Proposed Rule2026-17119
Genealogy Program Regulations To Clarify the Impact of Federal Records Requirements
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
August 21, 2026
Issuing agencies
Homeland Security Department
Abstract
The U.S. Department of Homeland Security (DHS) proposes to amend its regulation governing genealogy program related records requests to revise its genealogy program regulations to clarify the impact of statutory and regulatory federal records requirements. This is necessary for individuals who request immigration records through the agency's genealogy program to better understand which records may be requested.
Full Text
<html>
<head>
<title>Federal Register, Volume 91 Issue 161 (Friday, August 21, 2026)</title>
</head>
<body><pre>
[Federal Register Volume 91, Number 161 (Friday, August 21, 2026)]
[Proposed Rules]
[Pages 54252-54259]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-17119]
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
8 CFR Part 103
[CIS No. 2798-25; DHS Docket No. USCIS-2026-0331]
RIN 1615-AD21
Genealogy Program Regulations To Clarify the Impact of Federal
Records Requirements
AGENCY: U.S. Citizenship and Immigration Services, DHS.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The U.S. Department of Homeland Security (DHS) proposes to
amend its regulation governing genealogy program related records
requests to revise its genealogy program regulations to clarify the
impact of statutory and regulatory federal records requirements. This
is necessary for individuals who request immigration records through
the agency's genealogy program to better understand which records may
be requested.
DATES: Written comments must be submitted on or before October 20,
2026. The electronic Federal Docket Management System will accept
comments prior to midnight eastern time at the end of that day.
ADDRESSES: You may submit comments on this proposed amendment,
identified by Docket No. USCIS-2026-0331, through the federal
eRulemaking Portal at <a href="http://www.regulations.gov">http://www.regulations.gov</a>. Follow the website
instructions for submitting comments.
Comments must be submitted in English, or an English translation
must be provided. Comments that will provide the most assistance to
U.S. Citizenship and Immigration Services (USCIS) in implementing these
changes will reference a specific portion of the proposed rule, explain
the reason for any recommended change, and include data, information,
or authority that support such recommended change. Comments submitted
in a manner other than the one listed above, including emails or
letters sent to DHS or USCIS officials, will not be considered comments
on the proposed rule and may not receive a response from DHS. Please
note that DHS and USCIS cannot
[[Page 54253]]
accept any comments that are hand-delivered or couriered. In addition,
USCIS cannot accept comments contained on any form of digital media
storage devices, such as CDs/DVDs and USB drives. USCIS is also not
accepting mailed comments at this time. If you cannot submit your
comment by using <a href="http://www.regulations.gov">http://www.regulations.gov</a>, please contact the
Regulatory Coordination Division, Office of Policy and Strategy, USCIS,
DHS, by telephone at (240) 721-3000 for alternate instructions.
FOR FURTHER INFORMATION CONTACT: Identity and Information Management
Division, Immigration Records and Identity Services, USCIS, DHS, 5900
Capital Gateway Drive, Camp Springs, MD 20746; telephone (240) 721-3000
(not a toll-free call).
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Public Participation
II. Discussion of Proposed Rule
A. Background and Purpose
B. Discussion of Proposed Changes
III. Statutory and Regulatory Requirements
A. Executive Order 12866 (Regulatory Planning and Review),
Executive Order 13563 (Improving Regulation and Regulatory Review),
and Executive Order 14192 (Unleashing Prosperity Through
Deregulation).
B. Regulatory Flexibility Act (RFA)
C. Unfunded Mandates Reform Act of 1995 (UMRA)
D. Executive Order 13132 (Federalism)
E. Executive Order 12988 (Civil Justice Reform)
F. Family Assessment
G. Executive Order 13175 (Consultation and Coordination With
Indian Tribal Governments)
H. National Environmental Policy Act (NEPA)
I. Paperwork Reduction Act (PRA)
Table of Abbreviations
AR-2--Alien Registration Forms
C-Files--Naturalization Certificate Files
CFR--Code of Federal Regulations
DHS--U.S. Department of Homeland Security
E.O.--Executive Order
FR--Federal Register
FY--Fiscal Year
INA--Immigration and Nationality Act of 1952
IRFA--Initial Regulatory Flexibility Act
IT--Information Technology
NARA--National Archives and Records Administration
NEPA--National Environmental Policy Act
OIRA--Office of Information and Regulatory Affairs
OMB--Office of Management and Budget
PRA--Paperwork Reduction Act
RFA--Regulatory Flexibility Act
RIA--Regulatory Impact Analysis
SBA--U.S. Small Business Administration
UMRA--Unfunded Mandates Reform Act of 1995
USCIS--U.S. Citizenship and Immigration Services
I. Public Participation
DHS invites all interested parties to participate in this
rulemaking by submitting written data, views, comments and arguments on
all aspects of this proposed rule. DHS also invites comments that
relate to the economic, environmental, or federalism effects that might
result from this proposed rule. Comments must be submitted in English,
or an English translation must be provided. Comments that will provide
the most assistance to USCIS in implementing these changes will
reference a specific portion of the proposed rule, explain the reason
for any recommended change, and include data, information, or authority
that support such recommended change. Comments submitted in a manner
other than the one listed above, including emails or letters sent to
DHS or USCIS officials, will not be considered comments on the proposed
rule and may not receive a response from DHS.
Instructions: If you submit a comment, you must include the agency
name (U.S. Citizenship and Immigration Services) and the DHS Docket No.
USCIS-2026-0331 for this rulemaking. Regardless of the method used for
submitting comments or material, all submissions will be posted,
without change, to the Federal eRulemaking Portal at <a href="http://www.regulations.gov">http://www.regulations.gov</a>, and will include any personal information you
provide. Therefore, submitting this information makes it public. You
may wish to consider limiting the amount of personal information that
you provide in any voluntary public comment submission you make to DHS.
DHS may withhold information provided in comments from public viewing
that it determines may impact the privacy of an individual or is
offensive. For additional information, please read the Privacy and
Security Notice available at <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Docket: For access to the docket and to read background documents
or comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a>, referencing DHS
Docket No. USCIS-2026-0331. You may also sign up for email alerts on
the online docket to be notified when comments are posted or a final
rule is published.
II. Discussion of Proposed Rule
A. Background and Purpose
The Department of Homeland Security, U.S. Citizenship and
Immigration Services' Genealogy Program was established in 2008 in a
Final Rule (see, Establishment of a Genealogy Program, 73 FR 28026 (May
15, 2008)) as a fee-for-service program designed to provide
genealogical and historical records and reference services to
genealogists, historians, and others seeking certain kinds of
immigration records. See 8 CFR 103.38-103.40. The program and
collection of fees for service are based on authority in 8 U.S.C.
1356(t) which allows USCIS (formerly INS) to conduct genealogy research
and information services for a fee as prescribed under regulation
before disseminating any requested genealogical information. See 8 CFR
106.2(c)(1) and (2).
Under the program, the public can request copies of ``historical
records'' as defined in 8 CFR 103.39. These historical records include
Naturalization Certificate Files (C-Files) from September 27, 1906 to
April 1, 1956; Microfilmed Alien Registration Forms from August 1, 1940
to March 31, 1944; Visa Files from July 1, 1924 to March 31, 1944;
Registry Files from March 2, 1929 to March 31, 1944, and records
contained in Alien Files numbered below 8 million (A8000000) and
documents therein dated prior to May 1, 1951. Id.
Although the rule defined historical records (8 CFR 103.39) that
may be produced under the program, it did not address the impact of
general federal records management requirements (see 36 CFR part 1220)
on historical records in the program. All Federal agencies must
establish effective controls over the creation, maintenance and use,
and preservation or disposal of its records. In so doing, each agency
must cooperate with the Archivist of the United States to establish
appropriate standards, procedures, and techniques. See 44 U.S.C. 3102,
et seq. These controls are in part established through National
Archives and Records Administration (NARA) approved records schedules
(see 36 CFR 1220.18), which describes specific types of records, how
long to retain the applicable records, and when to disposition \1\
them. ``Historical records'' are also governed by records schedules.
---------------------------------------------------------------------------
\1\ Disposition refers to actions taken regarding records no
longer needed for the conduct of the regular current business of the
agency in accordance with the terms of the legal authorization
expressed in the applicable retention schedule. See 36 CFR 1220.18.
---------------------------------------------------------------------------
NARA has determined that the USCIS records later defined by the
regulation as ``historical records'' are permanent. See 36 CFR 1220.18.
A permanent record means any Federal record that has been determined by
NARA to have sufficient value to warrant its
[[Page 54254]]
preservation in the National Archives of the United States, even while
it remains in agency custody. Permanent records are those for which the
disposition is permanent on SF 115, Request for Records Disposition
Authority, approved by NARA on or after May 14, 1973. The term also
includes all records accessioned by NARA into the National Archives of
the United States. Id. Because historical records are permanent, they
are transferred to NARA after the period specified in their applicable
records schedule. See 36 CFR 1226.22, 1235.10, and 1235.12. NARA is
responsible for providing access to the records that have been
transferred to it and are in its legal custody. See 36 CFR 1250.8(a).
Once legal custody has been transferred to NARA, USCIS may maintain
non-record copies of those transferred records for its reference, and
those copies will be purged when no longer needed for reference. See 36
CFR 1222.14(b) and 1222.16(b)(3). See also, <a href="https://www.archives.gov/files/records-mgmt/grs/grs05-1.pdf">https://www.archives.gov/files/records-mgmt/grs/grs05-1.pdf</a>. Requesters must contact NARA to
obtain copies of all historical records in NARA's legal custody.
If this proposed rule is finalized, the public will be able to find
which record sets have been transferred to NARA via the published
records schedules addressing the disposition of historical records
online at <a href="http://www.archives.gov/records-mgmt/rcs">www.archives.gov/records-mgmt/rcs</a>. In addition, DHS would
publish a notice on the USCIS genealogy website \2\ explaining which
historical records were transferred to NARA's custody. DHS also notes
that NARA publishes notices on its website when USCIS files have been
transferred to their custody.\3\ If an individual submits an index
search or document request for historical records under the Genealogy
Program, USCIS would search for the records and, for those records for
which legal custody has been transferred to NARA, inform the requestor
that such records may be requested directly from NARA. For more
information on how to request USCIS records that have been transferred
to NARA, see, <a href="https://www.archives.gov/research">https://www.archives.gov/research</a>.
---------------------------------------------------------------------------
\2\ <a href="https://www.uscis.gov/records/genealogy">https://www.uscis.gov/records/genealogy</a>. This rulemaking
would not change USCIS' policies regarding fees for historical
records. Requestors should check the notice before submitting
requests for historical records from USCIS.
\3\ See <a href="https://www.archives.gov/research/genealogy/start-research/nara-resources">https://www.archives.gov/research/genealogy/start-research/nara-resources</a> (last accessed April 4, 2025).
---------------------------------------------------------------------------
DHS does not anticipate designating additional files as
``historical records'' under the regulation in the future. Therefore,
over time, all USCIS designated historical records will be transferred
to NARA in accordance with their records disposition schedule and
requestors will no longer be able to access those records through the
genealogy program. Instead, requestors may request access to those
records directly from NARA. DHS welcomes public comment on all aspects
of the proposed change to the definition of historical records, which
records are produced by USCIS under the genealogy program, and the
eventual discontinuation of the genealogy program process as USCIS
transfers legal custody of historical records to NARA.\4\ USCIS will
notify requesters when records have been transferred to NARA on the
Genealogy public website. <a href="https://www.uscis.gov/records/genealogy">https://www.uscis.gov/records/genealogy</a>.\5\
---------------------------------------------------------------------------
\4\ As explained in the preamble to DHS' 2024 fee rule, ``USCIS
strives to adhere to its records retention schedules and transfer
files to NARA expeditiously when records are eligible for transfer.
Unfortunately, issues such as incomplete or non-existent file
indices and other operational difficulties may inhibit and delay
such transfers. DHS agrees that NARA is the appropriate repository
for permanently retained records as USCIS has deemed necessary.''
See 89 FR 6194, 6326, Jan. 31, 2024. The causes of such delays
typically relate to how the Immigration and Naturalization Service
(INS) used, organized, and managed its records in different ways
over time.
\5\ (Record retention schedules for historical records are
published by NARA, see <a href="https://www.archives.gov/records-mgmt/rcs">https://www.archives.gov/records-mgmt/rcs</a>.)
---------------------------------------------------------------------------
USCIS notes that for Alien Registration Forms (AR-2) requests,
USCIS no longer processes these sets of records for requests received
on or after May 17, 2024. In 2024, USCIS agreed to transfer AR-2s from
August 1, 1940 to March 31, 1944 files to NARA. USCIS publicly
announced that as of May 17, 2024, all AR-2s are available through
NARA. USCIS notes that the impact of federal records requirements on
the genealogy program is not necessarily clear to the public by reading
DHS' existing genealogy regulations.\6\ This rulemaking is an effort to
address this issue.
---------------------------------------------------------------------------
\6\ See <a href="https://www.uscis.gov/records/genealogy/historical-records-series-available-from-the-genealogy-program">https://www.uscis.gov/records/genealogy/historical-records-series-available-from-the-genealogy-program</a> (last accessed
May 6, 2025).
---------------------------------------------------------------------------
B. Discussion of Proposed Changes
In an effort to revise USCIS' existing genealogy program
regulations to clarify the impact of statutory and regulatory federal
records requirements, DHS proposes changes to the genealogy program
regulations to state that USCIS will produce historical records that
have not been transferred to NARA pursuant to applicable published
records schedules. See proposed 8 CFR 103.38(a). Proposed Sec.
103.38(c) explains how USCIS would process requests for these
historical records. The proposed definitions of historical records and
records requests would be amended to exclude files, forms and documents
for which legal custody has been transferred by USCIS to NARA. See
proposed 8 CFR 103.39 and 103.40.
III. Statutory and Regulatory Requirements
A. Executive Order 12866 (Regulatory Planning and Review), Executive
Order 13563 (Improving Regulation and Regulatory Review), and Executive
Order 14192 (Unleashing Prosperity Through Deregulation)
E.O.s 12866 and 13563 direct agencies to assess the costs and
benefits of available regulatory alternatives and, if a regulation is
necessary, to select regulatory approaches that maximize net benefits.
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility. E.O. 14192 directs agencies to significantly
reduce the private expenditures required to comply with Federal
regulations and provides that ``any new incremental costs associated
with new regulations shall, to the extent permitted by law, be offset
by the elimination of existing costs associated with at least 10 prior
regulations.''
This rule is not an E.O. 14192 regulatory action because it is
being issued with respect to an immigration-related function of the
United States. The rule's primary direct purpose is to implement or
interpret the immigration laws of the United States (as described in
section (a)(17) of INA 8 U.S.C. 1101(a)(17) or any other function
performed by the U.S. Federal Government with respect to aliens. See
OMB Memorandum M-25-20, ``Guidance Implementing Section 3 of Executive
Order 14192, titled `Unleashing Prosperity Through Deregulation' ''
(Mar. 26, 2025).\7\
---------------------------------------------------------------------------
\7\ Office of Mgmt. & Budget, Exec. Office of the President, OMB
Memorandum M-25-20, Guidance Implementing Section 3 of Executive
Order 14192, Titled ``Unleashing Prosperity Through Deregulations''
(2025).
---------------------------------------------------------------------------
The Office of Management and Budget (OMB) has not designated this
rule as a ``significant regulatory action under'' section 3(f) of
Executive Order 12866, as amended by Executive Order 14094.
Accordingly, OMB has not reviewed this regulatory action.
1. Summary of Changes
As discussed in this preamble, the purpose of this notice for
proposed rulemaking is to revise USCIS' existing genealogy program
regulations to clarify
[[Page 54255]]
the impact of statutory and regulatory federal records requirements.
The proposed changes to the genealogy program regulations would state
that USCIS will produce historical records that have not been
transferred to NARA.
Most of the impacts of this rule are expected to be transfers in
work and collection of fees for service from USCIS to NARA. The
benefits of revising the regulations are related to aligning the
genealogy search and records request process with federal records
management requirements, reducing the burden and workload on USCIS
associated with producing and storing records under the Genealogy
Program that have been transferred to NARA, and transparency in how
USCIS handles copies of records and uses its storage space. Table 1
provides a more detailed summary of the proposed rule provisions and
their impacts.
Table 1--Summary of Provisions and Impacts of the NPRM
----------------------------------------------------------------------------------------------------------------
Description of the
Proposed rule provisions proposed change to Estimated transfers of Estimated benefits of
provisions provisions provisions
----------------------------------------------------------------------------------------------------------------
Transferring the Genealogy Program DHS proposes changes to Requestors-- Requestors--
files Form G-1041, Genealogy the genealogy program [ballot] None. [ballot] None.
Requests, (Index Search Request) regulations to state DHS/USCIS-- DHS/USCIS--
and Form G-1041A (Records Request) that USCIS will [ballot] Transfers of [ballot] Aligns the
to National Archives and Records produce historical work and collection of genealogy search and
Administration (NARA). records that have not fees for service from records request
been transferred to USCIS to NARA. process with federal
the legal custody of records management
the National Archives requirements.
and Records Reduces the
Administration. administrative burden
on USCIS associated
with producing and
storing records under
the Genealogy Program
that have been
transferred to NARA.
[ballot] Reduces the
administrative burden
on USCIS associated
with producing and
storing records under
the Genealogy Program
that have been
transferred to NARA.
[ballot] Transparency
in how USCIS handles
copies of records and
uses its storage
space.
----------------------------------------------------------------------------------------------------------------
2. Background and Proposed Changes
The Department of Homeland Security, U.S. Citizenship and
Immigration Services' Genealogy Program was established in 2008 in a
Final Rule \8\ as a fee-for-service program designed to provide
genealogical and historical records and reference services to
genealogists, historians, and others seeking certain kinds of
immigration records. In an effort to revise USCIS' existing genealogy
program regulations to clarify the impact of statutory and regulatory
federal records requirements, DHS proposes changes to the genealogy
program regulations to clarify that USCIS will produce only historical
records that have not been transferred to the legal custody of NARA.
---------------------------------------------------------------------------
\8\ See Establishment of a Genealogy Program, 73 FR 28026 (May
15, 2008). Requestors use the USCIS website <a href="https://www.uscis.gov/records/genealogy/requesting-records">https://www.uscis.gov/records/genealogy/requesting-records</a> or Form G-1041, Genealogy Index
Search Request, to request an index search of USCIS historical
records. See 8 CFR 103.7(b)(1)(i)(E). For more information see
<a href="https://www.uscis.gov/records/genealogy">https://www.uscis.gov/records/genealogy</a>.
---------------------------------------------------------------------------
a. Impacts of the Proposed Rule
This proposed rule would transfer work and associated fees for
service related to genealogical index searches and records requests
from USCIS to NARA in line with federal records management
requirements. Form G-1041 is provided as a convenient means for persons
to provide data necessary to perform a search of historical agency
indices. Form G-1041A provides a convenient means for persons to
identify a particular record desired under the Genealogy Program. Table
2 shows that based on a 5-year annual average, DHS estimates the annual
receipts from Form G-1041, Genealogy Index Search Request, (Paper
Filing) to be 167, and Form G-1041 (Online Filing) to be 8,786. Based
on a 5-year annual average, DHS estimates the total annual receipts for
G-1041 to be 8,953. Table 2 also shows that based on a 5-year annual
average, DHS estimates the annual receipts from Form G-1041A, Genealogy
Records Requests (paper filing) to be 238, and for Form G-1041A (online
filing) to be 5,552. Based on a 5-year annual average, DHS estimates
the total annual receipts for G-1041A to be 5,790.
Table 2--Receipts of Form G-1041, Genealogy Index Search Request and Receipts of Form G-1041A, Genealogy Records Requests for FY 2020 Through FY 2024
--------------------------------------------------------------------------------------------------------------------------------------------------------
Form G-1041 Form G-1041 Form G-1041 Form G-1041A Form G-1041A Form G-1041A
Fiscal year (paper filing) (online filing) total (paper filing) (online filing) total
--------------------------------------------------------------------------------------------------------------------------------------------------------
2020............................................ 305 7,496 7,801 315 4,567 4,882
2021............................................ 205 7,106 7,311 311 5,557 5,868
2022............................................ 137 8,328 8,465 219 5,816 6,035
2023............................................ 105 7,989 8,094 183 6,382 6,565
2024............................................ 82 13,013 13,095 164 5,437 5,601
-------------------------------------------------------------------------------------------------------
5-year Total................................ 834 43,932 44,766 1,192 27,759 28,951
-------------------------------------------------------------------------------------------------------
5-year Annual Average................... 167 8,786 8,953 238 5,552 5,790
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: Department of Homeland Security, U.S. Citizenship and Immigration Services, Office of Performance and Quality (OPQ) and National Records Center
MiDAS, queried 09/2025.
Note: USCIS, IRIS tracks the online percentage of index searches and records requests.
[[Page 54256]]
Currently, USCIS charges a fee of $80 for paper filing and $30 for
online filing for each Form G-1041 and Form G-1041A submitted.\9\ The
opportunity cost of time for completing forms G-1041 and G-1041A is
about 19 minutes (0.317 hours) per response.\10\ Under this proposal,
once USCIS retires files to NARA, USCIS will no longer provide these
records to requestors. Therefore, USCIS expects to receive fewer
Genealogy Index Search and Genealogy Records Requests and corresponding
filing fees as requests would instead be made according to NARA's
process. Assuming the burden to both requestors and NARA are equivalent
to the current process between requestors and USCIS, this proposed rule
would be a direct transfer of these economic activities. If costs or
the burden on requestors or NARA differs, there could be corresponding
impacts. Additionally, if requestors continue to submit forms to USCIS
for which they no longer have legal custody, they may experience an
added burden and related fees to also submit the request to NARA. USCIS
does not expect this rule to change the demand for genealogy services
or the type of services provided.
---------------------------------------------------------------------------
\9\ See Fee Schedule, USCIS, Form G-1055, G-1041 Genealogy Index
Search Request and G-1041A Genealogy Records Request at <a href="https://www.uscis.gov/sites/default/files/document/forms/g-1055.pdf">https://www.uscis.gov/sites/default/files/document/forms/g-1055.pdf</a>.
\10\ See Instructions for Genealogy Index Search Request, USCIS,
Form G-1041, Expires 02/28/2027 at <a href="https://www.uscis.gov/sites/default/files/document/forms/g-1041instr.pdf">https://www.uscis.gov/sites/default/files/document/forms/g-1041instr.pdf</a> and Instructions for
Genealogy Records Request, USCIS, Form G-1041A, Expires 02/28/2027
at <a href="https://www.uscis.gov/sites/default/files/document/forms/g-1041ainstr.pdf">https://www.uscis.gov/sites/default/files/document/forms/g-1041ainstr.pdf</a>.
---------------------------------------------------------------------------
Requestors would eventually no longer come to USCIS for these
historical genealogy requests. DHS does not have sufficient data from
the genealogy forms to determine if entities or individuals submit
these requests. The case management tracking system used by DHS for
genealogy requests does not allow requestor data to be readily pulled.
However, DHS previously determined that requests for historical records
are usually made by individuals.\11\ USCIS recognizes that there could
be an adjustment period as requestors learn where to request records
and how to obtain them from NARA.
---------------------------------------------------------------------------
\11\ See 73 FR 28026 (May 15, 2008).
---------------------------------------------------------------------------
The benefits of revising the current regulations are that it would
align the genealogy search and records request process with federal
records management requirements, reduce the administrative burden and
workload on USCIS associated with producing and storing records that
have been transferred to NARA, and provide transparency in how USCIS
would handle copies of historical records. Once historical records are
sent to NARA, copies would be purged by USCIS when no longer needed for
reference which would free up space in their facilities to be used to
store other records.
B. Regulatory Flexibility Act (RFA)
The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended by the Small Business Regulatory Enforcement Fairness Act of
1996 (SBREFA), Public Law 104-121 (Mar. 29, 1996), requires Federal
agencies to consider the potential impact of regulations on small
businesses, small governmental jurisdictions, and small organizations
during the development of their rules. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
or governmental jurisdictions with populations of less than 50,000.\12\
An ``individual'' is not considered a small entity and therefore a
rule's impacts on individuals are not considered for RFA purposes. See
5 U.S.C. 601, 632. In addition, the courts have held that the RFA
requires an agency to perform a regulatory flexibility analysis of
small entity impacts only when a rule directly regulates small
entities.\13\
---------------------------------------------------------------------------
\12\ A small business is defined as any independently owned and
operated business not dominant in its field of operation that
qualifies as a small business per the Small Business Act, 15 U.S.C.
632.
\13\ See Small Business Administration, A Guide For Government
Agencies, How to Comply with the Regulatory Flexibility Act. <a href="https://advocacy.sba.gov/wp-content/uploads/2019/06/How-to-Comply-with-the-RFA.pdf">https://advocacy.sba.gov/wp-content/uploads/2019/06/How-to-Comply-with-the-RFA.pdf</a> (last visited April 10, 2025).
---------------------------------------------------------------------------
Consequently, a rule's indirect impacts on a small entity not
subject to the rule are not considered for RFA purposes. The RFA
analysis for this proposed rule focuses on the population who file
Genealogy Requests, Form G-1041 (Index Search Request) and Form G-1041A
(Records Request). DHS currently does not have sufficient data on the
requestors that file genealogy forms to determine whether such filings
were made by entities or individuals and thus is unable to determine if
this proposed clarification of the genealogy regulations would have a
significant economic impact on a substantial number of small entities.
DHS recognizes that some small entities may be impacted by this
proposal but cannot determine how many or the exact impact. DHS is
publishing this Initial Regulatory Flexibility Analysis (IRFA) to
request public comments on the impact of this proposed rule on small
entities.
1. A description of the reason why the action by the agency is
being considered.
This proposed rule seeks to revise USCIS' existing genealogy
program regulations to clarify the impact of statutory and regulatory
federal records requirements.
2. A statement of the objectives of, and legal basis for, the
proposed rule.
DHS' objectives and legal authority for this proposed rule are
discussed earlier in the preamble. See Section II. Discussion of
Proposed Rule, A and B (Background and Purpose; Discussion of Proposed
Changes).
3. A description and, where feasible, an estimate of the number of
small entities to which the proposed changes would apply.
The population affected by this proposal includes individuals who
use Form G-1041 to request a search of USCIS historical indices and
individuals who use Form G-1041A to obtain copies of USCIS historical
records. Based on the DHS records, Table 3 shows the estimated number
of genealogy historical records requests and index search requests that
were submitted to USCIS using Forms G-1041 and G-1041A for FY 2020
through FY 2024. DHS estimates that an annual average of 8,953 Form G-
1041 index search requests and 5,790 Form G-1041A records requests were
received during FY 2020 through FY 2024. For both forms, more than 95
percent of the requests were submitted electronically.
Table 3--Receipts of Form G-1041, Genealogy Index Search Request, Form G-1041A, Genealogy Records Request or FY
2020 Through FY 2024
----------------------------------------------------------------------------------------------------------------
Form G-1041 Form G-1041 Form G-1041 Percentage
Fiscal year (paper filing) (online filing) total filed online
----------------------------------------------------------------------------------------------------------------
2020........................................ 305 7,496 7,801 96
[[Page 54257]]
2021........................................ 205 7,106 7,311 97
2022........................................ 137 8,328 8,465 98
2023........................................ 105 7,989 8,094 99
2024........................................ 82 13,013 13,095 99
-------------------------------------------------------------------
5-year Total............................ 834 43,932 44,766 ..............
-------------------------------------------------------------------
5-year Annual Average............... 167 8,786 8,953 98
----------------------------------------------------------------------------------------------------------------
Fiscal year Form G-1041A Form G-1041A Form G-1041A Percentage
(paper filing) (online filing) total filed online
----------------------------------------------------------------------------------------------------------------
2020........................................ 315 4,567 4,882 94
2021........................................ 311 5,557 5,868 95
2022........................................ 219 5,816 6,035 96
2023........................................ 183 6,382 6,565 97
2024........................................ 164 5,437 5,601 97
-------------------------------------------------------------------
5-year Total............................ 1,192 27,759 28,951 ..............
-------------------------------------------------------------------
5-year Annual Average............... 238 5,552 5,790 96
----------------------------------------------------------------------------------------------------------------
Source: Department of Homeland Security, U.S. Citizenship and Immigration Services, Office of Performance and
Quality (OPQ) and National Records Center MiDAS, queried 09/2025.
Note: USCIS, IRIS tracks the online percentage of index searches and records requests.
DHS previously determined that requests for historical records are
usually made by individuals.\14\ If professional genealogists and
researchers submitted such requests in the past, they did not identify
themselves as commercial requesters and, therefore, could not be
separated within the data. Genealogists typically advise clients on how
to submit their own requests. For those that submit requests on behalf
of clients, DHS cannot ascertain the extent to which such fees may be
passed along to individual clients. DHS assumes genealogists have
access to a computer and the internet. Therefore, DHS does not
currently have sufficient data to definitively assess the impact on
small entities for these requests.
---------------------------------------------------------------------------
\14\ See Establishment of a Genealogy Program, 73 FR 28026 (May
15, 2008). Requestors use the USCIS website <a href="https://www.uscis.gov/records/genealogy/requesting-records">https://www.uscis.gov/records/genealogy/requesting-records</a> or Form G-1041, Genealogy Index
Search Request, to request an index search of USCIS historical
records. See 8 CFR 103.7(b)(1)(i)(E). For more information see
<a href="https://www.uscis.gov/records/genealogy">https://www.uscis.gov/records/genealogy</a>.
---------------------------------------------------------------------------
4. A description of the projected reporting, recordkeeping, and
other compliance requirements of the proposed rule, including an
estimate of the classes of small entities that will be subject to the
requirement and the types of professional skills.
This proposed rule would not directly impose any reporting,
recordkeeping, or other compliance requirements on small entities.
5. Identification, to the extent practicable, of all relevant
Federal rules that may duplicate, overlap or conflict with the proposed
rule.
DHS is unaware of any duplicative, overlapping, or conflicting
Federal rules, but invites any comment and information regarding any
such rules.
6. Description of any significant alternatives to the proposed rule
that accomplish the stated objectives of applicable statutes and that
minimize any significant economic impact of the proposed rule on small
entities.
DHS could produce records duplicative of those sent to NARA under
the Genealogy Program, but it is redundant and expensive to do so.
C. Unfunded Mandates Reform Act of 1995 (UMRA)
The Unfunded Mandates Reform Act of 1995 is intended, among other
things, to curb the practice of imposing unfunded Federal mandates on
State, local, and Tribal governments.\15\ Title II of UMRA requires
each Federal agency to prepare a written statement assessing the
effects of any Federal mandate in a proposed rule, or final rule for
which the agency published a proposed rule, that includes any Federal
mandate that may result in a $100 million or more expenditure (adjusted
annually for inflation) in any one year by State, local, and tribal
governments, in the aggregate, or by the private sector.
---------------------------------------------------------------------------
\15\ The term ``Federal mandate'' means a Federal
intergovernmental mandate or a Federal private sector mandate. See 2
U.S.C. 1502(1), 658(5), (6).
---------------------------------------------------------------------------
This proposed rule does not contain such a mandate, because it
would not impose any enforceable duty upon any other level of
government or private sector entity. Amending genealogy regulations to
clarify the impact of statutory and regulatory records requirements,
and to better inform individuals who request immigration records
through the agency's genealogy program which records may be requested
through the program would not result in any expenditures by the State,
local, or Tribal governments, or by the private sector. The
requirements of title II of UMRA; therefore, do not apply, and DHS has
not prepared a statement under UMRA.
D. Executive Order 13132 (Federalism)
This proposed rule does not have substantial direct effects on the
States, on the relationship between the National Government and the
States, or on the distribution of power and responsibilities among the
various levels of government. Therefore, in accordance with section 6
of Executive Order 13132, it is determined that this proposed rule does
not have sufficient federalism implications to warrant the preparation
of a federalism summary impact statement.
E. Executive Order 12988 (Civil Justice Reform)
This proposed rule was drafted and reviewed in accordance with E.O.
[[Page 54258]]
12988, Civil Justice Reform. This proposed rule was written to provide
a clear legal standard for affected conduct and was carefully reviewed
to eliminate drafting errors and ambiguities, so as to minimize
litigation and undue burden on the Federal court system. DHS has
determined that this proposed rule meets the applicable standards
provided in section 3(a) and 3(b)(2) of E.O. 12988.
F. Family Assessment
DHS has reviewed this proposed rule in line with the requirements
of section 654 of the Treasury General Appropriations Act, 1999, Public
Law 105-277, 112 Stat. 2681 (1998). DHS has systematically reviewed the
criteria specified in section 654(c)(1), by evaluating whether this
regulatory action: (1) impacts the stability or safety of the family,
particularly in terms of marital commitment; (2) impacts the authority
of parents in the education, nurture, and supervision of their
children; (3) helps the family perform its functions; (4) affects
disposable income or poverty of families and children; (5) only
financially impacts families, if at all, to the extent such impacts are
justified; (6) may be carried out by State or local government or by
the family; or (7) establishes a policy concerning the relationship
between the behavior and personal responsibility of youth and the norms
of society. If the agency determines a regulation may negatively affect
family well-being, then the agency must provide an adequate rationale
for its implementation.
DHS has no data that indicates that this proposed rule would have
any impacts on family well-being. DHS has determined that the
implementation of this proposal would not negatively affect family
well-being and would not have any impact on the autonomy and integrity
of the family as an institution and no further actions are required.
G. Executive Order 13175 (Consultation and Coordination With Indian
Tribal Governments)
This proposed rule would not have Tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian Tribes, on the relationship between the Federal
Government and Indian Tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian Tribes.
H. National Environmental Policy Act (NEPA)
DHS and its components analyze proposed regulatory actions to
determine whether the National Environmental Policy Act (NEPA), 42
U.S.C. 4321 et seq., applies and, if so, what degree of analysis is
required. DHS Directive 02301 Rev. 01 ``Implementing the National
Environmental Policy Act'' (Dir. 023-01 Rev. 01) and Instruction Manual
023-01-001-01 Rev. 01, ``Implementation of the National Environmental
Policy Act'' (Instruction Manual) \16\ established the policies and
procedures that DHS and its components use to comply with NEPA and the
Council on Environmental Quality (CEQ) regulations for implementing
NEPA.
---------------------------------------------------------------------------
\16\ The Instruction Manual contains DHS's procedures for
implementing NEPA and was issued November 6, 2014. See DHS, Office
of the Chief Readiness Support Officer, National Environmental
Policy Act Compliance, <a href="https://www.dhs.gov/ocrso/eed/epb/nepa">https://www.dhs.gov/ocrso/eed/epb/nepa</a> (last
updated July 29, 2025).
---------------------------------------------------------------------------
NEPA allows Federal agencies to establish, in their NEPA
implementing procedures, categories of actions (``categorical
exclusions'') that experience has shown do not, individually or
cumulatively, have a significant effect on the human environment and,
therefore, do not require an environmental assessment or environmental
impact statement.\17\ The Instruction Manual, Appendix A lists the DHS
Categorical Exclusions.\18\
---------------------------------------------------------------------------
\17\ See 42 U.S.C. 4336(a)(2), 4336e(1).
\18\ See Instruction Manual, Appendix A, Table 1.
---------------------------------------------------------------------------
Under DHS NEPA implementing procedures, for an action to be
categorically excluded, it must satisfy each of the following three
conditions: (1) The entire action clearly fits within one or more of
the categorical exclusions; (2) the action is not a piece of a larger
action; and (3) no extraordinary circumstances exist that create the
potential for a significant environmental effect.\19\
---------------------------------------------------------------------------
\19\ Instruction Manual 023-01 at V.B(2)(a)-(c).
---------------------------------------------------------------------------
This proposed rule is limited to clarifying the effect of USCIS
transferring legal custody of historical records to NARA, and to better
inform individuals who request immigration records through the agency's
genealogy program which agency to request these records from. This
proposed rule is strictly administrative and procedural. DHS has
reviewed this proposed rule and finds that no significant impact on the
environment, or any change in environmental effect will result from the
amendments being promulgated in this proposed rule.
Accordingly, DHS finds that these proposed amendments to current
regulations clearly fit within categorical exclusion A3 established in
DHS's NEPA implementing procedures as an administrative change with no
change in environmental effect, are not part of a larger Federal
action, and do not present extraordinary circumstances that create the
potential for a significant environmental effect.
I. Paperwork Reduction Act (PRA)
Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501-12,
DHS must submit to Office of Management and Budget (OMB), for review
and approval, any reporting requirements inherent in a rule unless they
are exempt. Please see the accompanying PRA documentation for the full
analysis. The following information collections are part of this notice
of proposed rulemaking.
USCIS Forms G-1041 and G-1041A (OMB Control Number 1615-0096)
DHS and USCIS invite the general public and other Federal agencies
to comment on the impact to the proposed collection of information. In
accordance with the PRA, the information collection notice is published
in the Federal Register to obtain comments regarding the proposed edits
to the information collection instrument.
Comments are encouraged and will be accepted for 60 days from the
publication date of the proposed rule. All submissions received must
include the OMB Control Number 1615-0096 in the body of the letter and
the agency name. Please refer to the ADDRESSES and I. Public
Participation section of this proposed rule for instructions on how to
submit comments. Comments on this proposed information collection
should address one or more of the following four points:
(1) Evaluate whether the collection of information is necessary for
the proper performance of the functions of the agency, including
whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden of
the collection of information, including the validity of the
methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses.
[[Page 54259]]
Overview of Information Collection
(1) Type of Information Collection: Revision of a Currently
Approved Collection.
(2) Title of the Form/Collection: Genealogy Index Search Request;
Genealogy Records Request.
(3) Agency form number, if any, and the applicable component of the
DHS sponsoring the collection: G-1041; G-1041A; USCIS.
(4) Affected public who will be asked or required to respond, as
well as a brief abstract: Primary: Individuals or households. The
Genealogy Program is intended to streamline and improve the process for
acquiring genealogical and historical records. Form G-1041 is provided
as a convenient means for persons to provide data necessary to perform
a search of historical agency indices. Form G-1041A provides a
convenient means for persons to identify a particular record desired
under the Genealogy Program. The forms provide rapid identification of
such requests and ensures expeditious handling. Persons such as
researchers, historians, and social scientists seeking ancestry
information for genealogical, family history and their location
purposes will use Forms G-1041 and G-1041A.
(5) An estimate of the total number of respondents and the amount
of time estimated for an average respondent to respond: The estimated
total number of annual respondents for the information collection G-
1041 (paper) is 103 and the estimated hour burden per response is 0.317
hours; the estimated total number of annual respondents for the
information collection G-1041 (electronic) is 8,166 and the estimated
hour burden per response is 0.3 hours; the estimated total number of
annual respondents for the information collection G-1041A (paper) is
185 and the estimated hour burden per response is 0.317 hours; the
estimated total number of annual respondents for the information
collection G-1041A (electronic) is 6,206 and the estimated hour burden
per response is 0.3 hours.
(6) An estimate of the total public burden (in hours) associated
with the collection: The estimated total annual hour burden associated
with this collection of information is 4,403 hours.
(7) An estimate of the total public burden (in cost) associated
with the collection: The estimated total annual cost burden associated
with this collection of information is $9,202.
List of Subjects and Regulatory Amendments
List of Subjects in 8 CFR Part 103
Administrative practice and procedure, Authority delegations
(Government agencies), Fees, Freedom of information, Immigration,
Privacy, Reporting and recordkeeping requirements, Surety bonds.
Accordingly, for the reasons set forth in the preamble, the
Secretary of Homeland Security proposes to amend chapter I of Title 8
of the Code of Federal Regulations as follows:
PART 103--IMMIGRATION BENEFIT REQUESTS; USCIS FILING REQUIREMENTS;
BIOMETRIC REQUIREMENTS; AVAILABILITY OF RECORDS
0
1. The authority citation for part 103 continues to read as follows:
Authority: 5 U.S.C. 301, 552, 552a; 8 U.S.C. 1101, 1103, 1184,
1185 note, 1304, 1356, 1365b, 1372, 1801-1815; 31 U.S.C. 9701; 48
U.S.C. 1806; Pub. L. 107-296, 116 Stat. 2135 (6 U.S.C. 1 et seq.);
E. O. 12356, 47 FR 14874, 15557, 3 CFR, 1982 Comp., p. 166; 8 CFR
part 2; Pub. L. 112-54, 125 Stat 550; 31 CFR part 223.
0
2. Amend Sec. 103.38 by revising paragraph (a) and adding paragraph
(c) as follows:
Sec. 103.38 Genealogy Program.
(a) Purpose. The Department of Homeland Security, U.S. Citizenship
and Immigration Services Genealogy Program is a fee-for-service program
designed to provide historical records and reference services to
genealogists, historians, and others seeking documents maintained
within USCIS record systems that have not been transferred to the
National Archives and Records Administration (NARA) pursuant to a
published records schedule. Once transferred, USCIS will notify the
public by posting notice of the transfer on the USCIS Genealogy
website, <a href="https://www.uscis.gov/records/genealogy">https://www.uscis.gov/records/genealogy</a>.
* * * * *
(c) Effect of Transfer of Historical Records to National Archives
and Records Administration. Under the genealogical research request
process, USCIS will not provide requestors with historical records, as
defined under 8 CFR 103.39, that have been transferred to the legal
custody of the National Archives and Records Administration in
accordance with the records schedule that governs the disposition of
the records.
0
3. Amend Sec. 103.39 by revising the introductory paragraph to read as
follows:
Sec. 103.39 Historical Records.
Historical Records are files, forms, and documents in USCIS' legal
custody, and are located within the following records series:
* * * * *
0
4. Amend Sec. 103.40 by revising paragraph (a) to read as follows:
Sec. 103.40 Genealogical research requests.
(a) Nature of requests. Genealogy requests are requests for
searches and/or copies of historical records maintained within the
historical USCIS record systems that have not been transferred to the
National Archives and Records Administration in accordance with a
published records schedule, relating to a deceased person, usually for
genealogy and family history research purposes. <a href="https://www.archives.gov/records-mgmt/rcs/schedules/index.html?dir=/departments/department-of-homeland-security/rg-0566">https://www.archives.gov/records-mgmt/rcs/schedules/index.html?dir=/departments/department-of-homeland-security/rg-0566</a>.
* * * * *
Markwayne Mullin,
Secretary, U.S. Department of Homeland Security.
[FR Doc. 2026-17119 Filed 8-20-26; 8:45 am]
BILLING CODE 9111-97-P
</pre></body>
</html>Indexed from Federal Register on August 21, 2026.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.