              24,903          23,491          -1,413\n",
       "  Document.......................................................\n",
       " N-600/600K Naturalization Certificate Applications..............          45,347          46,870           1,523\n",
       " I-191, I-192, I-193, I-212, I-601, I-612 Waiver Forms...........          31,432          41,902          10,470\n",
       " USCIS Immigrant Fee.............................................         215,000         472,511         257,511\n",
       " G-1041 Genealogy Index Search Request...........................             N/A           3,605           3,605\n",
       " G-1041A Genealogy Records Request...............................             N/A           2,410           2,410\n",
       "                                                                  -----------------------------------------------\n",
       "     Subtotal....................................................       4,376,169       4,929,707         553,533\n",
       "     Biometrics..................................................       1,950,603       2,598,639         648,036\n",
       "                                                                  -----------------------------------------------\n",
       "         Grand Totals............................................       6,326,772       7,528,346       1,201,569\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       " VIII. Completion Rates\n",
       " \n",
       "     USCIS completion rates are the average hours per adjudication of an \n",
       " immigration benefit request. They identify the adjudicative time \n",
       " required to complete (render a decision on) specific immigration \n",
       " benefit request types. The completion rate for each benefit type \n",
       " represents an average. Completion rates reflect what is termed ``touch \n",
       " time'' or the time an employee with adjudicative responsibilities \n",
       " actually handles the case. It does not reflect ``queue time'' or time \n",
       " spent waiting, for example, for additional evidence or supervisory \n",
       " approval. It does not reflect the total processing time customers can \n",
       " expect to wait for a decision on their case after USCIS accepts it.\n",
       "     USCIS requires the employees who adjudicate immigration benefit \n",
       " requests to report adjudication hours and case completions by benefit \n",
       " type. Adjudication hours are divided by the number of completions for \n",
       " the same time period to determine an average completion rate. In \n",
       " addition to using this data to determine fees, completion rates help \n",
       " determine staffing allocations appropriate to handle the projected \n",
       " workload. The Office of Performance and Quality, field offices, and \n",
       " regional management scrutinize the data to ensure accuracy. When the \n",
       " data is inconsistent and anomalies are identified, the Office of \n",
       " Performance and Quality contacts the reporting office and makes \n",
       " necessary adjustments. USCIS has confidence in the data, given the \n",
       " consistency of reporting over the last several years. The continual \n",
       " availability of the information makes it easier for USCIS to update \n",
       " cost information more frequently for fee review and cost management \n",
       " purposes.\n",
       " \n",
       " [[Page 26925]]\n",
       " \n",
       " \n",
       " \n",
       "               Table 6--Completion Rates per Benefit Request\n",
       "                 [Projected adjudication hours/completion]\n",
       " ------------------------------------------------------------------------\n",
       "                Immigration benefit request                 Service-wide\n",
       " ------------------------------------------------------------------------\n",
       " I-90 Application to Replace Permanent Resident Card.....            0.21\n",
       " I-102 Application for Replacement/Initial Nonimmigrant              0.48\n",
       "  Arrival-Departure Document.............................\n",
       " I-129 Petition for a Nonimmigrant Worker................            0.83\n",
       " I-129F Petition for Alien Fianc[eacute](e)..............            0.65\n",
       " I-130 Petition for Alien Relative.......................            0.75\n",
       " I-131/I-131A Application for Travel Document............            0.21\n",
       " I-140 Immigrant Petition for Alien Worker...............            1.68\n",
       " I-290B Notice of Appeal or Motion.......................            1.22\n",
       " I-360 Petition for Amerasian, Widow(er) or Special                  1.97\n",
       "  Immigrant..............................................\n",
       " I-485 Application to Register Permanent Residence or                1.63\n",
       "  Adjust Status..........................................\n",
       " I-526 Immigrant Petition by Alien Entrepreneur..........            6.50\n",
       " I-539 Application to Extend/Change Nonimmigrant Status..            0.40\n",
       " I-600/600A; I-800/800A Orphan Petitions.................            2.14\n",
       " I-601A Application for Provisional Unlawful Presence                2.84\n",
       "  Waiver.................................................\n",
       " I-687 Application for Status as a Temporary Resident                4.12\n",
       "  Under Section 245A of the Immigration and Nationality\n",
       "  Act....................................................\n",
       " I-690 Application for Waiver on Grounds of                          0.89\n",
       "  Inadmissibility........................................\n",
       " I-694 Notice of Appeal of Decision under Section 210 or             2.10\n",
       "  245A...................................................\n",
       " I-698 Application to Adjust Status From Temporary to                3.80\n",
       "  Permanent Resident (Under Section 245A of the INA).....\n",
       " I-751 Petition to Remove the Conditions of Residence....            0.99\n",
       " I-765 Application for Employment Authorization..........            0.20\n",
       " I-800A Supplement 3 Request for Action on Approved Form             1.10\n",
       "  I-800A.................................................\n",
       " I-817 Application for Family Unity Benefits.............            0.92\n",
       " I-824 Application for Action on an Approved Application             0.59\n",
       "  or Petition............................................\n",
       " I-829 Petition by Entrepreneur to Remove Conditions.....            5.50\n",
       " I-910 Application for Civil Surgeon Designation.........            1.81\n",
       " I-924 Application for Regional Center Designation Under            40.00\n",
       "  the Immigrant Investor Program.........................\n",
       " I-924A Annual Certification of Regional Center..........            5.00\n",
       " N-300 Application to File Declaration of Intention......            1.64\n",
       " N-336 Request for Hearing on a Decision in                          2.60\n",
       "  Naturalization Proceedings.............................\n",
       " N-400 Application for Naturalization....................            1.25\n",
       " N-470 Application to Preserve Residence for                         1.83\n",
       "  Naturalization Purposes................................\n",
       " N-565 Application for Replacement Naturalization/                   0.59\n",
       "  Citizenship Document...................................\n",
       " N-600/N-600K Naturalization Certificate Applications....            1.00\n",
       " I-191, I-192, I-193, I-212, I-601, I-612 Waiver Forms...            1.18\n",
       " ------------------------------------------------------------------------\n",
       " \n",
       "     USCIS does not calculate completion rates for the following \n",
       " immigration benefit requests, forms, or other services, due to the \n",
       " special nature of their processing as explained below:\n",
       "     <bullet> Biometric Services. Application Support Centers and the \n",
       " Biometrics Division incur certain costs, which are assigned to this \n",
       " fee. Completion rates are not necessary to assign processing activity \n",
       " costs to this product. See proposed 8 CFR 103.7(b)(1)(i)(C).\n",
       "     <bullet> USCIS Immigrant Fees. USCIS does not adjudicate immigrant \n",
       " visa benefit requests. Rather, individuals located outside of the \n",
       " United States apply with a Department of State overseas consular \n",
       " officer for an immigrant visa. If DOS issues the immigrant visa, the \n",
       " individual may apply with a U.S. Customs and Border Protection officer \n",
       " for admission to the United States as an immigrant at a port of entry. \n",
       " This fee represents USCIS costs to create and maintain files and to \n",
       " issue permanent resident cards to individuals who go through this \n",
       " process. See proposed 8 CFR 103.7(b)(1)(i)(D) (changing the fee's title \n",
       " to ``USCIS Immigrant Fee'').\n",
       "     <bullet> Refugee and Asylee Processing. Refugee Division and Asylum \n",
       " Division costs are not directly assigned to any fee and are covered by \n",
       " immigration benefit requests that pay fees. USCIS does not charge a fee \n",
       " for the following:\n",
       "     [cir] Application for Asylum and Withholding of Removal, Form I-\n",
       " 589;\n",
       "     [cir] Registration for Classification as a Refugee, Form I-590;\n",
       "     [cir] Application By Refugee For Waiver of Grounds of \n",
       " Excludability, Form I-602; and\n",
       "     [cir] Refugee/Asylee Relative Petition, Form I-730.\n",
       "     <bullet> Other Forms Exempt from Fees. The following forms are also \n",
       " not discussed in this rule as applicants for these form types are \n",
       " exempt from paying a fee:\n",
       "     [cir] Application for Posthumous Citizenship, Form N-644;\n",
       "     [cir] Application for T Nonimmigrant Status, Form I-914; and\n",
       "     [cir] Petition for U Nonimmigrant Status, Form I-918.\n",
       "     <bullet> Forms with Uncertain Fee Revenue. These form types may be \n",
       " terminated under current law, or may cease due to a reduction in the \n",
       " eligible population, and DHS proposes to not rely on their uncertain \n",
       " fee revenue streams for recovering USCIS operational expenses. The \n",
       " following forms are excluded from discussion in this rule because, as \n",
       " discussed earlier in this preamble, this proposed rule does not propose \n",
       " to change or establish a special fee for those programs:\n",
       "     [cir] Application for Temporary Protected Status, Form I-821; \\75\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\75\\ The proposed rule would, however, change the location of \n",
       " the reference to the fee in the Code of Federal Regulations (CFR). \n",
       " See proposed 8 CFR 103.7(b)(1)(i)(NN).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     [cir] Consideration of Deferred Action for Childhood Arrivals, Form \n",
       " I-821D; and\n",
       "     [cir] Application for Suspension of Deportation or Special Rule \n",
       " Cancellation of Removal, Form I-881.\\76\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\76\\ The proposed rule would change the location of the \n",
       " reference to the fee in the CFR. See proposed 8 CFR \n",
       " 103.7(b)(1)(i)(QQ).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " IX. Proposed Fee Adjustments to IEFA Immigration Benefits\n",
       " \n",
       "     Because projected USCIS costs for FY 2016 and 2017 exceed projected \n",
       " revenue by an average of $569 million each year, USCIS must adjust the \n",
       " fee schedule to recover the full cost of processing immigration \n",
       " benefits, and to continue to\n",
       " \n",
       " [[Page 26926]]\n",
       " \n",
       " maintain or improve current service delivery standards.\n",
       "     After resource costs are identified, they are distributed to USCIS' \n",
       " primary processing activities in the ABC model. Table 7 outlines total \n",
       " IEFA costs by activity.\n",
       " \n",
       "                                     Table 7--Projected IEFA Costs by Activity\n",
       "                                              [Dollars in thousands]\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                                                                    FY 2016/2017\n",
       "                             Activity                                  FY 2016         FY 2017         average\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Perform Biometrics Services.....................................        $194,670        $197,837        $196,254\n",
       " Make Determination..............................................       1,268,309       1,302,756       1,285,533\n",
       " Management and Oversight........................................         588,262         592,151         590,206\n",
       " Inform the Public...............................................         281,668         288,187         284,927\n",
       " Records Management..............................................         238,271         240,777         239,524\n",
       " Fraud Detection and Prevention..................................         176,530         180,544         178,537\n",
       " Intake..........................................................          94,736          93,120          93,928\n",
       " Direct Costs....................................................          56,444          58,476          57,460\n",
       " Conduct TECS Check..............................................          52,829          53,994          53,412\n",
       " Issue Document..................................................          31,975          32,632          32,304\n",
       " Systematic Alien Verification for Entitlements..................          25,330          26,074          25,702\n",
       "                                                                  -----------------------------------------------\n",
       "     Total IEFA Costs............................................       3,009,024       3,066,548       3,037,786\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       "     The activity costs are then distributed to the immigration benefit \n",
       " requests. Table 8 summarizes total revenue by immigration benefit \n",
       " request based on the proposed fee schedule.\n",
       " \n",
       "  Table 8--Projected FY 2016/2017 Average Annual Revenue per Immigration\n",
       "                                  Benefit\n",
       "                          [Dollars in thousands]\n",
       " ------------------------------------------------------------------------\n",
       "                Immigration benefit request                    Revenue\n",
       " ------------------------------------------------------------------------\n",
       " G-1041 Genealogy Index Search Request...................            $234\n",
       " G-1041A Genealogy Records Request.......................             157\n",
       " I-90 Application to Replace Permanent Resident Card.....         326,764\n",
       " I-102 Application for Replacement/Initial Nonimmigrant             4,227\n",
       "  Arrival-Departure Document.............................\n",
       " I-129 Petition for a Nonimmigrant worker................         196,778\n",
       " I-129F Petition for Alien Fianc[eacute](e)..............          21,013\n",
       " I-130 Petition for Alien Relative.......................         485,519\n",
       " I-131/I-131A Application for Travel Document............         111,815\n",
       " I-140 Immigrant Petition for Alien Worker...............          62,021\n",
       " I-290B Notice of Appeal or Motion.......................          14,145\n",
       " I-360 Petition for Amerasian Widow(er) or Special                  3,898\n",
       "  Immigrant..............................................\n",
       " I-485 Application to Register Permanent Residence or             539,603\n",
       "  Adjust Status..........................................\n",
       " I-526 Immigrant Petition by Alien Entrepreneur..........          53,923\n",
       " I-539 Application to Extend/Change Nonimmigrant Status..          63,498\n",
       " I-600/600A/800/800A Orphan Petitions....................           4,504\n",
       " I-601A Provisional Unlawful Presence Waiver.............          26,916\n",
       " I-690 Application for Waiver of Grounds of                            12\n",
       "  Inadmissibility........................................\n",
       " I-694 Notice of Appeal of Decision......................              35\n",
       " I-698 Application to Adjust Status From Temporary to                 152\n",
       "  Permanent Resident (Under Section 245A of the INA).....\n",
       " I-751 Petition to Remove Conditions on Residence........          96,707\n",
       " I-765 Application for Employment Authorization..........         163,161\n",
       " I-800A Supplement 3 Request for Action on Approved Form              287\n",
       "  I-800A.................................................\n",
       " I-817 Application for Family Unity Benefits.............           1,193\n",
       " I-824 Application for Action on an Approved Application            5,035\n",
       "  or Petition............................................\n",
       " I-829 Petition by Entrepreneur to Remove Conditions.....          13,356\n",
       " I-910 Application for Civil Surgeon Designation.........             478\n",
       " I-924 Application for Regional Center Designation Under            7,109\n",
       "  the Immigrant Investor Program.........................\n",
       " I-924A Annual Certification of Regional Center..........           2,677\n",
       " I-929 Petition for Qualifying Family Member of a U-1                  59\n",
       "  Nonimmigrant...........................................\n",
       " N-300 Application to File Declaration of Intention......              10\n",
       " N-336 Request for Hearing on a Decision in                         2,515\n",
       "  Naturalization Proceedings.............................\n",
       " N-400 Application for Naturalization....................         404,259\n",
       " N-470 Application to Preserve Residence for                          128\n",
       "  Naturalization Purposes................................\n",
       " N-565 Application for Replacement Naturalization/                 13,037\n",
       "  Citizenship Document...................................\n",
       " N-600/N-600K Application for Certificate of Citizenship.          54,838\n",
       " I-191, I-192, I-193, I-212, I-601, I-602, I-612 Waiver            38,968\n",
       "  Forms..................................................\n",
       " USCIS Immigrant Fee.....................................         103,952\n",
       " Biometric Services......................................         220,884\n",
       "                                                          ---------------\n",
       "     Grand Totals........................................       3,043,866\n",
       " ------------------------------------------------------------------------\n",
       " \n",
       " \n",
       " [[Page 26927]]\n",
       " \n",
       "     Table 9 depicts the current and proposed USCIS fees for immigration \n",
       " benefits and biometric services. For a more detailed description of the \n",
       " basis for the changes described in this table, see Appendix Table 4 in \n",
       " the FY 2016/2017 Fee Review Supporting Documentation accompanying this \n",
       " proposed rule.\n",
       " \n",
       "                                   Table 9--Proposed Fees by Immigration Benefit\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                     Current fee    Proposed fee\n",
       "            Immigration benefit request                  ($)             ($)         Delta  ($)    Percent change\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " G-1041 Genealogy Index Search Request...........             $20             $65             $45             225\n",
       " G-1041A Genealogy Records Request (Copy from                  20              65              45             225\n",
       "  Microfilm).....................................\n",
       " G-1041A Genealogy Records Request (Copy from                  35              65              30              86\n",
       "  Textual Record)................................\n",
       " I-90 Application to Replace Permanent Resident               365             455              90              25\n",
       "  Card...........................................\n",
       " I-102 Application for Replacement/Initial                    330             445             115              35\n",
       "  Nonimmigrant Arrival-Departure Document........\n",
       " I-129 Petition for a Nonimmigrant worker........             325             460             135              42\n",
       " I-129F Petition for Alien Fianc[eacute](e)......             340             535             195              57\n",
       " I-130 Petition for Alien Relative...............             420             535             115              27\n",
       " I-131/I-131A Application for Travel Document....             360             575             215              60\n",
       " I-140 Immigrant Petition for Alien Worker.......             580             700             120              21\n",
       " I-290B Notice of Appeal or Motion...............             630             675              45               7\n",
       " I-360 Petition for Amerasian Widow(er) or                    405             435              30               7\n",
       "  Special Immigrant..............................\n",
       " I-485 Application to Register Permanent                      985           1,140             155              16\n",
       "  Residence or Adjust Status.....................\n",
       " I-526 Immigrant Petition by Alien Entrepreneur..           1,500           3,675           2,175             145\n",
       " I-539 Application to Extend/Change Nonimmigrant              290             370              80              28\n",
       "  Status.........................................\n",
       " I-600/600A/800/800A Orphan Petitions............             720             775              55               8\n",
       " I-601A Application for Provisional Unlawful                  585             630              45               8\n",
       "  Presence Waiver................................\n",
       " I-687 Application for Status as a Temporary                1,130           1,130               0               0\n",
       "  Resident under Section 245A of the Immigration\n",
       "  and Nationality Act............................\n",
       " I-690 Application for Waiver of Grounds of                   200             715             515             258\n",
       "  Inadmissibility................................\n",
       " I-694 Notice of Appeal of Decision..............             755             890             135              18\n",
       " I-698 Application to Adjust Status From                    1,020           1,670             650              64\n",
       "  Temporary to Permanent Resident (Under Section\n",
       "  245A of the INA)...............................\n",
       " I-751 Petition to Remove Conditions on Residence             505             595              90              18\n",
       " I-765 Application for Employment Authorization..             380             410              30               8\n",
       " I-800A Supp. 3 Request for Action on Approved                360             385              25               7\n",
       "  Form I-800A....................................\n",
       " I-817 Application for Family Unity Benefits.....             435             600             165              38\n",
       " I-824 Application for Action on an Approved                  405             465              60              15\n",
       "  Application or Petition........................\n",
       " I-829 Petition by Entrepreneur to Remove                   3,750           3,750               0               0\n",
       "  Conditions.....................................\n",
       " I-910 Application for Civil Surgeon Designation.             615             785             170              28\n",
       " I-924 Application for Regional Center                      6,230          17,795          11,565             186\n",
       "  Designation Under the Immigrant Investor\n",
       "  Program........................................\n",
       " I-924A Annual Certification of Regional Center..               0           3,035           3,035             N/A\n",
       " I-929 Petition for Qualifying Family Member of a             215             230              15               7\n",
       "  U-1 Nonimmigrant...............................\n",
       " N-300 Application to File Declaration of                     250             270              20               8\n",
       "  Intention......................................\n",
       " N-336 Request for Hearing on a Decision in                   650             700              50               8\n",
       "  Naturalization Proceedings.....................\n",
       " N-400 Application for Naturalization............             595             640              45               8\n",
       " N-470 Application to Preserve Residence for                  330             355              25               8\n",
       "  Naturalization Purposes........................\n",
       " N-565 Application for Replacement Naturalization/            345             555             210              61\n",
       "  Citizenship Document...........................\n",
       " N-600/N-600K Application for Certificate of                  600           1,170             570              95\n",
       "  Citizenship....................................\n",
       " I-191, I-192, I-193, I-212, I-601, I-602, I-612              585             930             345              59\n",
       "  Waiver Forms...................................\n",
       " USCIS Immigrant Fee.............................             165             220              55              33\n",
       " Biometric Services..............................              85              85               0               0\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       " X. Statutory and Regulatory Reviews\n",
       " \n",
       " A. Regulatory Flexibility Act\n",
       " \n",
       "     In accordance with the RFA, 5 U.S.C. 601(6), USCIS examined the \n",
       " impact of this rule on small entities. A small entity may be a small \n",
       " business (defined as any independently owned and operated business not \n",
       " dominant in its field that qualifies as a small business per the Small \n",
       " Business Act, 15 U.S.C. 632), a small not-for-profit organization, or a \n",
       " small governmental jurisdiction (locality with fewer than 50,000 \n",
       " people). Below is a summary of the small entity analysis. A more \n",
       " detailed analysis is available in the rulemaking docket at <a href=\"http://www.regulations.gov\">http://www.regulations.gov</a>.\n",
       "     Individuals rather than entities submit the majority of immigration \n",
       " and naturalization benefit applications and petitions. Entities that \n",
       " would be affected by this rule are those that file and pay the fees for \n",
       " certain immigration benefit applications and petitions. There are four \n",
       " categories of USCIS benefits that are subject to a RFA analysis for \n",
       " this rule: Petition for a Nonimmigrant Worker, Form I-129; Immigrant \n",
       " Petition for an Alien Worker, Form I-140; Application for Civil Surgeon \n",
       " Designation, Form I-910; and the Application for Regional Center \n",
       " Designation Under the Immigrant Investor Program, Form I-924.\\77\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\77\\ Also captured in the dataset for Form I-924 is the \n",
       " Supplement Form I-924A, which regional centers must file annually to \n",
       " certify their continued eligibility for regional center designation.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS does not believe that the increase in fees proposed in this \n",
       " rule will have a significant economic impact on a substantial number of \n",
       " small entities that are filing Form I-129, Form I-140, or Form I-910. \n",
       " However, DHS does not have sufficient data on the revenue collected \n",
       " through administrative fees by regional centers to definitively \n",
       " determine the economic impact on small entities that may file Form I-\n",
       " 924.\n",
       " \n",
       " [[Page 26928]]\n",
       " \n",
       " DHS requests any data that would help to further assess the impact on \n",
       " small entities in the regional centers. DHS is publishing the initial \n",
       " regulatory flexibility analysis to aid the public in commenting on the \n",
       " small entity impact of its proposed adjustment to the USCIS Fee \n",
       " Schedule.\n",
       " 1. A Description of the Reasons Why the Action by the Agency Is Being \n",
       " Considered\n",
       "     DHS proposes to adjust certain immigration and naturalization \n",
       " benefit request fees charged by USCIS. USCIS has determined that \n",
       " current fees do not recover the full costs of services provided. As \n",
       " USCIS is nearly fully funded by fees, adjustment to the fee schedule is \n",
       " necessary to recover costs and maintain adequate service.\n",
       " 2. A Succinct Statement of the Objectives of, and Legal Basis for, the \n",
       " Proposed Rule\n",
       "     DHS's objectives and legal authority for this proposed rule are \n",
       " discussed in Section III of this preamble.\n",
       " 3. A Description and, Where Feasible, an Estimate of the Number of \n",
       " Small Entities to Which the Proposed Rule Will Apply\n",
       "     Entities affected by this rule are those that file and pay fees for \n",
       " certain immigration benefit applications and petitions on behalf of a \n",
       " foreign national. These applications include Petition for Nonimmigrant \n",
       " Worker, Form I-129; Immigrant Petition for Alien Worker, Form I-140; \n",
       " Civil Surgeon Designation, Form I-910; and Application for Regional \n",
       " Center Designation Under the Immigrant Investor Program, Form I-924. \n",
       " Annual numeric estimates of small entities affected by this fee \n",
       " increase total (in parentheses): Form I-129 (70,211), Form I-140 \n",
       " (17,812), Form I-910 (589), and Form I-924 (412).\n",
       "     This rule applies to small entities including businesses, non-\n",
       " profit organizations, and governmental jurisdictions filing for the \n",
       " above benefits. Form I-129 and Form I-140 will see a number of industry \n",
       " clusters affected by this rule (see Appendix A of the Small Entity \n",
       " Analysis for a list of industry codes). The fee for civil surgeon \n",
       " designation will apply to physicians requesting such designation. \n",
       " Finally, the Form I-924 will apply to any entity requesting approval \n",
       " and designation as a regional center under the Immigrant Investor \n",
       " Program or filing an amendment to an approved regional center \n",
       " application. Also captured in the dataset for Form I-924 is the \n",
       " Supplement Form I-924A, which regional centers must file annually to \n",
       " certify their continued eligibility for regional center designation.\n",
       " a. Petition for a Nonimmigrant Worker, Form I-129\n",
       "     USCIS proposes to increase the fee for the Petition for a \n",
       " Nonimmigrant Worker, Form I-129, from $325 to $460, a $135 (42 percent) \n",
       " increase. Using a 12-month period of data on filings of Form I-129 from \n",
       " September 1, 2014 to August 31, 2015, USCIS collected internal data for \n",
       " each filing organization including the name, Employer Identification \n",
       " Number, city, state, ZIP code, and number/type of filings. Each entity \n",
       " may make multiple filings; for instance, there were 482,190 Form I-129 \n",
       " petitions, but only 84,490 unique entities that filed those petitions. \n",
       " Since the filing statistics do not contain information such as the \n",
       " revenue of the business, USCIS looked for this information by \n",
       " researching databases from third-party sources. USCIS used the \n",
       " subscription-based online database from Hoover's, as well as three \n",
       " open-access databases from Manta, Cortera, and Guidestar, to help \n",
       " determine an organization's small entity status and apply Small \n",
       " Business Administration size standards.\n",
       "     USCIS devised a methodology to conduct the small entity analysis \n",
       " based on a representative sample of the affected population for each \n",
       " form. To achieve a 95 percent confidence level and a 5 percent \n",
       " confidence interval on a population of 84,490 unique entities for Form \n",
       " I-129, USCIS used the standard statistical formula to determine a \n",
       " minimum sample size of 382 entities was necessary. Based on past \n",
       " experience, USCIS expected to find about 40 to 50 percent of the filing \n",
       " organizations in the online subscription and public databases. \n",
       " Accordingly, USCIS selected a sample size approximately 40 percent \n",
       " larger than the minimum necessary in order to allow for non-matches \n",
       " (filing organizations that could not be found in any of the four \n",
       " databases). Therefore, USCIS conducted searches on 534 randomly \n",
       " selected entities from the population of 84,490 unique entities for \n",
       " Form I-129.\n",
       "     The 534 searches for Form I-129 resulted in 404 instances where the \n",
       " name of the filing organization was successfully matched in the \n",
       " databases and 130 instances where the name of the filing organization \n",
       " was not found in the databases. Based on previous experience conducting \n",
       " regulatory flexibility analyses, USCIS assumes filing organizations not \n",
       " found in the online database are likely to be small entities. Thus, in \n",
       " order not to underestimate the number of small entities affected by \n",
       " this rule, USCIS makes the conservative assumption to consider all of \n",
       " the non-matched entities as small entities for the purpose of this \n",
       " analysis. Among the 404 matches for Form I-129, 287 were determined to \n",
       " be small entities based on their reported revenue or employee count and \n",
       " their North American Industry Classification System (NAICS) code. \n",
       " Combining non-matches (130), matches missing data (27), and small \n",
       " entity matches (287), enables us to classify 444 of the 534 entities as \n",
       " small for Form I-129.\n",
       "     With an aggregated total of 444 out of a sample size of 534, DHS \n",
       " inferred that a majority, or 83.1 percent, of the entities filing Form \n",
       " I-129 petitions during the period were small entities. Furthermore, 284 \n",
       " of the 534 searched were small entities with the sales revenue data \n",
       " needed to estimate the economic impact of the proposed rule. Because \n",
       " these 284 small entities were a subset of the random sample of 534 \n",
       " searches, they were statistically significant in the context of this \n",
       " research. In order to calculate the economic impact of this rule, USCIS \n",
       " estimated the total costs associated with the proposed fee increase for \n",
       " each entity, divided by the sales revenue of that entity.\\78\\ Based on \n",
       " the proposed fee increase of $135 for Form I-129, this would amount to \n",
       " an average impact of 0.08 percent on all 284 small entities with \n",
       " reported revenue data.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\78\\ Total Cost to Entity = (Number of Petitions x $135)/Entity \n",
       " Sales Revenue.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In terms of range, among the 284 small entities with reported \n",
       " revenue data, all experienced an economic impact of considerably less \n",
       " than 1.0 percent in the analysis, with the exception of one entity. \n",
       " Using the above methodology, the greatest economic impact imposed by \n",
       " this fee change totaled 2.55 percent on that one entity and the \n",
       " smallest totaled 0.0001 percent.\n",
       "     The evidence suggests that the additional fee imposed by this rule \n",
       " does not represent a significant economic impact on these entities.\n",
       " b. Immigrant Petition for an Alien Worker, Form I-140\n",
       "     USCIS proposes to increase the fee for the Immigrant Petition for \n",
       " an Alien Worker, Form I-140, from $580 to $700, a $120 (21 percent) \n",
       " increase. Using a 12-month period of data on filings of Form I-140 \n",
       " petitions from September 1, 2014 to August 31, 2015, USCIS collected \n",
       " internal data similar to that of Form I-129. There were 101,245 Form I-\n",
       " 140 petitions, but only 23,284 unique entities that filed those \n",
       " petitions. Again, USCIS used the third party sources of\n",
       " \n",
       " [[Page 26929]]\n",
       " \n",
       " data mentioned previously to search for revenue and employee count \n",
       " information.\n",
       "     USCIS used the same methodology as with Form I-129 to conduct the \n",
       " small entity analysis based on a representative sample of the affected \n",
       " population. To achieve a 95 percent confidence level and a 5 percent \n",
       " confidence interval on a population of 23,284 unique entities for Form \n",
       " I-140, USCIS used the standard statistical formula to determine that a \n",
       " minimum sample size of 378 entities was necessary. Again, based on past \n",
       " experience, USCIS expected to find about 40 to 50 percent of the filing \n",
       " organizations in the online subscription and public databases. \n",
       " Accordingly, USCIS oversampled in order to allow for non-matches \n",
       " (filing organizations that could not be found in any of the four \n",
       " databases).\n",
       "     USCIS conducted searches on 514 randomly selected entities from the \n",
       " population of 23,284 unique entities for Form I-140. The 514 searches \n",
       " resulted in 430 instances where the name of the filing organization was \n",
       " successfully matched in the databases and 84 instances where the name \n",
       " of the filing organization was not found in the databases. Based on \n",
       " previous experience conducting regulatory flexibility analyses, USCIS \n",
       " assumes filing organizations not found in the online databases are \n",
       " likely to be small entities. In order not to underestimate the number \n",
       " of small entities affected by this rule, USCIS makes the conservative \n",
       " assumption to consider all of the non-matched entities as small \n",
       " entities for the purpose of this analysis. Among the 430 matches for \n",
       " Form I-140, 290 were determined to be small entities based on their \n",
       " reported revenue or employee count and their NAICS code. Combining non-\n",
       " matches (84), matches missing data (19), and small entity matches \n",
       " (290), enables us to classify 393 of 514 entities as small for Form I-\n",
       " 140.\n",
       "     With an aggregated total of 393 out of a sample size of 514, USCIS \n",
       " inferred that a majority, or 76.5 percent, of the entities filing Form \n",
       " I-140 petitions during the period were small entities. Furthermore, 287 \n",
       " of the 514 searched were small entities with the sales revenue data \n",
       " needed in order to estimate the economic impact of the proposed rule. \n",
       " Because these 287 small entities were a subset of the random sample of \n",
       " 514 searches, they were statistically significant in the context of \n",
       " this research. Similar to Form I-129, DHS estimated the total costs \n",
       " associated with the proposed fee increase for each entity, divided by \n",
       " the sales revenue of that entity in order to calculate the economic \n",
       " impact of this rule.\n",
       "     Among the 287 small entities with reported revenue data, all \n",
       " experienced an economic impact considerably less than 1.0 percent in \n",
       " the analysis. Using the above methodology, the greatest economic impact \n",
       " imposed by this fee change totaled 0.68 percent and the smallest \n",
       " totaled 0.000002 percent. The average impact on all 287 small entities \n",
       " with revenue data was 0.04 percent.\n",
       "     The evidence suggests that the additional fee imposed by this rule \n",
       " does not represent a significant economic impact on these entities.\n",
       "     Additionally, USCIS analyzed any cumulative impacts to Form I-129 \n",
       " and Form I-140, as well the individual analyses. USCIS wanted to \n",
       " determine if there were cumulative impacts when the forms were analyzed \n",
       " together. USCIS isolated those entities that overlapped in both samples \n",
       " of Forms I-129 and I-140 by EIN. Only 3 entities had EINs that \n",
       " overlapped in both samples. Of these 3 entities, 2 of them were small \n",
       " entities and 1 was not a small entity. Only 1 entity submitted multiple \n",
       " Form I-129 petitions, while all 3 entities submitted multiple Form I-\n",
       " 140 petitions. Due to little overlap in entities in the samples and the \n",
       " relatively minor impacts on revenue of fee increases of Forms I-129 and \n",
       " I-140, USCIS does not expect the combined impact of these two forms to \n",
       " be an economically significant burden on a substantial number of small \n",
       " entities.\n",
       " c. Application for Civil Surgeon Designation, Form I-910\n",
       "     USCIS proposes to increase the fee for the Application for Civil \n",
       " Surgeon Designations, Form I-910, from $615 to $785, a $170 (28 \n",
       " percent) increase. Using a 12-month period of August 1, 2014 to July \n",
       " 31, 2015, USCIS collected internal data on the applicants. There were \n",
       " 719 Form I-910 applications, but only 602 unique entities that filed \n",
       " such applications. Again, USCIS used third party sources of data \n",
       " mentioned previously to search for revenue and employee count \n",
       " information.\n",
       "     Using the same methodology as with Form I-129 and Form I-140, USCIS \n",
       " conducted the small entity analysis based on a representative sample, \n",
       " with a 95 percent confidence level and a 5 percent confidence interval, \n",
       " of the population of 602 unique entities for Form I-910. USCIS \n",
       " determined that a minimum sample size of 235 entities was necessary. \n",
       " USCIS oversampled and conducted searches on 329 randomly selected \n",
       " entities for Form I-910.\n",
       "     The 329 searches for Form I-910 resulted in 252 instances where the \n",
       " name of the filing organization was successfully matched in the \n",
       " databases and 77 instances where the name of the filing organization \n",
       " was not found in the databases. USCIS assumed again that filing \n",
       " organizations not found in the online databases are likely to be small \n",
       " entities, so USCIS considered all of the non-matched entities as small \n",
       " entities for the purpose of this analysis. Among the 252 matches for \n",
       " Form I-910, 240 were determined to be small entities based on their \n",
       " reported revenue or employee count and their NAICS code. Combining non-\n",
       " matches (77), matches missing data (5), and small entity matches (240), \n",
       " USCIS classified 322 of 329 entities as small for Form I-910.\n",
       "     With an aggregated total of 322 out of a sample size of 329, USCIS \n",
       " inferred that a majority, or 97.9 percent, of the entities filing Form \n",
       " I-910 applications were small entities. Furthermore, 238 of the 329 \n",
       " entities searched were small entities with the sales revenue data \n",
       " needed in order to estimate the economic impact of the proposed rule. \n",
       " Because these 238 small entities were a subset of the random sample of \n",
       " 329 searches, they were statistically significant in the context of \n",
       " this research.\n",
       "     Similar to Form I-129 and Form I-140, USCIS estimated the total \n",
       " costs associated with the proposed fee increase for each entity. Among \n",
       " the 238 small entities with reported revenue data, all experienced an \n",
       " economic impact considerably less than 1.0 percent in the analysis. The \n",
       " greatest economic impact imposed by this fee change totaled 0.61 \n",
       " percent and the smallest totaled 0.00002 percent. The average impact on \n",
       " all 238 small entities with revenue data was 0.09 percent.\n",
       "     The evidence suggests that the additional fee imposed by this rule \n",
       " does not represent a significant economic impact on these entities.\n",
       " d. Regional Center Designation Under the Immigrant Investor Program, \n",
       " Form I-924 and I-924A\n",
       "     Congress created the EB-5 Program in 1990 under section 203(b)(5) \n",
       " of the INA to stimulate the U.S. economy through job creation and \n",
       " capital investment by foreign investors. Foreign investors have the \n",
       " opportunity to obtain lawful permanent residence in the United States \n",
       " for themselves, their spouses, and their minor unmarried children \n",
       " through a certain level of capital investment and associated job \n",
       " creation or preservation. There are two distinct EB-5 pathways for a \n",
       " foreign investor to gain lawful permanent residence: the Basic Program \n",
       " and the Regional Center Program. Both options require a capital \n",
       " investment from the foreign investor in a new commercial enterprise \n",
       " located within\n",
       " \n",
       " [[Page 26930]]\n",
       " \n",
       " the United States. The capital investment amount is generally set at \n",
       " $1,000,000, but may be reduced to $500,000 if the investment is made in \n",
       " a ``Targeted Employment Area.''\n",
       "     A regional center is an economic entity, public or private, that \n",
       " promotes economic growth, regional productivity, job creation, and \n",
       " increased domestic capital investment. Regional centers pool funds into \n",
       " development loans or equity for commercial space and real estate \n",
       " development projects. As of January 4, 2016, there were 790 USCIS-\n",
       " approved regional centers.\\79\\ Entities seeking designation as regional \n",
       " centers file Form I-924 along with supporting materials. Approved \n",
       " regional centers are currently required to file the Supplement to Form \n",
       " I-924, Form I-924A, annually to demonstrate continued eligibility for \n",
       " regional center designation. DHS is proposing to change the name of the \n",
       " Form I-924A annual filing to ``Annual Certification of Regional \n",
       " Center''.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\79\\ USCIS Immigrant Investor Regional Centers: <a href=\"http://www.uscis.gov/working-united-states/permanent-workers/employment-based-immigration-fifth-preference-eb-5/immigrant-investor-regional-centers#table\">http://www.uscis.gov/working-united-states/permanent-workers/employment-based-immigration-fifth-preference-eb-5/immigrant-investor-regional-centers#table</a>.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS proposes to increase the fee for the Application for Regional \n",
       " Center Designation Under the Immigrant Investor Program, Form I-924, \n",
       " from $6,230 to $17,795, an $11,565 (186 percent) increase. \n",
       " Additionally, DHS proposes to introduce a filing fee of $3,035 for Form \n",
       " I-924A. In proposing to establish this fee, DHS would also clarify the \n",
       " related regulations that provide for the annual regional center review \n",
       " related to Form I-924A. Currently, there is no procedure for regional \n",
       " centers seeking to withdraw their designation and discontinue their \n",
       " participation in the program. Formal termination is currently processed \n",
       " by USCIS issuing a Notice of Intent to Terminate and a subsequent \n",
       " termination notice. The proposed withdrawal procedure would allow a \n",
       " regional center to proactively request withdrawal without the need for \n",
       " the more formal notices sent out by USCIS. This proposed procedure \n",
       " would reduce administrative costs and time for the Department, while \n",
       " timely clarifying status to the requesting regional center. Over a 13-\n",
       " month period of August 1, 2014 through August 31, 2015, USCIS received \n",
       " a total of 412 Form I-924 applications.\\80\\ These applications include \n",
       " the request for newly designated regional centers, as well as requests \n",
       " for continued designation for existing regional centers.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\80\\ Supplemental Form I-924A (Supplement to Form I-924) is \n",
       " captured in this dataset.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS was not able to determine the numbers of regional centers that \n",
       " would be considered small entities. Regional centers are difficult to \n",
       " assess because there is a lack of official data on employment, income, \n",
       " and industry classification for these entities. Regional centers also \n",
       " pose a challenge for analysis as their structure is often complex and \n",
       " can involve many related business and financial activities not directly \n",
       " involved with EB-5 activities. Regional centers can be made up of \n",
       " several layers of business and financial activities that focus on \n",
       " matching foreign investor funds to development projects to capture \n",
       " above market return differentials. While USCIS attempted to treat the \n",
       " regional centers similar to the other entities in this analysis, we \n",
       " were not able to identify most of the entities in any of the online \n",
       " databases. Furthermore, while regional centers are an integral \n",
       " component of the EB-5 program, DHS does not collect data on the \n",
       " administrative fees the regional centers charge to the foreign \n",
       " investors who are investing in one of their projects. DHS did not focus \n",
       " on the bundled capital investment amounts (either $1 million or \n",
       " $500,000 per investor) that the regional center invests into a new \n",
       " commercial enterprise. Such investment amounts are not necessarily \n",
       " indicative of whether the regional center is appropriately \n",
       " characterized as a small entity for purposes of the RFA.\n",
       "     Due to the lack of regional center revenue data, DHS assumes \n",
       " regional centers collect revenue through the administrative fees \n",
       " charged to investors. Searching through several public Web sites, DHS \n",
       " gathers that administrative fees charged to investors could range \n",
       " between $30,000 and $100,000 per investor.\\81\\ DHS does not know the \n",
       " extent to which these regional centers can pass along the fee increases \n",
       " to the individual investors. Passing along the costs from this rule \n",
       " could reduce or eliminate the economic impacts to the regional centers. \n",
       " While DHS cannot definitively claim there is no significant economic \n",
       " impact to these small entities based on existing information, DHS would \n",
       " assume existing regional centers that have revenues equal to or less \n",
       " than $303,500 per year \\82\\ (some of which we assume would be derived \n",
       " from administrative fees charged to individual investors) could \n",
       " experience a significant economic impact if we assume a fee increase \n",
       " that represents 1% of annual revenue is a ``significant'' economic \n",
       " burden under the RFA. DHS also assumes newly designated regional \n",
       " centers that have revenues equal to or less than $1,779,500 per year \n",
       " \\83\\ could also experience a significant impact. DHS was able to obtain \n",
       " some sample data on 440 regional centers operating 5,886 projects. \n",
       " These 5,886 projects had a total of 54,506 investors, averaging 124 \n",
       " investors per regional center.\\84\\ Assuming an average of 124 investors \n",
       " is a representative proxy of the regional centers, and that $30,000 is \n",
       " the minimum administrative fee charged by regional centers, then such \n",
       " fees would represent approximately $3,720,000 in revenue. In that case, \n",
       " the proposed filing fee increase for Form I-924 and the creation of a \n",
       " new fee for Form I-924A would not cause a significant economic impact \n",
       " to these entities. DHS requests information from the public on data \n",
       " sources on the average revenues collected by regional centers in the \n",
       " form of administrative fees and the extent to which regional centers \n",
       " may pass along the fee increases to the individual investors.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\81\\ Yen, Christine et al., ``A Report on Source of Funds: \n",
       " Perils of the Administrative Fee.'' EB5 Investors Magazine (Aug. 20, \n",
       " 2015), available at: <a href=\"http://www.eb5investors.com/magazine/article/A-Report-on-Source-of-Funds\">http://www.eb5investors.com/magazine/article/A-Report-on-Source-of-Funds</a>. See also Green, Merritt. ``The Costs of \n",
       " an EB-5 Regional Center Project Investment.'' (June 27, 2014), \n",
       " available at: <a href=\"http://www.generalcounsellaw.com/the-cost-of-an-eb-5-regional-center-project-investment/\">http://www.generalcounsellaw.com/the-cost-of-an-eb-5-regional-center-project-investment/</a>.\n",
       "     \\82\\ Calculation: 1 percent of $303,500 = $3,035 (the new \n",
       " proposed fee for Form I-924A).\n",
       "     \\83\\ Calculation: 1 percent of $1,779,500 = $17,995 (the new \n",
       " proposed fee for Form I-924).\n",
       "     \\84\\ Department of Homeland Security, USCIS, Immigrant Investor \n",
       " Program Office.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " 4. A Description of the Projected Reporting, Recordkeeping, and Other \n",
       " Compliance Requirements of the Proposed Rule, Including an Estimate of \n",
       " the Classes of Small Entities That Will Be Subject to the Requirement \n",
       " and the Types of Professional Skills Necessary for Preparation of the \n",
       " Report or Record\n",
       "     The proposed rule does not directly impose any new or additional \n",
       " ``reporting'' or ``recordkeeping'' requirements on filers of Forms I-\n",
       " 129, I-140, I-910, or I-924 other than the fee adjustments. The \n",
       " proposed rule does not require any new professional skills for \n",
       " reporting.\n",
       " 5. An Identification, to the Extent Practicable, of All Relevant \n",
       " Federal Rules That May Duplicate, Overlap, or Conflict With the \n",
       " Proposed Rule\n",
       "     DHS is unaware of any duplicative, overlapping, or conflicting \n",
       " federal rules, but invites any comment and information regarding any \n",
       " such rules.\n",
       " \n",
       " [[Page 26931]]\n",
       " \n",
       " 6. Description of Any Significant Alternatives to the Proposed Rule \n",
       " That Accomplish the Stated Objectives of Applicable Statutes and That \n",
       " Minimize Any Significant Economic Impact of the Proposed Rule on Small \n",
       " Entities Including Alternatives Considered Such as:\n",
       "     (1) Establishment of differing compliance or reporting requirements \n",
       " or timetables that take into account the resources available to small \n",
       " entities;\n",
       "     (2) Clarification, consolidation, or simplification of compliance \n",
       " and reporting requirements under the rule for such small entities;\n",
       "     (3) Use of performance rather than design standards; and\n",
       "     (4) Any exemption from coverage of the rule, or any part thereof, \n",
       " for such small entities.\n",
       "     The INA provides for the collection of fees at a level that will \n",
       " ensure recovery of the full costs of providing adjudication and \n",
       " naturalization services, including services provided without charge to \n",
       " those eligible for fee waivers and exemptions. DHS funds the costs of \n",
       " providing services without charge by using a portion of the filing fees \n",
       " that are collected for other immigration benefits. Without an increase \n",
       " in fees, USCIS will be unable to maintain the level of service for \n",
       " immigration and naturalization benefits as it now provides. DHS \n",
       " considered the alternative of maintaining fees at the current level but \n",
       " with reduced services and increased processing times, but has decided \n",
       " that this would not be in the interest of applicants and petitioners. \n",
       " While most immigration benefit fees are paid by individuals, as \n",
       " described above, some also apply to small entities. USCIS seeks to \n",
       " minimize the impact on all parties, but in particular small entities. \n",
       " Another alternative would be to maintain fees at their current level \n",
       " for small entities. This alternative would avoid additional fee-burdens \n",
       " on small entities; however, small entities would experience negative \n",
       " effects due to the service reductions that would result in the absence \n",
       " of the fee adjustments proposed in this rule.\n",
       "     Without the fee adjustments proposed in this rule, significant \n",
       " operational changes would be necessary. Given current filing volume and \n",
       " other economic considerations, USCIS requires additional revenue to \n",
       " prevent immediate and significant cuts in planned spending. These \n",
       " spending cuts would include reductions in areas such as federal and \n",
       " contract staff, infrastructure spending on information technology and \n",
       " facilities, and training. Depending on the actual level of workload \n",
       " received, these operational changes would result in longer processing \n",
       " times, a degradation in customer service, and reduced efficiency over \n",
       " time. These cuts would ultimately represent an increased cost to small \n",
       " entities by causing delays in benefit processing and reductions in \n",
       " customer service.\n",
       " 7. DHS Seeks Public Comment on the Following Questions\n",
       "     <bullet> Please provide comment on the numbers of small entities \n",
       " that may be affected by this rulemaking.\n",
       "     <bullet> Please provide comment on any or all of the provisions in \n",
       " the proposed rule with regard to the economic impact of this rule, \n",
       " paying specific attention to the effect of the rule on small entities \n",
       " in light of the above analysis, as well as the full analysis on \n",
       " <a href=\"http://regulations.gov\">regulations.gov</a>.\n",
       "     <bullet> Please provide comment on any significant alternatives DHS \n",
       " should consider instead of the changes proposed by this rule.\n",
       "     <bullet> Please describe ways in which the rule could be modified \n",
       " to reduce burdens for small entities consistent with the INA and the \n",
       " CFO Act of 1990 requirements.\n",
       "     <bullet> Please identify all relevant federal, state or local rules \n",
       " that may duplicate, overlap or conflict with the proposed rule.\n",
       " \n",
       " B. Unfunded Mandates Reform Act\n",
       " \n",
       "     The Unfunded Mandates Reform Act of 1995 (UMRA) requires certain \n",
       " actions to be taken before an agency promulgates any proposed or final \n",
       " rule ``that is likely to result in promulgation of any rule that \n",
       " includes any Federal mandate that may result in the expenditure by \n",
       " State, local, and Tribal governments, in the aggregate, or by the \n",
       " private sector, of $100 million or more (adjusted annually for \n",
       " inflation) in any one year.\\85\\ While this rule may result in the \n",
       " expenditure of more than $100 million by the private sector annually, \n",
       " the rulemaking is not a ``Federal mandate'' as defined for UMRA \n",
       " purposes,\\86\\ as the payment of immigration benefit fees by individuals \n",
       " or other private sector entities is, to the extent it could be termed \n",
       " an enforceable duty, one that arises from participation in a voluntary \n",
       " Federal program, applying for immigration status in the United \n",
       " States.\\87\\ Therefore, no actions were deemed necessary under the \n",
       " provisions of the UMRA.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\85\\ See 2 U.S.C. 1532(a).\n",
       "     \\86\\ See 2 U.S.C. 658(6).\n",
       "     \\87\\ See 2 U.S.C. 658(7)(A)(ii).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " C. Small Business Regulatory Enforcement Fairness Act\n",
       " \n",
       "     This rulemaking is a major rule as defined by section 804 of the \n",
       " Small Business Regulatory Enforcement Act of 1996. This rulemaking will \n",
       " result in an annual effect on the economy of more than $100,000,000 in \n",
       " order to generate the revenue necessary to fully fund the increased \n",
       " cost associated with the processing of immigration benefit applications \n",
       " and petitions and associated support benefits; the full cost of \n",
       " providing similar benefits to asylum and refugee applicants at no \n",
       " charge; and the full cost of providing similar benefits to other \n",
       " immigrants, as specified in the proposed regulation, at no charge. The \n",
       " increased costs would be recovered through the fees charged for various \n",
       " immigration benefit requests.\n",
       " \n",
       " D. Congressional Review Act\n",
       " \n",
       "     The Congressional Review Act (5 U.S.C. 801 et seq.) requires rules \n",
       " to be submitted to Congress before taking effect. If implemented as \n",
       " proposed, we will submit to Congress and the Comptroller General of the \n",
       " United States a report regarding the issuance of the final rule prior \n",
       " to its effective date, as required by 5 U.S.C. 801.\n",
       " \n",
       " E. Executive Orders 12866 and 13563 (Regulatory Planning and Review)\n",
       " \n",
       " 1. Background and Purpose of the Proposed Rule\n",
       "     Executive Orders 12866 and 13563 direct agencies to assess the \n",
       " costs and benefits of available alternatives, and if regulation is \n",
       " necessary, to select regulatory approaches that maximize net benefits \n",
       " (including potential economic, environmental, public health and safety \n",
       " effects, distributive impacts, and equity). Executive Order 13563 \n",
       " emphasizes the importance of quantifying both costs and benefits, of \n",
       " reducing costs, of harmonizing rules, and of promoting flexibility. \n",
       " This proposed rule has been designated an ``economically significant \n",
       " regulatory action'' under section 3(f)(1) of Executive Order 12866. \n",
       " Accordingly, OMB has reviewed the proposed rule.\n",
       "     USCIS projects an annual budget of $3.038 billion in FY 2016/FY \n",
       " 2017, a $767 million (34 percent) increase over the FY 2010/FY2011 Fee \n",
       " Review-adjusted annual budget of $2.271 billion. The implementation of \n",
       " this proposed rule would provide USCIS with an average of $546 million \n",
       " in FY 2016 and FY 2017 annual fee revenue above the FY 2010/FY 2011 \n",
       " levels, based on a projected annual fee-paying volume of 4.9 million \n",
       " immigrant benefit requests and 2.6 million requests for\n",
       " \n",
       " [[Page 26932]]\n",
       " \n",
       " biometric services. USCIS would use this increase in revenue under \n",
       " subsections 286(m) and (n) of the INA, 8 U.S.C. 1356(m) and (n), to \n",
       " fund the full costs of processing immigration benefit requests and \n",
       " associated support benefits; the full cost of providing similar \n",
       " benefits to asylum and refugee applicants at no charge; and the full \n",
       " cost of providing similar benefits to others at no charge.\n",
       "     If USCIS does not adjust the current fees to recover the full costs \n",
       " of processing immigration benefit requests, it would be forced to make \n",
       " reductions in services provided to applicants and petitioners. These \n",
       " would reverse the considerable progress USCIS has made over the last \n",
       " several years to reduce the backlogs of immigration benefit filings, to \n",
       " increase the integrity of the immigration benefit system, and to \n",
       " protect national security and public safety. The proposed revenue \n",
       " increase is based on USCIS costs and volume projections available at \n",
       " the time the rule was drafted. USCIS has placed in the rulemaking \n",
       " docket a detailed analysis that explains the basis for the annual fee \n",
       " increase. USCIS has included an accounting statement detailing the \n",
       " annualized costs of the proposed rule in Table 10 below.\n",
       " \n",
       "                              Table 10--Accounting Statement, FY 2016 Through FY 2017\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                Category                       Primary estimate                     Maximum estimate\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Benefits:\n",
       "                                       --------------------------------------------------------------------------\n",
       "     Un-quantified Benefits...........     Maintain current level of service with respect to processing times,\n",
       "                                                         customer service, and efficiency levels.\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Transfers:\n",
       "     Annualized Monetized Transfers at  $546,429,650                   $546,429,650.\n",
       "      3%.\n",
       "     Annualized Monetized Transfers at  $546,429,650                   $546,429,650.\n",
       "      7%.\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                Category                           Effects                               Source\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Effects on State, local, and/or        For those state, local, and/   NPRM, EO 12866/13563 Analysis.\n",
       "  tribal governments.                    or tribal governments that\n",
       "                                         submit petitions for\n",
       "                                         nonimmigrant and immigrant\n",
       "                                         workers, they would face an\n",
       "                                         increase in filing fees.\n",
       " Effects on small businesses..........  For those small businesses     NPRM, EO 12866/13563 Analysis, Small\n",
       "                                         that submit petitions for      Entity Analysis.\n",
       "                                         nonimmigrant and immigrant\n",
       "                                         workers, they would face an\n",
       "                                         increase in filing fees.\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " \n",
       " 2. Proposed Amendments and Impacts of Proposed Regulatory Change\n",
       "     This proposed rule is intended to adjust current fees to ensure \n",
       " that USCIS is able to recover the full costs of the immigration \n",
       " services it provides and maintain adequate service. In addition to \n",
       " increasing fees, USCIS proposes the following amendments: provisions \n",
       " that USCIS will reject an immigration benefit request paid with a \n",
       " dishonored check; provisions that USCIS will reject an application that \n",
       " does not include the required biometric services fee; the institution \n",
       " of a reduced fee for the Application for Naturalization, Form N-400; \n",
       " and provisions that fee refunds will be provided at USCIS discretion.\n",
       " a. Dishonored Payments\n",
       "     Earlier in this preamble USCIS explains its proposal to change how \n",
       " it will treat a benefit request accompanied by fee payment (in the form \n",
       " of check or other financial instrument) that is subsequently returned \n",
       " as not payable.\\88\\ Current regulations provide that when a check or \n",
       " other financial instrument used to pay a filing fee is subsequently \n",
       " returned as not payable, the remitter will be notified and requested to \n",
       " pay the filing fee and associated service charge within 14 calendar \n",
       " days, without extension.\\89\\ If the benefit request is pending and \n",
       " these charges are not paid within 14 days, the benefit request will be \n",
       " rejected as improperly filed. In addition, a receipt issued by a DHS \n",
       " officer for any remittance will not be binding upon DHS if the \n",
       " remittance is found uncollectable, and legal and statutory deadlines \n",
       " will not be deemed to have been met if payment is not made within 10 \n",
       " business days after notification by DHS of the dishonored check.\\90\\ In \n",
       " accordance with these provisions, when a payment is returned as not \n",
       " payable, USCIS places the immigration benefit request on hold, and \n",
       " suspends adjudication. If the check was dishonored or payment fails, \n",
       " USCIS assesses a $30 penalty and pursues the unpaid fee and penalty \n",
       " using administrative debt collection procedures.\\91\\ If payment is made \n",
       " within the allotted time, USCIS resumes processing the application or \n",
       " benefit request. If a payment is not corrected by the applicant, USCIS \n",
       " rejects the filing for nonpayment.\\92\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\88\\ USCIS proposes to immediately reject and not accept for \n",
       " processing any applications and petitions submitted with invalid \n",
       " payments, e.g. an unsigned check or invalid bank account on an \n",
       " electronic payment. The subsequent identification as not payable \n",
       " would occur when an attempt is made to process the payment through a \n",
       " bank, but the bank does not honor the payment, e.g. returned for \n",
       " insufficient funds.\n",
       "     \\89\\ See 8 CFR 103.2(a)(7)(ii).\n",
       "     \\90\\ See 8 CFR 103.2(a)(7)(ii), 103.7(a)(2).\n",
       "     \\91\\ See 8 CFR 103.7(a)(2).\n",
       "     \\92\\ See 8 CFR 103.2(a)(7)(ii).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     DHS proposes to eliminate provisions requiring that applications or \n",
       " petitions be held while deficient payments are corrected. Under the \n",
       " proposed amendment, if a check or other financial instrument used to \n",
       " pay a filing fee is subsequently returned as not payable, the benefit \n",
       " request will be rejected as improperly filed.\\93\\ If the benefit \n",
       " request was approved and finds payment to be deficient at a later time, \n",
       " the remitter will be requested to pay the filing fee plus the \n",
       " previously established $30 service charge within 14 calendar days, \n",
       " without extension.\\94\\ If these charges are not paid, the approval will \n",
       " be automatically rejected for nonpayment.\\95\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\93\\ See proposed 8 CFR 103.2(a)(7)(ii).\n",
       "     \\94\\ See proposed 8 CFR 103.7(a)(2).\n",
       "     \\95\\ Id.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     In order to get an estimate of the numbers of applicants who make a \n",
       " payment with a dishonored check or failed payment, USCIS analyzed the \n",
       " count of all returned and subsequently corrected payments of a credit \n",
       " card or check from fiscal years 2012 to 2015.\\96\\ In FY 2015, 10,818 \n",
       " payments were returned (Table 11). Of those 10,818\n",
       " \n",
       " [[Page 26933]]\n",
       " \n",
       " returned payments, 6,399 (59.2 percent) were later corrected. The \n",
       " average annual number of returned payments from FY 2012 to FY 2015 was \n",
       " 9,781 with an annual average of 6,478 payments (66.2 percent) later \n",
       " corrected. Assuming all included a current service fee of $30, the \n",
       " resulting total annual cost to applicants for returned payments is \n",
       " $293,430.\\97\\\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\96\\ Corrected payments include any payment collected by USCIS \n",
       " after the return of an initial payment.\n",
       "     \\97\\ Calculation: 9,781 (average number of returned payments) * \n",
       " $30 (current service fee charge) = $293,430 (total cost for returned \n",
       " payments).\n",
       " \n",
       "                Table 11--Count of Returned and Corrected Credit Card/Check Payments, FY 2012-2015\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       "                                                                                        Total       Percentage of\n",
       "                               Year                                Total returned     corrected       corrected\n",
       "                                                                      payments        payments        payments\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " 2015............................................................          10,818           6,399            59.2\n",
       " 2014............................................................           9,200           6,467            70.3\n",
       " 2013............................................................           9,785           6,496            66.4\n",
       " 2012............................................................           9,322           6,550            70.3\n",
       "     Average.....................................................           9,781           6,478            66.2\n",
       " ----------------------------------------------------------------------------------------------------------------\n",
       " Source: Department of Homeland Security, Immigration and Customs Enforcement, Burlington Finance Center.\n",
       " \n",
       "     The proposed provisions would require USCIS to reject these \n",
       " returned payments and associated benefit requests for nonpayment. The \n",
       " existing $30 service charge would continue to be imposed for benefit \n",
       " requests rejected when a financial institution does not honor a \n",
       " payment. USCIS anticipates that the prospect of rejection would \n",
       " encourage applicants to provide the correct filing fees at the time \n",
       " they submit an application or petition. However, USCIS recognizes that \n",
       " there would continue to be applicants who file an application with an \n",
       " incorrect fee and would be required to pay the $30 service fee. While \n",
       " USCIS knows currently this additional service fee averages to $293,430 \n",
       " for all applicants and anticipates it would be lower in the future, we \n",
       " do not have enough information at this time to estimate the degree of \n",
       " this decrease.\n",
       "     For applicants, filing fees are a required and fundamental aspect \n",
       " of the benefit being requested. By providing a 14-day window to correct \n",
       " for dishonored checks, the regulation currently permits a benefit \n",
       " request paid with a dishonored payment instrument to secure a place in \n",
       " line ahead of a benefit request that was accompanied by a proper \n",
       " payment, for what may be a time sensitive or numerically limited \n",
       " program. In all cases, rejected filings may be refiled immediately with \n",
       " the proper payment but there are some slight differences depending upon \n",
       " if the submission is paper-based or electronically filed. The USCIS \n",
       " online filing system will permit the rejected applications to remain \n",
       " accessible for the applicant to print and view. The original rejected \n",
       " electronic submission would not be available for resubmission with a \n",
       " new payment; however, the rejected submission may be used as a \n",
       " reference when a new application is being completed. In cases where the \n",
       " rejected submission is paper-based, the entire application/petition/\n",
       " request and supporting documentation are returned and can generally be \n",
       " refiled with the proper payment instrument.\n",
       "     The proposed amendments will provide several benefits to USCIS. \n",
       " First, USCIS currently clears payment checks via the ACH by converting \n",
       " checks to electronic payments. Because USCIS converts checks into ACH \n",
       " payments, there is currently little or no delay before USCIS knows \n",
       " whether the check is valueless. Thus, unlike in the past, USCIS would \n",
       " not begin adjudication until the check has cleared. USCIS benefits by \n",
       " streamlining the process for adjudicators to only begin work on those \n",
       " applications with properly filed fees, eliminating the need to hold \n",
       " applications. USCIS anticipates this streamlined process would help \n",
       " adjudicators to more efficiently process cases without the need to wait \n",
       " on payments. This change in process also provides parity to those \n",
       " applicants who file an application with the correct fees. In addition, \n",
       " the proposed amendments would lower USCIS administrative costs for \n",
       " holding and tracking applications and payments. The holding and \n",
       " tracking of applications requires physical storage space that would no \n",
       " longer be required with the proposed revisions. USCIS currently incurs \n",
       " administrative costs through tracking payments in postage costs and \n",
       " adjudicator time among other costs. USCIS recognizes the unique \n",
       " situation that these proposed changes may have on H-1B lottery \n",
       " regulations, which allow numbers available to petitions in the order in \n",
       " which the petitions are filed.\\98\\ The H-1B lottery regulations allow \n",
       " the final receipt date to be any of the first 5 business days on which \n",
       " petitions subject to the applicable numerical limit may be received. \n",
       " USCIS then will randomly apply all of the numbers among the petitions \n",
       " received on any of those 5 business days and conduct a random selection \n",
       " among the petitions subject to the exemption under section 214(g)(5)(C) \n",
       " of the Act first. Currently, petitions are still eligible for the H-1B \n",
       " lottery, despite having dishonored checks or failed payments as long as \n",
       " the payments are corrected within the provided 14-day or 10-day \n",
       " timeframe.\\99\\ These proposed changes, however, would remove these \n",
       " petitions from the H-1B lottery as the dishonored checks or failed \n",
       " payments would result in a rejected petition as improperly filed. USCIS \n",
       " does not have data at this time to estimate the impact on how many \n",
       " petitions may be affected by these proposed changes. USCIS is also \n",
       " unable to monetize the cost to the applicant of having a petition \n",
       " removed from the lottery. DHS requests comments on this impact.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\98\\ See 8 CFR 214.2(h)(8)(ii)(B).\n",
       "     \\99\\ See 8 CFR 103.2(a)(7)(ii).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " b. Failure To Pay the Biometrics Services Fees\n",
       "     DHS also proposes amendments to eliminate provisions governing non-\n",
       " payment of the biometric service fee. Currently, if a benefit request \n",
       " is received by DHS without the correct biometric service fee, USCIS \n",
       " will notify the applicant of the deficiency and take no further action \n",
       " on the benefit request until payment is received.\\100\\ Failure to \n",
       " submit the correct biometric service fee within the time allotted in \n",
       " the notice will result in denial of the benefit request. To comply with \n",
       " these provisions, if the biometrics services fee was required and is \n",
       " missing, USCIS places an application or petition on hold, and suspends \n",
       " adjudication. If payment is made within the allotted\n",
       " \n",
       " [[Page 26934]]\n",
       " \n",
       " time, USCIS resumes processing the benefit request. If the biometric \n",
       " fee is not paid, the benefit request is denied as abandoned.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\100\\ See 8 CFR 103.17(b)(1).\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     USCIS proposes to eliminate the provisions requiring that \n",
       " applications be held while deficient payments are corrected. USCIS is \n",
       " proposing that if a benefit request is received by USCIS without the \n",
       " correct biometric service fee, as specified in the form instructions, \n",
       " USCIS would reject the benefit request.\n",
       "     In order to analyze the number of people who do not pay the \n",
       " biometric fee, USCIS gathered 6 months of data from USCIS lockbox \n",
       " facilities.\\101\\ The data covers from June 1, 2015 to November 30, \n",
       " 2015. During this 6-month period, USCIS lockbox facilities accepted \n",
       " 1,196,134 applications. Of these, 4,963 (.41 percent) of applicants \n",
       " were issued a notice alerting the applicant that their biometric fees \n",
       " were missing. Assuming this 6-month trend is typical of the number of \n",
       " deficient biometric fee notices, the proposed new provision will affect \n",
       " less than 1 percent of all applications received at the USCIS lockbox \n",
       " facilities. As previously mentioned, rejected filings may be refiled \n",
       " immediately. While applicants do not incur monetary costs associated \n",
       " with the rejection of an application, reapplying for benefits with the \n",
       " correct fees requires time. Again, USCIS anticipates this new provision \n",
       " would encourage applicants to file with the appropriate fees.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\101\\ While USCIS prefers to base assumptions on a longer time \n",
       " period (ideally 5 years), 6 months was the longest time period for \n",
       " which this data was available.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     This change would streamline USCIS' process for handling \n",
       " applications and petitions when biometrics fees are not submitted when \n",
       " required. USCIS costs are reduced by eliminating the administrative \n",
       " handling costs associated with holding cases while biometric fees are \n",
       " collected.\n",
       " c. Reduced Fee for Application for Naturalization\n",
       "     The current fee for the Application for Naturalization, Form N-400, \n",
       " is $595. In most cases, applicants must also pay an $85 biometrics fee, \n",
       " so the total cost for most applicants is $680. If an applicant cannot \n",
       " pay the fee, he or she can file a Request for Fee Waiver, Form I-912, \n",
       " along with their Form N-400. USCIS considers anyone with a household \n",
       " income below 150 percent of the Federal Poverty Guidelines to be \n",
       " eligible for a fee waiver. If USCIS approves an applicant's fee waiver, \n",
       " both the $595 Form N-400 fee and the $85 biometrics fee, where \n",
       " applicable, are waived.\n",
       "     DHS proposes to increase the Form N-400 fee from $595 to $640, a \n",
       " $45 (8 percent) increase. The biometrics fee would remain unchanged at \n",
       " $85. Therefore, if the proposed fees are implemented, the new costs of \n",
       " Form N-400 plus the biometric fee would total $725. DHS also proposes \n",
       " an additional fee option for those non-military naturalization \n",
       " applicants with family incomes greater than 150 percent and not more \n",
       " than 200 percent of the Federal Poverty Guidelines. Specifically, DHS \n",
       " proposes that such applicants would receive a 50 percent discount and \n",
       " only be require to pay a filing fee of $320 for the N-400, plus an \n",
       " additional $85 for biometrics (for a total of $405). DHS proposes this \n",
       " reduced fee option to limit any potential economic disincentives that \n",
       " some eligible naturalization applicants may face when deciding whether \n",
       " or not to seek citizenship. The lower fee would help ensure that those \n",
       " who have worked hard to become eligible for naturalization are not \n",
       " limited by their economic means. In order to qualify for this fee, the \n",
       " eligible applicant will have to submit a newly proposed Request for \n",
       " Reduced Fee, Form I-942, along with their Form N-400. Form I-942 will \n",
       " require the names of everyone in the household and documentation of the \n",
       " household income to determine if the applicant's household income is \n",
       " greater than 150 and not more than 200 percent of the Federal Poverty \n",
       " Guidelines.\n",
       "     As described earlier in the preamble, USCIS estimates that \n",
       " approximately 11 percent of all Form N-400 applicants, excluding \n",
       " military applicants, could qualify for the reduced fee. Given the non-\n",
       " military Form N-400 volume projection estimate of 821,500 annually, \n",
       " over the biennial period, USCIS expects that 90,365 filers would be \n",
       " included in the population eligible for the fee reduction.\\102\\ While \n",
       " these 90,365 filers represent only the current number of applicants who \n",
       " would be eligible for the fee reduction, USCIS anticipates an increase \n",
       " in Form N-400 filings as a result of these proposed changes. USCIS \n",
       " anticipates that the reduced fee for applicants with qualifying incomes \n",
       " would remove economic barriers associated with the costs of associated \n",
       " fees and thus encourage more eligible applicants to file their Form N-\n",
       " 400 applications. While USCIS anticipates an increase in Form N-400 \n",
       " filings due to this proposed fee reduction, we cannot predict how many \n",
       " more eligible applicants would file their N-400 applications as a \n",
       " result at this time.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\102\\ Calculation: 821,500 * 11 percent.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     USCIS has factored the estimated revenue loss from this product \n",
       " line into its fee model, so those costs are reallocated over other fee \n",
       " paying benefit requests. While the costs of the reduced fee are being \n",
       " reallocated to other fee-paying customers, DHS believes the benefits of \n",
       " providing a means to promote citizenship among those with limited \n",
       " economic means outweighs the cost reallocation impacts.\n",
       "     As previously mentioned, an eligible applicant would have to submit \n",
       " a Form I-942 along with their N-400 application to qualify for this \n",
       " reduced fee. While USCIS is not imposing an additional fee for Form I-\n",
       " 942, we have estimated the opportunity cost of time to applicants to \n",
       " complete the form. The total opportunity cost of time for applicants \n",
       " would be $717,724, if all 90,365 eligible applicants apply for the \n",
       " reduced fee.\\103\\ The federal minimum wage rate\\104\\ of $7.25 was used \n",
       " as the hourly wage rate as the anticipated applicants are asserting \n",
       " they cannot afford to pay the full USCIS fee. The anticipated \n",
       " applicants are assumed to be from occupations having a less than \n",
       " average income. The Bureau of Labor Statistics (BLS) reports the \n",
       " average employer costs for employee compensation for all civilian \n",
       " workers in major occupational groups and industries. Using the most \n",
       " recent BLS report, DHS calculated a benefits-to-wage multiplier of 1.46 \n",
       " to estimate the full opportunity costs to applicants, including \n",
       " employee wages and salaries and the full costs of benefits such as paid \n",
       " leave, insurance, and retirement.\\105\\ In order to anticipate the full \n",
       " opportunity cost of time to applicants, we multiplied the federal \n",
       " minimum wage rate by 1.46 to account for the full cost of employee \n",
       " benefits for a total of $10.59. The time burden estimate was developed \n",
       " by USCIS with an average of 45 minutes (or .75 of an hour) to complete \n",
       " Form I-942. Therefore, the opportunity cost of time per petition is\n",
       " \n",
       " [[Page 26935]]\n",
       " \n",
       " $7.94.\\106\\ This additional burden is offset by the benefits received \n",
       " through a reduced fee.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       "     \\103\\ Total Opportunity Costs of Time to Applicants = Expected \n",
       " Filers (90,365) * (Full Cost of Employee Benefits ($10.59) * Time \n",
       " Burden (.75 hr.)).\n",
       "     \\104\\ U.S. Department of Labor, Wage and Hour Division. The \n",
       " minimum wage in effect as of January 20, 2016. Available at <a href=\"http://www.dol.gov/general/topic/wages/minimumwage\">http://www.dol.gov/general/topic/wages/minimumwage</a>.\n",
       "     \\105\\ The benefits-to-wage multiplier is calculated as follows: \n",
       " (All Workers Total Employee Compensation per hour)/(Wages and \n",
       " Salaries per hour). See Economic News Release, U.S. Department of \n",
       " Labor, Bureau of Labor Statistics, Table 1. Employer Costs per hour \n",
       " worked for employee compensation and costs as a percent of total \n",
       " compensation: Civilian workers, by major occupational and industry \n",
       " group (Sept. 2015), available at <a href=\"http://www.bls.gov/news.release/pdf/ecec.pdf\">http://www.bls.gov/news.release/pdf/ecec.pdf</a>.\n",
       "     \\106\\ Calculation: $10.59 hourly wage rate * .75 hour.\n",
       " ---------------------------------------------------------------------------\n",
       " \n",
       " d. Refunds\n",
       "     DHS is also proposing to amend regulations for fee refunds. In \n",
       " general, and except for a premium processing fee under 8 CFR \n",
       " 103.7(e)(2)(i), USCIS does not refund a fee regardless of the decision \n",
       " on the immigration benefit request. USCIS makes very rare exceptions \n",
       " when USCIS determines that an administrative error occurred resulting \n",
       " in the inadvertent collection of a fee. USCIS errors may include:\n",
       "     <bullet> Unnecessary filings. Cases in which USCIS (or DOS in the \n",
       " case of an immigration benefit request filed overseas) erroneously \n",
       " requests that an individual file an unnecessary form along with the \n",
       " associated fee; and\n",
       "     <bullet> Accidental Payments. Cases in which an individual pays a \n",
       " required fee more than once or otherwise pays a fee in excess of the \n",
       " amount due and USCIS (or the DOS in the case of an immigration benefit \n",
       " request filed overseas) erroneously accepts the erroneous fee.\n",
       "     DHS is proposing to codify into regulation the continuance of \n",
       " providing these refunds under circumstances where refunds are necessary \n",
       " due to obvious USCIS error. Under this proposal, individuals would \n",
       " continue to request a refund by the current process. The current \n",
       " process requires that an individual call the customer service line or \n",
       " submit a written request for a refund to the office having jurisdiction \n",
       " over the relevant immigration benefit request.\n",
       "     Any USCIS refunds provided are generally due to obvious USCIS \n",
       " errors resulting from system behavior issues or human error. The \n",
       " anticipation of future electronic filings also spurs the need for this \n",
       " provision. Currently, DHS provides fee refunds and amounts to \n",
       " applicants as shown in Table 12. Over the past 3 fiscal years, an \n",
       " annual average of 5,363 refunds were provided by USCIS, resulting in an \n",
       " average of $2.1 million refunded. This is approximately $396 per \n",
       " refund. These numbers and amounts of refunds do not include premium \n",
       " processing refunds regulated under 8 CFR 103.7(e)(2)(i). In the context \n",
       " of the number of fees collected by USCIS, this average amount of \n",
       " refunds is still less than 1 percent of the total fees collected.\n",
       " \n",
       "       Table 12--Amount and Number of Fee Refunds Provided by USCIS\n",
       " ------------------------------------------------------------------------\n",
       "                                                    Amount     Number of\n",
       "                   Fiscal year                     refunded     refunds\n",
       " ------------------------------------------------------------------------\n",
       " 2013..........................................   $2,674,290        7,405\n",
       " 2014..........................................    1,805,006        4,198\n",
       " 2015..........................................    1,890,638        4,485\n",
       " Average.......................................    2,123,311        5,363\n",
       " ------------------------------------------------------------------------\n",
       " Source: Department of Homeland Security, U.S. Immigration and Customs\n",
       "   Enforcement, Burlington Finance Center.\n",
       " \n",
       "     These proposed amendments would benefit applicants that might \n",
       " accidently submit payments twice. USCIS anticipates this to be a bigger \n",
       " issue as more forms and associated fees begin to be collected through \n",
       " electronic means. Applicants would recoup any fees that were submitted \n",
       " due to these electronic systems issues. USCIS would benefit by having \n",
       " clear regulatory authority to justify the few cases in which refunds \n",
       " are provided.\n",
       "     There may be some administrative costs associated with the issuance \n",
       " of refunds to USCIS, as well as some time burden costs to USCIS \n",
       " adjudicators who process these refund requests. It may be possible to \n",
       " see a potential increase initially in requests for refunds due to the \n",
       " visibility of this rule; however, USCIS does not anticipate a sustained \n",
       " increase as the parameters of the refunds issued are not proposed to be \n",
       " changed from current policy. There may also be a potential increase in \n",
       " the time burden costs for USCIS adjudicators due to potential initial \n",
       " increases in refund requests. USCIS does not have cost estimates at \n",
       " this time indicating the number of hours required to process and issue \n",
       " these refunds. There may also be some opportunity costs of time to \n",
       " applicants who submit a refund request; however, USCIS anticipates this \n",
       " cost is offset by the benefit gained in receiving a refund.\n",
       " \n",
       " F. Executive Order 13132 (Federalism)\n",
       " \n",
       "     This proposed rule will not have substantial direct effects on the \n",
       " states, on the relationship between the National Government and the \n",
       " States, or on the distribution of power and responsibilities among the \n",
       " various levels of government. Therefore, in accordance with section 6 \n",
       " of Executive Order 13132, it is determined that this proposed rule does \n",
       " not have sufficient federalism implications to warrant the preparation \n",
       " of a federalism summary impact statement.\n",
       " \n",
       " G. Executive Order 12988 (Civil Justice Reform)\n",
       " \n",
       "     This proposed rule meets the applicable standards set forth in \n",
       " sections 3(a) and 3(b)(2) of Executive Order 12988.\n",
       " \n",
       " H. Paperwork Reduction Act\n",
       " \n",
       "     Under the Paperwork Reduction Act of 1995, Public Law 104-13, 109 \n",
       " Stat. 163 (1995) (PRA), DHS is required to submit to OMB, for review \n",
       " and approval, any reporting or recordkeeping requirements inherent in a \n",
       " rule. USCIS is revising two information collections, adding a new \n",
       " information collection in association with this rulemaking action, and \n",
       " requesting public comments on the proposed information collection \n",
       " changes as follows: Application for Naturalization, Form N-400, to \n",
       " collect information necessary to document the applicant's eligibility \n",
       " for the reduced fee proposed in this rule at 8 CFR \n",
       " 103.7(b)(1)(i)(AAA)(1); Annual Certification of Regional Center, Form \n",
       " I-924A, and the Application for Regional Center Designation Under the \n",
       " Immigrant Investor Program, Form I-924, to add the instructions \n",
       " necessary to require the annual fee; and, Request for Reduced Fee, Form \n",
       " I-942, to document the applicant's eligibility for the reduced fee. DHS \n",
       " is requesting comments on the information collection changes included \n",
       " in this rulemaking. Comments on this revised information collection \n",
       " should address one or more of the following four points:\n",
       "     (1) Evaluate whether the collection of information is necessary for \n",
       " the proper performance of the functions of the agency, including \n",
       " whether the information will have practical utility;\n",
       "     (2) Evaluate the accuracy of the agency's estimate of the burden of \n",
       " the collection of information, including the validity of the \n",
       " methodology and assumptions used;\n",
       "     (3) Enhance the quality, utility, and clarity of the information to \n",
       " be collected; and\n",
       "     (4) Minimize the burden of the collection of information on those \n",
       " who are to respond, including through the use of appropriate automated, \n",
       " electronic, mechanical, or other technological collection techniques or \n",
       " other forms of information technology, such as permitting electronic \n",
       " submission of responses.\n",
       " \n",
       " Overview of Information Collection--Form N-400\n",
       " \n",
       "     a. Type of information collection: Revision of a Currently Approved \n",
       " Collection.\n",
       "     b. Abstract: USCIS uses the information gathered on Form N-400 to \n",
       " make a determination as to a respondent's eligibility to naturalize and \n",
       " become a U.S. citizen. USCIS is\n",
       " \n",
       " [[Page 26936]]\n",
       " \n",
       " proposing changes to the form instructions to notify the public of the \n",
       " information needed to document an applicant's eligibility for the \n",
       " proposed reduced fee.\n",
       "     c. Title of Form/Collection: Application for Naturalization.\n",
       "     d. Agency form number, if any, and the applicable component of the \n",
       " DHS sponsoring the collection: Form N-400; USCIS.\n",
       "     e. Affected public who will be asked or required to respond: \n",
       " Individuals or households.\n",
       "     f. An estimate of the total number of respondents: 830,673 \n",
       " respondents.\n",
       "     g. Hours per response: The estimated hour burden per response for \n",
       " the paper filing of the N-400 is 9.17 hours per response. The estimated \n",
       " hour burden per response for the electronic filing of the N-400 is 3.5 \n",
       " hours per response. The estimated hour burden per response for the \n",
       " biometric processing associated with the N-400 is 1.17 hours per \n",
       " response.\n",
       "     h. Total Annual Reporting Burden: 8,118,167 hours.\n",
       " \n",
       " Overview of Information Collection--Forms I-924 and I-924A\n",
       " \n",
       "     a. Type of information collection: Revision to a currently approved \n",
       " information collection.\n",
       "     b. Abstract: This collection is used to demonstrate a regional \n",
       " center's continued eligibility for regional center designation.\n",
       "     c. Title of Form/Collection: Application for Regional Center \n",
       " Designation Under the Immigrant Investor Program/Annual Certification \n",
       " of Regional Center.\n",
       "     d. Agency form number, if any, and the applicable component of the \n",
       " DHS sponsoring the collection: Form I-924 and Form I-924A; USCIS.\n",
       "     e. Affected public who will be asked or required to respond: \n",
       " Businesses or other for-profit Entities; or State, local or Tribal \n",
       " Government\n",
       "     f. An estimate of the total number of respondents:\n",
       "     <bullet> Form I-924--400 respondents.\n",
       "     <bullet> Form I-924A--882 respondents.\n",
       "     g. Hours per response: For Form I-924, 51 hours; and Form I-924A, \n",
       " 14 hours.\n",
       "     h. Total Annual Reporting Burden: 32,748 hours.\n",
       " \n",
       " Overview of Information Collection--Form I-942\n",
       " \n",
       "     a. Type of information collection: New information collection.\n",
       "     b. Abstract: This collection is used for an applicant to request a \n",
       " reduced fee and document that annual household income is between 150% \n",
       " and 200% of the FPG.\n",
       "     c. Title of Form/Collection: Request for Reduced Fee.\n",
       "     d. Agency form number, if any, and the applicable component of the \n",
       " DHS sponsoring the collection: Form I-942, USCIS.\n",
       "     e. Affected public who will be asked or required to respond: \n",
       " Individuals.\n",
       "     f. An estimate of the total number of respondents: 90,365 \n",
       " respondents.\n",
       "     g. Hours per response: .75 hours.\n",
       "     h. Total Annual Reporting Burden: 67,774 hours.\n",
       "     Comments concerning these collections and forms can be submitted to \n",
       " the Department of Homeland Security, U.S. Citizenship and Immigration \n",
       " Services, Office of Policy and Strategy, Chief, Regulatory Coordination \n",
       " Division, 20 Massachusetts Avenue NW., Washington, DC 20529-2020. \n",
       " Please include the OMB control number in the comment letter.\n",
       "     Please also submit comments on the forms to OMB by:\n",
       "     <bullet> Email: <a href=\"mailto:oira_submission@omb.eop.gov\">oira_submission@omb.eop.gov</a>;\n",
       "     <bullet> Facsimile at 202-395-7285, or;\n",
       "     <bullet> Mail: Desk Officer for USCIS, Office of Information and \n",
       " Regulatory Affairs, Office of Management and Budget, 725 17th St. NW., \n",
       " Washington, DC 20503\n",
       "     The changes to the proposed fees will require minor amendments to \n",
       " USCIS forms to reflect the new fees. The necessary changes to the \n",
       " annual cost burden and to the forms will be submitted to OMB when a \n",
       " final rule is submitted to OMB.\n",
       " \n",
       " List of Subjects\n",
       " \n",
       " 8 CFR Part 103\n",
       " \n",
       "     Administrative practice and procedures, Authority delegations \n",
       " (government agencies), Freedom of Information, Privacy, Reporting and \n",
       " recordkeeping requirements, and Surety bonds.\n",
       " \n",
       " 8 CFR Part 204\n",
       " \n",
       "     Administrative practice and procedure, Immigration, Reporting and \n",
       " recordkeeping requirements.\n",
       " \n",
       "     Accordingly, DHS proposes to amend chapter I of title 8 of the Code \n",
       " of Federal Regulations as follows:\n",
       " \n",
       " PART 103--IMMIGRATION BENEFITS; BIOMETRIC REQUIREMENTS; \n",
       " AVAILABILITY OF RECORDS\n",
       " \n",
       " 0\n",
       " 1. The authority citation for part 103 continues to read as follows:\n",
       " \n",
       "     Authority: 5 U.S.C. 301, 552, 552(a); 8 U.S.C. 1101, 1103, 1304, \n",
       " 1356; 31 U.S.C. 9701; Pub. L. 107-296, 116 Stat. 2135 (6 U.S.C. 1 et \n",
       " seq.); E.O. 12356, 47 FR 14874, 15557; 3 CFR, 1982 Comp., p. 166; 8 \n",
       " CFR part 2 ; Pub. L. 112-54.\n",
       " \n",
       " 0\n",
       " 2. Section 103.2 is amended by:\n",
       " 0\n",
       " a. Revising paragraph (a)(1);\n",
       " 0\n",
       " b. Revising paragraph (a)(7); and\n",
       " 0\n",
       " c. Revising paragraph (b)(9).\n",
       "     The revisions read as follows:\n",
       " \n",
       " \n",
       " Sec.  103.2  Submission and adjudication of benefit requests.\n",
       " \n",
       "     (a) * * *\n",
       "     (1) Preparation and submission. Every form, benefit request, or \n",
       " other document must be submitted to DHS and executed in accordance with \n",
       " the form instructions regardless of a provision of 8 CFR chapter I to \n",
       " the contrary. The form's instructions are hereby incorporated into the \n",
       " regulations requiring its submission. Each form, benefit request, or \n",
       " other document must be filed with the fee(s) required by regulation. \n",
       " Filing fees generally are non-refundable and, except as otherwise \n",
       " provided in this chapter I, must be paid when the benefit request is \n",
       " filed.\n",
       " * * * * *\n",
       "     (7) Benefit requests submitted. (i) USCIS will consider a benefit \n",
       " request received and will record the receipt date as of the actual date \n",
       " of receipt at the location designated for filing such benefit request \n",
       " whether electronically or in paper format.\n",
       "     (ii) A benefit request which is rejected will not retain a filing \n",
       " date. A benefit request will be rejected if it is not:\n",
       "     (A) Signed with valid signature;\n",
       "     (B) Executed;\n",
       "     (C) Filed in compliance with the regulations governing the filing \n",
       " of the specific application, petition, form, or request; and\n",
       "     (D) Submitted with the correct fee(s). If a financial instrument \n",
       " used to pay a fee is returned as unpayable, the filing will be rejected \n",
       " and a charge will be imposed in accordance with 8 CFR 103.7(a)(2).\n",
       "     (iii) A rejection of a filing with USCIS may not be appealed.\n",
       "     (b) * * *\n",
       "     (9) Appearance for interview or biometrics. USCIS may require any \n",
       " applicant, petitioner, sponsor, beneficiary, or individual filing a \n",
       " benefit request, or any group or class of such persons submitting \n",
       " requests, to appear for an interview and/or biometrics collection. \n",
       " USCIS may require the payment of the biometrics services fee in 8 CFR \n",
       " 103.7(b)(1)(i)(C) or that the individual obtain a fee waiver. Such \n",
       " appearance and fee may also be required by law, regulation, form \n",
       " instructions, or Federal Register notice applicable to the request \n",
       " type. USCIS will notify the affected person of the date, time and \n",
       " location of any required appearance under this paragraph. Any person \n",
       " required to appear under this paragraph\n",
       " \n",
       " [[Page 26937]]\n",
       " \n",
       " may, prior to the scheduled date and time of the appearance, either:\n",
       "     (i) Appear before the scheduled date and time;\n",
       "     (ii) For good cause, request that the biometric services \n",
       " appointment be rescheduled; or\n",
       "     (iii) Withdraw the benefit request.\n",
       " * * * * *\n",
       " 0\n",
       " 4. Section 103.7 is amended by revising paragraphs (a)(2) and (b)(1) to \n",
       " read as follows:\n",
       " \n",
       " \n",
       " Sec.  103.7  Fees.\n",
       " \n",
       " * * * * *\n",
       "     (a) * * *\n",
       "     (2) Remittances must be drawn on a bank or other institution \n",
       " located in the United States and be payable in United States currency. \n",
       " Remittances must be made payable in accordance with the guidance \n",
       " specific to the applicable U.S. Government office when submitting to a \n",
       " Department of Homeland Security office located outside of the United \n",
       " States. Remittances to the Board of Immigration Appeals must be made \n",
       " payable to the ``United States Department of Justice,'' in accordance \n",
       " with 8 CFR 1003.8. A charge of $30.00 will be imposed if a remittance \n",
       " in payment of a fee or any other matter is not honored by the bank or \n",
       " financial institution on which it is drawn. If the remittance is found \n",
       " uncollectible the provisions of 8 CFR 103.2(a)(7)(ii) apply, no receipt \n",
       " will be issued, and if a receipt was issued, it is void and the benefit \n",
       " request loses its receipt date.\n",
       "     (b) Amounts of fees. (1) Established fees and charges. (i) USCIS \n",
       " fees. A request for immigration benefits submitted to USCIS must \n",
       " include the required fee as established under this section. The fees \n",
       " established in this section are associated with the benefit, the \n",
       " adjudication, or the type of request and not solely determined by the \n",
       " form number listed below. The term ``form'' as defined in 8 CFR part 1, \n",
       " may include a USCIS-approved electronic equivalent of such form as \n",
       " USCIS may provide on its official Web site at <a href=\"http://www.uscis.gov\">http://www.uscis.gov</a>.\n",
       "     (A) Certification of true copies: $2.00 per copy.\n",
       "     (B) Attestation under seal: $2.00 each.\n",
       "     (C) Biometric services fee. For capturing, storing, and using \n",
       " biometric information (Biometric Fee). A service fee of $85 will be \n",
       " charged to pay for background checks and have their biometric \n",
       " information captured, stored, and used for any individual who is \n",
       " required to submit biometric information for an application, petition, \n",
       " or other request for certain immigration and naturalization benefits \n",
       " (other than asylum or refugee status) or actions. USCIS will not charge \n",
       " a biometric service fee when:\n",
       "     (1) An applicant under 8 CFR 204.3 submits to USCIS a written \n",
       " request for an extension of the approval period of an Application for \n",
       " Advance Processing of an Orphan Petition (``Application''), if the \n",
       " request is submitted before the approval period expires and the \n",
       " applicant has not yet filed a Petition to Classify Orphan as an \n",
       " Immediate Relative (``Petition'') in connection with the approved \n",
       " Application. The applicant may submit only one extension request \n",
       " without having to pay an additional biometric service fee. If the \n",
       " extension of the approval expires before the applicant files an \n",
       " associated Petition, then the applicant must file either a new \n",
       " Application or a Petition, and pay a new filing fee and a new biometric \n",
       " service fee.\n",
       "     (2) The application or petition fee for the associated request has \n",
       " been waived under paragraph (c) of this section; or\n",
       "     (3) The associated benefit request is one of the following:\n",
       "     (i) Application for Posthumous Citizenship, Form N-644;\n",
       "     (ii) Refugee/Asylee Relative Petition, Form I-730;\n",
       "     (iii) Application for T Nonimmigrant Status, Form I-914;\n",
       "     (iv) Petition for U Nonimmigrant Status, Form I-918;\n",
       "     (v) Application for Naturalization, Form N-400, by an applicant who \n",
       " meets the requirements of sections 328 or 329 of the Act with respect \n",
       " to military service under paragraph (b)(1)(i)(WW) of this section;\n",
       "     (vi) Application to Register Permanent Residence or Adjust Status, \n",
       " Form I-485, from an asylee under paragraph (b)(1)(i)(U) of this \n",
       " section;\n",
       "     (vii) Application To Adjust Status under Section 245(i) of the Act, \n",
       " Supplement A to Form I-485, from an unmarried child less than 17 years \n",
       " of age, or when the applicant is the spouse, or the unmarried child \n",
       " less than 21 years of age of a legalized foreign national and who is \n",
       " qualified for and has applied for voluntary departure under the family \n",
       " unity program from an asylee under paragraph (b)(1)(i)(V) of this \n",
       " section; or\n",
       "     (viii) Petition for Amerasian, Widow(er), or Special Immigrant, \n",
       " Form I-360, meeting the requirements of paragraphs (b)(1)(i)(T)(1), \n",
       " (2), (3) or (4) of this section.\n",
       "     (D) USCIS Immigrant Fee. For DHS domestic processing and issuance \n",
       " of required documents after an immigrant visa is issued by the U.S. \n",
       " Department of State: $220.\n",
       "     (E) Request for a search of indices to historical records to be \n",
       " used in genealogical research, Form G-1041: $65. The search request fee \n",
       " is not refundable.\n",
       "     (F) Request for a copy of historical records to be used in \n",
       " genealogical research, Form G-1041A: $65. USCIS will refund the records \n",
       " request fee only when it is unable to locate the file previously \n",
       " identified in response to the index search request.\n",
       "     (G) Application to Replace Permanent Resident Card, Form I-90. For \n",
       " filing an application for a Permanent Resident Card, Form I-551, to \n",
       " replace an obsolete card or to replace one lost, mutilated, or \n",
       " destroyed, or for a change in name: $455.\n",
       "     (H) Application for Replacement/Initial Nonimmigrant Arrival-\n",
       " Departure Document, Form I-102. For filing a petition for an \n",
       " application for Arrival/Departure Record Form I-94, or Crewman's \n",
       " Landing Permit Form I-95, to replace one lost, mutilated, or destroyed: \n",
       " $445.\n",
       "     (I) Petition for a Nonimmigrant Worker, Form I-129. For filing a \n",
       " petition for a nonimmigrant worker: $460.\n",
       "     (J) Petition for Nonimmigrant Worker in CNMI, Form I-129CW. For an \n",
       " employer to petition on behalf of one or more beneficiaries: $460 plus \n",
       " a supplemental CNMI education funding fee of $150 per beneficiary per \n",
       " year. The CNMI education funding fee cannot be waived.\n",
       "     (K) Petition for Alien Fianc[eacute](e), Form I-129F. For filing a \n",
       " petition to classify a nonimmigrant as a fianc[eacute]e or \n",
       " fianc[eacute] under section 214(d) of the Act: $535; there is no fee \n",
       " for a K-3 spouse as designated in 8 CFR 214.1(a)(2) who is the \n",
       " beneficiary of an immigrant petition filed by a United States citizen \n",
       " on a Petition for Alien Relative, Form I-130.\n",
       "     (L) Petition for Alien Relative, Form I-130. For filing a petition \n",
       " to classify status of a foreign national relative for issuance of an \n",
       " immigrant visa under section 204(a) of the Act: $535.\n",
       "     (M) Application for Travel Document, Form I-131. For filing an \n",
       " application for travel document:\n",
       "     (1) $135 for a Refugee Travel Document for an individual age 16 or \n",
       " older.\n",
       "     (2) $105 for a Refugee Travel Document for a child under the age of \n",
       " 16.\n",
       "     (3) $575 for advance parole and any other travel document.\n",
       "     (4) No fee if filed in conjunction with a pending or concurrently \n",
       " filed Form I-485 with fee that was filed on or after July 30, 2007.\n",
       "     (N) Immigrant Petition for Alien Worker, Form I-140. For filing a \n",
       " petition to classify preference status of an alien\n",
       " \n",
       " [[Page 26938]]\n",
       " \n",
       " on the basis of profession or occupation under section 204(a) of the \n",
       " Act: $700.\n",
       "     (O) Application for Advance Permission to Return to Unrelinquished \n",
       " Domicile, Form I-191. For filing an application for discretionary \n",
       " relief under section 212(c) of the Act: $930.\n",
       "     (P) Application for Advance Permission to Enter as a Nonimmigrant, \n",
       " Form I-192. For filing an application for discretionary relief under \n",
       " section 212(d)(3) of the Act, except in an emergency case or where the \n",
       " approval of the application is in the interest of the United States \n",
       " Government: $930.\n",
       "     (Q) Application for Waiver for Passport and/or Visa, Form I-193. \n",
       " For filing an application for waiver of passport and/or visa: $930.\n",
       "     (R) Application for Permission to Reapply for Admission into the \n",
       " United States After Deportation or Removal, Form I-212. For filing an \n",
       " application for permission to reapply for an excluded, deported or \n",
       " removed alien, an alien who has fallen into distress, an alien who has \n",
       " been removed as an alien enemy, or an alien who has been removed at \n",
       " government expense instead of deportation: $930.\n",
       "     (S) Notice of Appeal or Motion, Form I-290B. For appealing a \n",
       " decision under the immigration laws in any type of proceeding over \n",
       " which the Board of Immigration Appeals does not have appellate \n",
       " jurisdiction: $675. The fee will be the same for appeal of a denial of \n",
       " a benefit request with one or multiple beneficiaries. There is no fee \n",
       " for an appeal or motion associated with a denial of a petition for a \n",
       " special immigrant visa filed by or on behalf of an individual seeking \n",
       " special immigrant visa or status as an Iraqi or Afghan national who was \n",
       " employed by or on behalf of the U.S. Government in Iraq or Afghanistan.\n",
       "     (T) Petition for Amerasian, Widow(er), or Special Immigrant, Form \n",
       " I-360. For filing a petition for an Amerasian, Widow(er), or Special \n",
       " Immigrant: $435. The following requests are exempt from this fee:\n",
       "     (1) A petition seeking classification as an Amerasian;\n",
       "     (2) A self-petition for immigrant status as a battered or abused \n",
       " spouse, parent, or child of a U.S. citizen or lawful permanent \n",
       " resident; or\n",
       "     (3) A petition for special immigrant juvenile status; or\n",
       "     (4) A petition seeking special immigrant visa or status an Iraqi or \n",
       " Afghan national who was employed by or on behalf of the U.S. Government \n",
       " in Iraq or Afghanistan.\n",
       "     (U) Application to Register Permanent Residence or Adjust Status, \n",
       " Form I-485. For filing an application for permanent resident status or \n",
       " creation of a record of lawful permanent residence:\n",
       "     (1) $1,140 for an applicant 14 years of age or older; or\n",
       "     (2) $750 for an applicant under the age of 14 years when:\n",
       "     (i) The application is submitted concurrently for adjudication with \n",
       " the Form I-485 of a parent; and\n",
       "     (ii) The applicant is seeking to adjust status as a derivative of \n",
       " his or her parent;\n",
       "     (3) There is no fee if an applicant is filing as a refugee under \n",
       " section 209(a) of the Act.\n",
       "     (V) Application to Adjust Status under Section 245(i) of the Act, \n",
       " Supplement A to Form I-485. Supplement to Form I-485 for persons \n",
       " seeking to adjust status under the provisions of section 245(i) of the \n",
       " Act: $1,000. There is no fee when the applicant is an unmarried child \n",
       " less than 17 years of age, when the applicant is the spouse, or the \n",
       " unmarried child less than 21 years of age of an individual with lawful \n",
       " immigration status and who is qualified for and has applied for \n",
       " voluntary departure under the family unity program.\n",
       "     (W) Immigrant Petition by Alien Entrepreneur, Form I-526. For \n",
       " filing a petition for an alien entrepreneur: $3,675.\n",
       "     (X) Application To Extend/Change Nonimmigrant Status, Form I-539. \n",
       " For filing an application to extend or change nonimmigrant status: \n",
       " $370.\n",
       "     (Y) Petition to Classify Orphan as an Immediate Relative, Form I-\n",
       " 600. For filing a petition to classify an orphan as an immediate \n",
       " relative for issuance of an immigrant visa under section 204(a) of the \n",
       " Act. Only one fee is required when more than one petition is submitted \n",
       " by the same petitioner on behalf of orphans who are brothers or \n",
       " sisters: $775.\n",
       "     (Z) Application for Advance Processing of Orphan Petition, Form I-\n",
       " 600A. For filing an application for advance processing of orphan \n",
       " petition. (When more than one petition is submitted by the same \n",
       " petitioner on behalf of orphans who are brothers or sisters, only one \n",
       " fee will be required.): $775. No fee is charged if Form I-600 has not \n",
       " yet been submitted in connection with an approved Form I-600A subject \n",
       " to the following conditions:\n",
       "     (1) The applicant requests an extension of the approval in writing \n",
       " and the request is received by USCIS before the expiration date of \n",
       " approval; and\n",
       "     (2) The applicant's home study is updated and USCIS determines that \n",
       " proper care will be provided to an adopted orphan.\n",
       "     (3) A no fee extension is limited to one occasion. If the Form I-\n",
       " 600A approval extension expires before submission of an associated Form \n",
       " I-600, then a complete application and fee must be submitted for any \n",
       " subsequent application.\n",
       "     (AA) Application for Waiver of Ground of Inadmissibility, Form I-\n",
       " 601. For filing an application for waiver of grounds of \n",
       " inadmissibility: $930.\n",
       "     (BB) Application for Provisional Unlawful Presence Waiver, Form I-\n",
       " 601A. For filing an application for provisional unlawful presence \n",
       " waiver: $630.\n",
       "     (CC) Application for Waiver of the Foreign Residence Requirement \n",
       " (under Section 212(e) of the Immigration and Nationality Act, as \n",
       " Amended), Form I-612. For filing an application for waiver of the \n",
       " foreign-residence requirement under section 212(e) of the Act: $930.\n",
       "     (DD) Application for Status as a Temporary Resident under Section \n",
       " 245A of the Immigration and Nationality Act, Form I-687. For filing an \n",
       " application for status as a temporary resident under section 245A(a) of \n",
       " the Act: $1,130.\n",
       "     (EE) Application for Waiver of Grounds of Inadmissibility under \n",
       " Sections 245A or 210 of the Immigration and Nationality Act, Form I-\n",
       " 690. For filing an application for waiver of a ground of \n",
       " inadmissibility under section 212(a) of the Act as amended, in \n",
       " conjunction with the application under sections 210 or 245A of the Act, \n",
       " or a petition under section 210A of the Act: $715.\n",
       "     (FF) Notice of Appeal of Decision under Sections 245A or 210 of the \n",
       " Immigration and Nationality Act (or a petition under section 210A of \n",
       " the Act), Form I-694. For appealing the denial of an application under \n",
       " sections 210 or 245A of the Act, or a petition under section 210A of \n",
       " the Act: $890.\n",
       "     (GG) Application to Adjust Status from Temporary to Permanent \n",
       " Resident (Under Section 245A of Pub. L. 99-603), Form I-698. For filing \n",
       " an application to adjust status from temporary to permanent resident \n",
       " (under section 245A of Pub. L. 99-603): $1,670. The adjustment date is \n",
       " the date of filing of the application for permanent residence or the \n",
       " applicant's eligibility date, whichever is later.\n",
       "     (HH) Petition to Remove Conditions on Residence, Form I-751. For \n",
       " filing a petition to remove the conditions on residence based on \n",
       " marriage: $595.\n",
       "     (II) Application for Employment Authorization, Form I-765. $410; no \n",
       " fee if filed in conjunction with a pending or concurrently filed Form \n",
       " I-485 with fee that was filed on or after July 30, 2007.\n",
       " \n",
       " [[Page 26939]]\n",
       " \n",
       "     (JJ) Petition to Classify Convention Adoptee as an Immediate \n",
       " Relative, Form I-800.\n",
       "     (1) There is no fee for the first Form I-800 filed for a child on \n",
       " the basis of an approved Application for Determination of Suitability \n",
       " to Adopt a Child from a Convention Country, Form I-800A, during the \n",
       " approval period.\n",
       "     (2) If more than one Form I-800 is filed during the approval period \n",
       " for different children, the fee is $775 for the second and each \n",
       " subsequent petition submitted.\n",
       "     (3) If the children are already siblings before the proposed \n",
       " adoption, however, only one filing fee of $775 is required, regardless \n",
       " of the sequence of submission of the immigration benefit.\n",
       "     (KK) Application for Determination of Suitability to Adopt a Child \n",
       " from a Convention Country, Form I-800A. For filing an application for \n",
       " determination of suitability to adopt a child from a Convention \n",
       " country: $775.\n",
       "     (LL) Request for Action on Approved Application for Determination \n",
       " of Suitability to Adopt a Child from a Convention Country, Form I-800A, \n",
       " Supplement 3. This filing fee is not charged if Form I-800 has not been \n",
       " filed based on the approval of the Form I-800A, and Form I-800A \n",
       " Supplement 3 is filed in order to obtain a first extension of the \n",
       " approval of the Form I-800A: $385.\n",
       "     (MM) Application for Family Unity Benefits, Form I-817. For filing \n",
       " an application for voluntary departure under the Family Unity Program: \n",
       " $600.\n",
       "     (NN) Application for Temporary Protected Status, Form I-821. For \n",
       " first time applicants: $50. There is no fee for re-registration.\n",
       "     (OO) Application for Action on an Approved Application or Petition, \n",
       " Form I-824. For filing for action on an approved application or \n",
       " petition: $465.\n",
       "     (PP) Petition by Entrepreneur to Remove Conditions, Form I-829. For \n",
       " filing a petition by entrepreneur to remove conditions: $3,750.\n",
       "     (QQ) Application for Suspension of Deportation or Special Rule \n",
       " Cancellation of Removal (Pursuant to Section 203 of Pub. L. 105-100), \n",
       " Form I-881:\n",
       "     (1) $285 for adjudication by DHS, except that the maximum amount \n",
       " payable by family members (related as husband, wife, unmarried child \n",
       " under 21, unmarried son, or unmarried daughter) who submit applications \n",
       " at the same time will be $570.\n",
       "     (2) $165 for adjudication by the Immigration Court (a single fee of \n",
       " $165 will be charged whenever applications are filed by two or more \n",
       " foreign nationals in the same proceedings).\n",
       "     (3) The $165 fee is not required if the Form I-881 is referred to \n",
       " the Immigration Court by DHS.\n",
       "     (RR) Application for Authorization to Issue Certification for \n",
       " Health Care Workers, Form I-905: $230.\n",
       "     (SS) Request for Premium Processing Service, Form I-907. The fee \n",
       " must be paid in addition to, and in a separate remittance from, other \n",
       " filing fees. The fee to request premium processing: $1,225. The fee for \n",
       " a request for premium processing fee may be adjusted annually by notice \n",
       " in the Federal Register based on inflation according to the Consumer \n",
       " Price Index (CPI). The fee for Premium Processing Service may not be \n",
       " waived.\n",
       "     (TT) Application for Civil Surgeon Designation, Form I-910. For \n",
       " filing an application for civil surgeon designation: $785. There is no \n",
       " fee for an application from a medical officer in the U.S. Armed Forces \n",
       " or civilian physician employed by the U.S. Government who examines \n",
       " members and veterans of the Armed Forces and their dependents at a \n",
       " military, Department of Veterans Affairs, or U.S. Government facility \n",
       " in the United States.\n",
       "     (UU) Application for T Nonimmigrant Status, Form I-914. No fee.\n",
       "     (VV) Application for U Nonimmigrant Status, Form I-918. No fee.\n",
       "     (WW) Application for Regional Center Designation under the \n",
       " Immigrant Investor Program, Form I-924. For filing an application for \n",
       " regional center designation under the Immigrant Investor Program: \n",
       " $17,795.\n",
       "     (XX) Annual Certification of Regional Center, Form I-924A. To \n",
       " provide updated information and certify that an Immigrant Investor \n",
       " Regional Center has maintained their eligibility: $3,035.\n",
       "     (YY) Petition for Qualifying Family Member of a U-1 Nonimmigrant, \n",
       " Form I-929. For U-1 principal applicant to submit for each qualifying \n",
       " family member who plans to seek an immigrant visa or adjustment of U \n",
       " status: $230.\n",
       "     (ZZ) Application to File Declaration of Intention, Form N-300. For \n",
       " filing an application for declaration of intention to become a U.S. \n",
       " citizen: $270.\n",
       "     (AAA) Request for a Hearing on a Decision in Naturalization \n",
       " Proceedings (Under section 336 of the Act), Form N-336. For filing a \n",
       " request for hearing on a decision in naturalization proceedings under \n",
       " section 336 of the Act: $700. There is no fee if filed on or after \n",
       " October 1, 2004, by an applicant who has filed an Application for \n",
       " Naturalization under sections 328 or 329 of the Act with respect to \n",
       " military service and whose application has been denied.\n",
       "     (BBB) Application for Naturalization, Form N-400. For filing an \n",
       " application for naturalization: $640. Except:\n",
       "     (1) The fee for an applicant whose documented income is greater \n",
       " than 150% and not more than 200% of the federal poverty level is $320.\n",
       "     (2) No fee is charged an applicant who meets the requirements of \n",
       " sections 328 or 329 of the Act with respect to military service.\n",
       "     (CCC) Application to Preserve Residence for Naturalization \n",
       " Purposes, Form N-470. For filing an application for benefits under \n",
       " section 316(b) or 317 of the Act: $355.\n",
       "     (DDD) Application for Replacement Naturalization/Citizenship \n",
       " Document, Form N-565. For filing an application for a certificate of \n",
       " naturalization or declaration of intention in place of a certificate or \n",
       " declaration alleged to have been lost, mutilated, or destroyed; for a \n",
       " certificate of citizenship in a changed name under section 343(c) of \n",
       " the Act; or for a special certificate of naturalization to obtain \n",
       " recognition as a citizen of the United States by a foreign state under \n",
       " section 343(b) of the Act: $555. There is no fee when this application \n",
       " is submitted under 8 CFR 338.5(a) or 343a.1 to request correction of a \n",
       " certificate that contains an error.\n",
       "     (EEE) Application for Certificate of Citizenship, Form N-600. For \n",
       " filing an application for a certificate of citizenship under section \n",
       " 309(c) or section 341 of the Act: $1,170. There is no fee for any \n",
       " application filed by a member or veteran of any branch of the United \n",
       " States Armed Forces.\n",
       "     (FFF) Application for Citizenship and Issuance of Certificate under \n",
       " section 322 of the Act, Form N-600K. For filing an application for \n",
       " citizenship and issuance of certificate under section 322 of the Act: \n",
       " $1,170.\n",
       "     (GGG) American Competitiveness and Workforce Improvement Act \n",
       " (ACWIA) fee. $1,500 or $750 for filing certain H-1B petitions as \n",
       " described in 8 CFR 214.2(h)(19) and USCIS form instructions.\n",
       "     (HHH) Fraud detection and prevention fee. $500 for filing certain \n",
       " H-1B and L petitions, and $150 for H-2B petitions as described in 8 CFR \n",
       " 214.2(h)(19).\n",
       "     (III) 9-11 Response and Biometric Entry-Exit Fee for H-1B Visa. \n",
       " $4,000 for certain petitioners who employ 50 or more employees in the \n",
       " United States if more than 50 percent of the petitioner's employees are \n",
       " in H-1B, L-1A or L-1B nonimmigrant status. Collection of this fee is \n",
       " scheduled to end on September 30, 2025.\n",
       "     (JJJ) 9-11 Response and Biometric Entry-Exit Fee for L-1 Visa. \n",
       " $4,500 for\n",
       " \n",
       " [[Page 26940]]\n",
       " \n",
       " certain petitioners who employ 50 or more employees in the United \n",
       " States, if more than 50 percent of the petitioner's employees are in H-\n",
       " 1B, L-1A or L-1B nonimmigrant status. Collection of this fee is \n",
       " scheduled to end on September 30, 2025.\n",
       " * * * * *\n",
       " 0\n",
       " 5. Section 103.16 is amended by revising the first sentence of \n",
       " paragraph (a) to read as follows:\n",
       " \n",
       " \n",
       " Sec.  103.16  Collection, use and storage of biometric information.\n",
       " \n",
       "     (a) Use of biometric information. An individual may be required to \n",
       " submit biometric information by law, regulation, Federal Register \n",
       " notice or the form instructions applicable to the request type or if \n",
       " required in accordance with 8 CFR 103.2(b)(9). * * *\n",
       " * * * * *\n",
       " 0\n",
       " 6. Section 103.17 is amended by revising paragraph (b) to read as \n",
       " follows:\n",
       " \n",
       " \n",
       " Sec.  103.17  Biometric service fee.\n",
       " \n",
       " * * * * *\n",
       "     (b) Non-payment. If a benefit request is received by DHS without \n",
       " the correct biometric services fee as provided in the form \n",
       " instructions, DHS will reject the benefit request.\n",
       " \n",
       " PART 204--IMMIGRANT PETITIONS\n",
       " \n",
       " 0\n",
       " 7. The authority citation for part 204 continues to read as follows:\n",
       " \n",
       "     Authority: 8 U.S.C. 1101, 1103, 1151, 1153, 1154, 1182, 1184, \n",
       " 1186a, 1255, 1641; 8 CFR part 2.\n",
       " 0\n",
       " 8. Section 204.6 is amended by revising paragraph (m)(6) to read as \n",
       " follows:\n",
       " \n",
       " \n",
       " Sec.  204.6  Petitions for employment creation aliens.\n",
       " \n",
       " * * * * *\n",
       "     (m) * * *\n",
       "     (6) Continued participation requirements for regional centers. (i) \n",
       " Regional centers approved for participation in the program must:\n",
       "     (A) Continue to meet the requirements of section 610(a) of the \n",
       " Appropriations Act.\n",
       "     (B) Provide USCIS with updated information annually, and/or as \n",
       " otherwise requested by USCIS, to demonstrate that the regional center \n",
       " is continuing to promote economic growth, including increased export \n",
       " sales, improved regional productivity, job creation, and increased \n",
       " domestic capital investment in the approved geographic area, using a \n",
       " form designated for this purpose; and\n",
       "     (C) Pay the fee provided by 8 CFR 103.7(b)(1)(i)(WW).\n",
       "     (ii) USCIS will issue a notice of intent to terminate the \n",
       " designation of a regional center in the program if:\n",
       "     (A) A regional center fails to submit the information required in \n",
       " paragraph (m)(6)(i)(B) of this section, or pay the associated fee; or\n",
       "     (B) USCIS determines that the regional center no longer serves the \n",
       " purpose of promoting economic growth, including increased export sales, \n",
       " improved regional productivity, job creation, and increased domestic \n",
       " capital investment.\n",
       "     (iii) A notice of intent to terminate the designation of a regional \n",
       " center will be sent to the regional center and set forth the reasons \n",
       " for termination.\n",
       "     (iv) The regional center will be provided 30 days from receipt of \n",
       " the notice of intent to terminate to rebut the ground or grounds stated \n",
       " in the notice of intent to terminate.\n",
       "     (v) USCIS will notify the regional center of the final decision. If \n",
       " USCIS determines that the regional center's participation in the \n",
       " program should be terminated, USCIS will state the reasons for \n",
       " termination. The regional center may appeal the final termination \n",
       " decision in accordance with 8 CFR 103.3.\n",
       "     (vi) A regional center may elect to withdraw from the program and \n",
       " request a termination of the regional center designation. The regional \n",
       " center must notify USCIS of such election in the form of a letter or as \n",
       " otherwise requested by USCIS. USCIS will notify the regional center of \n",
       " its decision regarding the withdrawal request in writing.\n",
       " * * * * *\n",
       " \n",
       " Jeh Charles Johnson,\n",
       " Secretary.\n",
       " [FR Doc. 2016-10297 Filed 5-3-16; 8:45 am]\n",
       "  BILLING CODE 9111-97-P\n",
       " \n",
       " \n",
       " </bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></bullet></pre>]"
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    "len(col)"
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  {
   "cell_type": "code",
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   "outputs": [],
   "source": [
    "output = open(\"data/Master_doc_content\", 'wb')\n",
    "dump(master_list, output, -1)\n",
    "output.close()"
   ]
  },
  {
   "cell_type": "code",
   "execution_count": null,
   "metadata": {
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   "outputs": [],
   "source": []
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