Comments On The Proposed Regulations to implement the

1993 Hague Convention on Protection of Children and Cooperation

in Respect of Intercountry Adoption (the Convention) and

the Intercountry Adoption Act of 2000 (IAA).

Preamble at 54079 D: Recognition of Currently Accredited Agencies

COA recommends "recognition of compliance" with identified duplicative
standards for those agencies currently accredited by COA for
intercountry adoption services. The Secretary should negotiate the
details of this recognition process between the State Department and COA
in contract negotiations.

The concept of recognition or "deeming" has been greatly debated during
previous discussions of and formal comment on the proposed rules. COA
understands the issues and the importance of ensuring the intent of the
IAA is achieved in setting and proving compliance with high-quality
standards of practice for intercountry adoption services. Furthermore,
recognition of compliance is not an exception to accreditation, but is
simply an equitable mechanism for crediting established compliance with
requirements that have parity with those of Hague Convention
Accreditation.

In order to comment on the use of recognition, COA has completed a
comprehensive crosswalk between the proposed rules and COA's *Standards
and Self-Study Manual, 7^th^ Edition* (See Attachment A). This crosswalk
identifies COA's standards that match those in the proposed rules and
specifically identifies those that are "sufficiently similar." In
addition, COA has created a chart noting the specific citation of
proposed rules and COA standards that are "sufficiently similar" (see
Attachment B). Given these documented similarities, **COA recommends
recognition for currently accredited organizations providing
intercountry adoption services.**

In principle, offering recognition to previously accredited agencies
delivering intercountry adoption services is completely consistent with
the IAA as a mechanism for recognizing proven compliance with those
standards that are sufficiently similar to standards in the proposed,
and eventually the final, rules. The process of recognition promotes
efficiency of the accreditation process by eliminating a duplication of
efforts on the part of both the organization and the accrediting entity.
This is particularly significant given the human resource and financial
impacts required by the accreditation process and the ambitious
timeframe the State Department expects for the completion of the initial
accreditation cycle.

COA encourages the State Department to allow currently COA accredited
organizations to receive credit for compliance with a State Department
approved list of standards. COA will hold these organizations
accountable for all other Hague Convention Accreditation standards.
Recognition provides no unfair benefit to currently accredited agencies,
as they will not be able to assume that they will achieve full
accreditation without responding to a significant number of additional
standards. In sum, all intercountry adoption providers will be held to
the exact same requirements regardless of their current voluntary
accreditation status, however the documentation and review of
duplicative standards (highlighted in this response and the attached
crosswalk) would be unnecessary. This recommended recognition is only
relevant during initial accreditation cycle and need not be addressed by
the regulations in perpetuity.

[96.2]{.underline}

In order to provide clarification, COA recommends the State Department
add the following definitions: post adoption services, complaint,
cancellation of accreditation, and suspension of accreditation to §
96.2.

Post Adoption Services

The standards in § 96.50 and § 96.51 address post placement monitoring
and post adoption services respectively. No definitions are provided,
and the content and the intent of section § 96.51 are unclear without
such definitions. COA recommends the addition of a definition for post
placement monitoring. COA recommends the following definition be added
for post adoption services:

> [post adoption services]{.underline}: the provision of supportive
> services to adoptive families to promote the well-being of adoptees
> and families; the stability of adoptive placements; and the prevention
> of adoption disruption or dissolution. Supportive services may
> include, but are not limited to: family education, information and
> referral, psychosocial services, mediation, problem solving and
> support groups.

Complaint

The proposed regulations do not define what constitutes a "complaint."
Organizations function with diverse definitions for this concept and
additionally distinguish it from grievance and/or disagreement. Without
guidance and universal understanding of what constitutes a "complaint,"
agencies or persons may circumvent any rules for reporting complaints
with a very narrow definition, rendering the complaint process somewhat
meaningless in reality.

An agency should have internal mechanisms to deal with issues that may
arise from a client before such an issue becomes formalized. These
issues may be defined as complaints. If the issue is not resolved, a
formal process begins, which is often defined as a grievance. If formal
grievances cannot be resolved internally, an agency may offer resolution
by a neutral third party. The definition of compliant should also
specify whether anonymous complaints can be considered.

On another note, when conducting a review of an agency or person,
accrediting entities will privy to a variety of information, which is
unrelated to the intercountry adoption service. For example, a
multi-service agency may have complaints related to their foster care or
group home service which are unrelated to the adoption program. COA
recommends the definition of complaint be limited to the complaints
related to Hague adoptions.

Accreditation

COA recommends that the State Department add a definition for
accreditation. This definition should clarify that the regulations in
22CFR Part 96 address "Hague Accreditation," not other voluntary
processes for the accreditation for intercountry adoption services. COA
feels that the lack of specificity in using the term "accreditation"
throughout the regulations discounts the idea COA will continue to a
voluntary process for the accreditation of intercountry adoption
services not subject to the requirements of the Hague Convention. While
this voluntary accreditation process will certainly be in line with the
concepts embedded in the of the Hague Convention, and the IAA, it will
likely go beyond those requirements/provisions in a more thorough
evaluation of an organization. COA advocates for the value of its own
voluntary accreditation process and urges the State Department to
recognize the distinction between "Hague Accreditation" and "COA
Accreditation."

Cancellation or Suspension of Accreditation

There is no explanation of the difference between cancellation of
accreditation and suspension of accreditation. Unless defined,
accrediting entities may utilize differing definitions of "suspension"
undermining the uniformity the regulations seek.

To differentiate suspension from cancellation, a suspension should have
a limited time frame, and rather than require an agency to renew their
entire accreditation, the agency's accreditation should be restored
after a site visit where the agency demonstrates substantial compliance
in those areas that caused the suspension.

It is unclear if the term "suspension" suggests that the entity is no
longer accredited, thus requiring the transfer of adoption cases. If the
purpose of the suspension provision was to allow an entity a short
period of time to take corrective action and come into compliance with
the standards, it seems burdensome and counterproductive to have to
transfer its adoption cases to another entity. The transfer of cases
will cause disruption to all prospective adoptive families and children
and may not be warranted for a short period of time during which an
entity would be taking corrective action.

Alternatively, COA recommends that the regulations reassess whether
"suspension" is a necessary category. COA recommends that the
regulations develop another category in place of suspension that creates
a step between requiring corrective action and cancellation. This
category should be "probation, with required corrective action." While
on probation, an agency would still be accredited, however, the
designation would convey to the public that there were extensive issues
that required corrective action. The "probation" status would not
require the entity to transfer its adoption cases. COA currently
utilizes this category.

## Subpart B

**COA recommends the State Department add language to limit the
liability of accrediting entities.**

COA recommends that the State Department add a section in Subpart B, or
any more relevant section, that expressly limits the rights of any
individual or entity other than an accredited entity or an entity that
has been refused accreditation to bring an action against the
accreditors. Such a provision is consistent with §504 of the IAA. In the
event such a provision is not included, the regulations should expressly
extend to the accreditors, as service providers under agreement with the
State Department, any and all immunities granted to the State
Department.

A provision limiting the liability of accrediting entities will
facilitate a fair and timely accreditation process. Without such a
limitation, accrediting entities may find it difficult to recruit
evaluators (peer reviewers) because such individuals may not be willing
to accept the risk of being involved in litigation - even if they are
indemnified by the accreditor. Furthermore, evaluators and decision
makers may base a decision regarding accreditation - positive or
adverse - in order to diminish the likelihood of litigation.

Without a limit of liability, the cost of accreditation would be
significantly higher by virtue of the need for the accrediting entities
to purchase substantial insurance. Given that insurance coverage for
adoption service providers may not be widely attainable, third parties
(e.g., adoptive parents, adoptees or biological parents) seeking legal
recourse would be more likely to name the accrediting entity than the
adoption service provider in a lawsuit.

In the event the State Department cannot or will not limit liability
vis-à-vis accrediting entities, it must recognize that as subcontractors
of the State Department, the accrediting entities would seek to protect
its interests by impleading the State Department in any such litigation.

In consequence of the foregoing, COA *strongly* recommends that
liability vis-à-vis accrediting entities should remain with, and be
limited to, the adoption service providers as provided in the IAA and
that such limitation be expressly referenced in the regulations.

**§ 96.4 (c)**

**COA recommends the State Department clarify the provision related to
the jurisdiction of public entities.**

It is unclear what jurisdiction public entities would have over
organizations or individuals that provide services in multiple states.
This provision should specify whether or not jurisdiction is defined by:
the state in which the organization is incorporated in; the states in
which the organization or person is licensed in; or the states in which
the organization provides services.

COA is concerned about the states entities' ability to fully evaluate
compliance with the standards if an agency or person has offices in
multiple states, but is limited in its evaluation capacity or authority.
State entities would potentially be required to travel to other states
to review records, interview clients, and conduct other on-site
activities. It is unclear if their jurisdiction, which is limited to
within their state, allows for evaluation of or in offices located
outside of the state.

§ 96.6 (f)

COA recommends the State Department revise this section to clarify the
appropriateness of relationships between accrediting bodies and
membership associations.

The phrase "operates independently of" is vague. Membership associations
have traditionally played a valuable role in the development and support
of accrediting bodies. Membership associations provide the expertise and
knowledge of specific practice areas, resources for standards and
accreditation process development, and provide consultation and
technical assistance to organizations seeking to achieve accreditation.
COA strongly advocates for the protection of the right to engage in such
relationships with membership organizations as long as the appropriate
protections are in place.

COA recommends that the State Department revise this regulation using
the following language:

"that membership associations do not have an inappropriate influence on
the accrediting body, and that the accrediting body has
conflict-of-interest policies that address their relationships with
membership associations."

**§ 96.7 (a) 8**

**COA recommends that this requirement for accrediting bodies (and all
subsequent references) be deleted.**

COA strongly objects to any involvement of the accrediting bodies in the
transfer of cases when an organization ceases to operate. Involvement in
the transfer of cases is inappropriate as it potentially puts the
accrediting body in the position of have to chose or make
recommendations regarding which agencies should get the cases that need
to be transferred. Given the financial ramifications of such transfers,
the accrediting bodies would be unable to fairly make recommendations or
selections among the vast number of agencies that may seek to become
accredited. COA recommends that adoptive applicants first be asked if
they have a preference as to which entity their case is transferred to.
In addition, the accredited and approved entities should have a plan
specifying the transfer process in the case of a suspension of services.
If the State Department is seeking to have an external body provide
oversight of the transition of cases, it should do so through state
licensing authorities in each state, as many of these authorities
already provide such oversight/assistance.

§ 96.8(a) 2

COA recommends that the State Department maintain the provision allowing
the accrediting bodies to revise fee schedules with approval from the
State Department.

Over time, the cost of providing accreditation services is likely to
increase and accrediting body should be allowed to revise fee schedules
appropriately. In addition, the accrediting body will not be able to
develop a realistic fee scale until the final regulations are published
and the expected duties of the accreditor are confirmed.

§ 96.10

COA recommends that the State Department add criteria to this section
specifying the process for submitting complaints about the Complaint
Registry.

The regulations should specify how complaints against the Complaint
Registry would be processed. COA recommends that such complaints be
handled in the same way complaints about the accrediting bodies will be
processed.

§ 96.13

COA recommends that State Department add a provision to this section
specifying the process for accrediting/approving entities when new
countries ratify the Hague Convention.

While these regulations do not govern the practice of intercountry
adoption services in or with children from non-Hague-party countries, it
is expected that additional countries will ratify the Hague Convention
in the future. COA recommends the State Department clarify the
applicability of the accreditation mandate in as additional countries
ratify the Hague Convention. In addition, COA recommends the State
Department encourage agencies working in non-Hague countries voluntarily
seek accreditation, thus increasing the impact these regulations will
have on the best interests of all internationally adopted children.

\* § 96.14 (a)

COA applauds the State Department for requiring that a primary provider
must be identified in each adoption. This is critical to ensuring the
continuity of services and the provision of all required adoption
services to a child and family.

\* § 96.19 (c)

COA is in favor of the establishment of a transitional application date
(TAD) and the provision allowing the accrediting bodies to use their own
discretion in accepting applications beyond the TAD. In addition, COA
supports the notion that accreditors cannot be held responsible for the
assurance that entities that apply after the TAD will complete the
process before the deadline for initial accreditation (DIA). COA
supports and the provision that the DIA will be determined by the
accrediting bodies and the State Department after the TAD in order to
properly estimate the amount of time it will take to complete the
initial cycle of accreditation/approval.

\* § 96.24 (a)

This provision requires evaluators to have experience in intercountry
adoption or the evaluation of compliance with standards. While COA
believes that experience in both is preferred, in order to ensure that
accreditation and approval can be conducted in a timely fashion the
accreditor must be initially allowed to use some evaluators that may not
have experience in intercountry adoption. For example, COA believes it
is critical to have evaluators with expertise in finance to be able to
properly investigate and evaluate and applicant's financial practices
and stability. It is not necessary that this evaluator have experience
in intercountry adoption.

§ 96.26 (a)

COA recommends the State Department maintain this provision as written.

COA treats most information gathered during the accreditation process as
confidential. Information about accreditation status is made publicly
available. COA believes that confidentiality is critical to facilitating
an open relationship with entities seeking accreditation. Fear of public
disclosure may cause applicants to withhold information from accrediting
entities. This withholding of information inhibits the accrediting
entities ability to conduct a fair and thorough evaluation. In addition,
without the protection of confidentiality, evaluators and decision
makers may be hesitant to make notations important to the evaluation
process if this information may be made public.

COA encourages the provision of a limited amount of information to the
public to aid potential clients in selecting an organization or
individual to seek services from. COA believes that the provisions of
Subpart M in the proposed regulations appropriately specify the types of
information that must be made available to the public. The summary of
the accreditation or approval study required in §96.90 (b) will provide
the public with an adequate amount of information about the
organization's compliance with the standards. Agency specific
information gathered during the accreditation process beyond what is
specified in Subpart M should be protected.

While COA supports the protection of confidential information acquired
through the accreditation process, some disclosure to the State
Department may be necessary to comply with requirements specified in the
Memorandum of Agreement. COA recognizes that the State Department may
need access to accreditation information in order to investigate
complaints about the actions of an accrediting entity as addressed in §
96.10 of the regulations. The proper entity for evaluating the
accrediting bodies is the State Department, not the public. Disclosure
of information for purposes of investigating the accrediting entity
should be limited to the State Department.

§ 96.27 (c)

COA recommends the State Department add a statement clarifying the
accrediting bodies authority to translate the standards in subpart F
into measurable accreditation standards without changing the intent of
the standard.

It is critical for accreditation standards to be clear and measurable in
order for evaluators to assign ratings of compliance to organizations.
For example, the language proposed in §96.33 (c) "the agency or person
submits copies of each audit" is not a measurable standard, it is the
evidence of compliance an accrediting body would likely use to determine
compliance with § 96.33 (b). Thus, it is critical that the accreditors
be given the authority in the regulations or in the memorandum of
agreement to use the standards in subpart f to craft a set of measurable
standards for accreditation, subject to final approval from the State
Department.

\* § 96.27 (d)

COA commends the State Department for allowing the accrediting bodies to
develop measurement systems which will not be limited by specification
in the regulations. In addition, COA supports the requirement that
organizations or persons must achieve substantial compliance with the
standards in order to receive accreditation or approval.

§96.33 (e)

COA recommends the State Department clarify the provision requiring cash
reserves to meet operating expenses.

In the case of a multi-service agency, it is not clear if "operating
expenses" is limited to the entire agency's operating expenses, or the
intercountry adoption program's operating expenses. COA additionally
recommends the State Department reconsider the necessity of requiring a
3 month cash reserve, as it will be burdensome for small or new agencies
to do so. Recognizing that the cash reserve is an important protection
for prospective adoptive parents and children, other alternatives should
be considered, including the availability of finances through other
non-cash resources (e.g., assets).

§96.33 (g)

COA recommends the State Department clarify the requirement for an
independent professional assessment of risk.

COA's standards for risk management require the organization to have
qualified personnel and internal procedures for the assessment of risk.

"G11.1.01: The organization evaluates and reduces its potential loss and
liability by:

> a\. assigning risk management functions to qualified persons whose job
> descriptions specifically include oversight of risk management; and
>
> b\. developing a process to identify and analyze the nature, severity,
> and frequency of risks."

This internal assessment informs the determination of the appropriate
types and levels of insurance an organization should purchase as
required by:

"G11.2.01: Annually, the organization evaluates and purchases
appropriate types and levels of insurance to ensure adequate coverage.

> Interpretation (G11.2.01):
>
> Appropriate types of insurance include, but are not limited to, the
> following: general liability, workers' compensation, disability, fire
> and theft, medical, indemnification, professional liability, risk
> pooling trust, officers' or director's liability, automobile
> liability, and malpractice. In designated flood plains, this standard
> requires appropriate purchase of flood insurance."

It is unclear if the State Department's expectation is for the
"independent professional" involved to be someone other than the
organization's insurance representative. It so, it would constitute an
additional cost to the organization.

§96.35(b)(3)

COA recommends that the regulations add the following words "for the
provision of adoption-related services" following the words "or person",
in order to make it consistent with §96.35(b)(2).

This section creates unwarranted problems for agencies providing
multiple services. Take the case of an agency providing both
intercountry adoption services and group home services. It is highly
conceivable that the licensing body of that organization could impose
sanctions for conduct that occurred in the group homes or even revoke
that organization's group home license. This, however, may have no
effect on the organization's ability to provide intercountry adoption
services. Sanctions or suspension of licenses for conduct in a service
other than adoption services should not affect an organization's
suitability to provide adoption services consistent with the convention.

Moreover, it would overburden any accrediting body to review all
negative sanctions against an organization for its entire existence.
Such sanction could range from failing to insert a single document in
certain records unrelated to adoption services, or for having mold in a
daycare center. The consideration of issues unrelated to the provision
of Hague adoption services exceeds the scope and stated objectives of
the Convention.

COA strongly recommends that the same time limitations should be applied
to these section as is set forth for § 96.35(b)(4)

There is no limit on the relevant time frame for this sections. Some
agencies have been in existence for over 50 years. Reviewing such
information that far back is not only completely unnecessary, it also
hinders an accrediting entity's ability to properly evaluate whether an
agency, as it currently functions, promotes the best interest of the
child and adheres to Convention Standards.

§96.35(c)(2)

COA recommends that this section include a statement that no action
needs to be taken by an accrediting body in response to the disclosure
of current investigations.

An investigation does not confirm financial irregularities. Many
investigations lead nowhere. The accrediting body should not be required
to take action until a conviction or negative finding is made.

§ 96.36 (a)

COA recommends that specific examples be provided to clarify the meaning
of "other consideration."

The prohibition against the provision of "money or other consideration"
is vague. It is unclear if this provision is meant to prohibit any types
of gifts or actions. COA believes it would be helpful if the State
Department could provide some examples of what could be deemed "other
considerations" constituting child buying. COA suggests that if examples
are included, it is noted that the list of examples is not exhaustive
and language such as "including but not limited to" is used. Without
further specification or examples, it will be difficult for accrediting
entities to determine whether an individual or an organization is
attempting to improperly induce consent to adopt. COA further recommends
the language defining "reasonable payments for activities related to..."
not be changed, as it provides an appropriate level of specification
which will aid in the review and evaluation process.

§ 96.37 (f)

COA recommends that the State Department reconsider the requirement for
homestudy providers to have a master's degree.

Organizations often have difficulty recruiting individuals with advanced
degrees. COA recommends that this requirement either be changed to allow
for bachelor's level staff under the supervision of staff with master's
degrees to conduct homestudies, or be weighted in such a way that
non-compliance with this standard does not prohibit an applicant from
becoming accredited/approved.

§ 96.41 (f)

COA recommends the State Department eliminate the requirement that
organizations provide quarterly reports regarding complaints to the
accrediting body.

In order to avoid a costly duplication of efforts, quarterly reports
summarizing complaints and corrective actions need not be provided to
both the Complaint Registry and the accrediting bodies. If it is the
role of the Complaint Registry to identify the trends in complaints, it
would seem most appropriate for the quarterly reports to be submitted to
the Complaint Registry. If a quarterly report suggests non-compliance
with the standards that needs further investigation, the Complaint
Registry should then refer the issue to the accrediting body for
investigation. Furthermore, COA recommends the State Department
reconsider the necessity of quarterly reporting as opposed to
semi-annual or annual reporting, as it will likely be a burden to
agencies to provide such reports.

§ 96.51 (b)

In order to make 96.51 reflective of post adoption services, COA
recommends the State Department revise 96.51 as suggested below.

The proposed standards regarding "post adoption services" require
organizations to inform prospective adoptive parents of what, if any,
services will be provided by the organization "if an adoption is
dissolved."

The use of the term "post adoption services" in this section does not
reflect the actual practice of post-adoption services in the adoption
field. The accepted practice is to provide post adoption services (after
placement or after the legal finalization of the adoption) to support
the placement and *prevent* disruption or dissolution. Post adoption
services are critical to ensuring the support of adoptive placements and
reducing the number of adoption disruptions. Omitting standards for post
adoption services as defined above from the regulations is detrimental
to the best interests of the child and the family and undermines the
objectives of these regulations, the Convention and the IAA.

COA recommends the following definition be used for post adoption
services:

> [post adoption services]{.underline}: the provision of supportive
> services to adoptive families when requested to promote the well-being
> of adoptees and families; the stability of adoptive placements; and
> the prevention of adoption disruption or dissolution. Supportive
> services may include, but are not limited to: family education,
> information and referral, psychosocial services, mediation, problem
> solving and support groups.

If the recommended definition of post adoption service does not reflect
96.51's intent, COA recommends the State Department use a term other
than "post adoption services" to describe the intent of 96.51.

**Although post-adoption services are not included in the definition of
"adoption service," or in the minimum standards required by IAA, COA
recommends that the State Department maintain the requirement for the
provision of post adoption services in 96.51 as defined by COA's
suggested definition.**

If COA's recommended definition is adopted COA recommends the following
revisions:

96.51 (a) Delete the original language as it is redundant with 96.50
(a).

96.51 (b) Replace the original language with:

> "The agency or person informs the prospective adoptive parent(s) in
> the written adoption contract that the agency or person will provide
> post adoption services directly or by referral when requested by the
> family."
>
> 96.51 (c) The current 96.51 (c) really addresses post placement
> monitoring. The current 96.50 (c) really addresses post adoption
> services. Therefore, they should be switched.
>
> 96.51 (e) Delete the phrase "If the agency or person voluntarily
> provides post adoption services."

§ 96.63

COA recommends that the regulations may also develop another status for
an agency that has already been accredited where the corrective action
required might exceed the expiration date by only short time period.

In COA's current accreditation process, an accreditation decision can be
deferred for up to nine months past the expiration date. The deferral is
used to give agencies an opportunity to implement corrective action
without losing their accreditation status. It is unclear whether the
regulations allow the time allotted for a deferral (time given for an
agency to correct any problems) to exceed the original accreditation
expiration date. COA believes that the regulations should clarify this.
The State Department may consider the addition of another status for an
agency that has already been accredited where the corrective action
required might exceed the expiration date by only short time period.
Such a status could be Probation, with corrective action required. This
would prevent an agency from going out of business where transfers of
cases to another agency may take as long as to correct the corrective
action.

§ 96.66(a)

COA recommends that the regulations clarify the duties of an accrediting
agency to effectively monitor accredited/approved entities annually.

The State Department should specify, that the accrediting bodies will
monitor substantial compliance, based on the weighting and rating system
to be developed by the accrediting bodies and the State Department. In
addition, the regulations should describe the type of monitoring system
the accrediting bodies should use (e.g., a report and supporting
documentation where an agency attests to have remained in continued
substantial compliance with the standards).

**§ 96.69(a)(1)-(4)**

**COA recommends the State Department clarify the types of complaints
that can be filed with the Complaint Registry or the accrediting
bodies.**

This process makes little sense as "cannot be resolved" is ambiguous,
allowing for individuals to file complaints when they are dissatisfied
with resolution transforming an accrediting entity into appeal board for
dissatisfied individuals. The regulations should prohibit such practice.

The regulations should specify that only complaints related to the
provision of services in a Hague adoption could be filed with the
complaint registry or the accrediting bodies. Since the accrediting body
can only evaluate compliance with the standards and determine
accreditation status, it can only investigate complaints related to the
standards.

COA recommends that a complainant exhaust all possible remedies,
including arbitration and appeals before filing the complaint with the
Complaint Registry. COA strongly advocates that in order to ensure that
complaints that can be remedied are weeded out, all should be exhausted.

**§96.75 (b)**

**COA recommends that the regulations adopt another designation,
probation, in substitution for suspension.**

It is unclear if the term "suspension" suggests that the entity is no
longer accredited, thus requiring the transfer of adoption cases. If the
purpose of the suspension provision was to allow an entity a short
period of time to take corrective action and come into compliance with
the standards, it seems burdensome and counterproductive to have to
transfer its adoption cases to anoth er entity.

Alternatively, COA recommends that the regulations reassess whether
"suspension" is a necessary category. COA recommends that the
regulations develop another category in place of suspension that creates
a step between requiring corrective action and cancellation. This
category should be "probation, with required corrective action." While
on probation, an agency would still be accredited, however, the
designation would convey to the public that there were extensive issues
that required corrective action. The "probation" status would not
require the entity to transfer its adoption cases. COA currently
utilizes this category.

**96.75(d) & 96.76 (b)**

**COA recommends the requirement for the accredited agency or approved
person to take specific corrective action to bring itself into
compliance, not be considered an adverse action.**

The interplay between these sections needs to be examined. The first
states that corrective action is one form of "adverse action" while the
later allows for corrective action prior to taking any adverse action.
It is inconsistent to state that corrective action is required before
any adverse action can be taken, but corrective action constitutes
adverse action. Perhaps referring to any corrective action prior to an
adverse decision as interim corrective action would avoid any confusion.
If an accredited/approved entity has been required to revise a procedure
in response to a complaint before any adverse action is taken and the
procedure is properly revised there is no need for adverse action.

COA also recommends that language should be added to this section to
clarify whether adverse action can be taken based on an issue not
indicating unsubstantial compliance. The proposed regulations require
only substantial compliance. It is possible that a complainant does
implicate non-compliance with a standard but does not result in
substantial non-compliance. As the preamble to these proposed
regulations state: "One-time failures to comply with such social work
practice standards, which inherently are evolving, though unfortunate,
should not form the sole basis for the imposition of the severe types of
adverse action such as cancellation of accreditation or approval."

**§ 96.75(e)**

**COA recommends that the accrediting entity's "sanction" function be
limited to remedying the agency's compliance with accreditation
standards.**

With regard to "sanctions" as a form of adverse action, COA currently
does not provide case-specific relief, e.g., requiring a Hague body to
cease providing adoption services in a particular case. Instead, COA's
current adverse actions are related to the accreditation status of the
agency. An accrediting body can only require an accredited/approved
entity to come into compliance with the standards. The
accredited/approved entity should have the authority and independence to
decide how it can come into compliance. The accrediting bodies can
review the proposed plan to come into compliance with the standards to
determine if it is appropriate, but should not be required, or allowed
to impose specific sanctions.

**§ 96.79**

**COA recommends that the regulations should promote the use of
alternative dispute resolution forums as a substitute for such a federal
court action.**

The provision allowing an accredited/approved entity to petition the US
district court could potentially be a financial and resource burden to
the accrediting entity and the accredited/approved entity. COA
recommends the State Department include a provision for alternative
dispute resolution. This can be accomplished by allowing accrediting
entities to utilize dispute resolution clauses in the contracts with
agencies or persons seeking accreditation or approval. COA recommends
adding to the end of section (c) the following:

> "Nothing in the foregoing sections limits the accrediting entity's
> discretion to utilize alternative dispute resolution forums prior to
> judicial review of any final adverse actions."

§ 96.91 and § 96.92

COA recommends the State Department review the language in § 96.91 and §
96.92 to ensure the reporting requirements are clear and accurate.

The preamble states that the "publication and dissemination" of the
"this information." The provisions should specify what is meant by
publish and disseminate, as they are quite different, and dissemination
could be quite costly depending upon the methods of dissemination. The
rules at § 96.91 states that specific information needs to be "made
available" as opposed to "published." Section 96.92 (which discusses
complaints) requires only verification upon inquiry of complaints. It
does not state an accrediting entity needs to publish this information.
It would be helpful if the language in these sections specified what
methods and scope will be required.

**§ 96.91(a)-(b)**

**COA suggests that an accrediting agency be afforded the discretion to
make the specified information available on a more regular basis.**

It is unclear if the directive to make certain information listed in
these subsections limits the disclosure of the information to quarterly
or only when requested as applicable. COA suggests that an accrediting
agency be afforded the discretion to make the information available on a
more regular basis. For example, it can publish the information on its
website. The regulations should add a subsection which states:

> "Nothing in this section limits an accrediting entities discretion to
> publish or otherwise disclose to the public the information listed in
> subsections (a) and (b) on a more frequent and/or continuous basis."

**§ 96.93**

**COA recommends the State Department clarify the timeframe for
reporting adverse actions.**

It is unclear when the requirement to report an adverse action is
triggered. Is it once the agency is notified of the determination or
after the time for reconsideration has expired? This should be
clarified. COA recommends that if an adverse action should be reported
prior to the time for reconsideration expires, the accrediting entity
indicate this with the notation "subject to reconsideration." This must
also be clarified in order to determine at what point an entity must
begin to transfer its cases, if required to do so.

\* § 96.100 (b)

COA supports the provision allowing the accrediting body to use its
discretion in determining when a site-visit is necessary to evaluate an
applicant organization for temporary accreditation status. In order to
ensure the temporary accreditation process is not burdensome and costly
to small organizations it is important for the accrediting bodies to
rely primary, if not exclusively, on documentation for the evaluation of
temporary accreditation status.

The Provision of Final Regulations

COA discourages the State Department from publishing an additional set
of draft regulations prior to the publication of final regulations. The
publication of another set of draft regulations will significantly delay
the ratification of the Hague Convention in the United States. The
current public comment period should offer the adoption community an
appropriate amount of time to comment on the regulations and propose
revisions. It seems unlikely that after receiving public comment the
State Department will need to seek additional review.

COA recognizes that the State Department will likely receive significant
comments on several of the proposed standards, as they may seem
unachievable (e.g., the insurance requirement). While no clear solution
may be evident at this time, it is unlikely that one will be provided
for in a second public comment period.

COA further recommends that such issues identified in the standards be
considered by the accrediting entities and the State Department when
they develop a weighting and rating system. Those standards that may be
unachievable at this time should not be weighted in such a way that
prohibits the achievement of accreditation/approval. Since the
weighting/rating system is not specified in the regulations and it can
be revised by the accrediting bodies and the State Department, the
weighting of those standards could be reconsidered at a later time.

![](media/image1.png){width="2.3909448818897636in"
height="1.3374015748031496in"}![](media/image1.png){width="3.206299212598425in"
height="0.1062992125984252in"}

**Intercountry Adoption Standards Crosswalk:**

**Council On Accreditation Standards and**

**the Department of State Proposed Standards for**

**Intercountry Adoption Service Providers**

**December 2003**

**Introduction**

The Council on Accreditation (COA) is pleased to provide you with a
comparison of COA's *Standards and Self-Study Manual, 7^th^ Edition*,
published in 2001, and the State Department's Proposed Regulations
issued in September of 2003 to implement the Hague Convention on
Protection of Children and Cooperation in Respect of Intercountry
Adoption (the Convention) and the Intercountry Adoption Act (the IAA).
This project was undertaken by COA's Standards Development and
Performance Measurement Division to examine the complementary aspects of
the standards and the proposed regulations in response to requests from
the State Department and organizations accredited by COA.

# Eligibility for Accreditation

An organization is eligible for COA accreditation when it provides at
least one of the services accredited by COA; holds all required
governmental licenses/certifications for its services; has provided
services to consumers for at least 6 months at the time of application;
and is sufficiently autonomous to permit its review as a distinct legal
entity.

# Process of Accreditation

COA accreditation requires the review of organization and management
practices, and of all an organization's services for which COA has
standards. COA's accreditation process includes a self-study phase, a
site-visit phase, a decision making phase, and an annual report of
compliance. In addition, COA investigates third party complaints and
self-reports of non-compliance when necessary to determine if corrective
action or an accreditation status change is required. COA accreditation
is valid for 4 years.

# The Crosswalk 

The crosswalk is designed to provide the full text of the State
Department's proposed standards and relevant portions of the related COA
standards. The State Department standards are located in left hand
column, and the COA standards are in the middle column. The right hand
column provides a brief comment on the similarity of the standards.

This comparison illustrates that the standards are compatible in the
following areas:

-   state licensing;

-   internal structure and oversight;

-   budget, audit, insurance and risk assessment;

-   compensation;

-   educational and experience requirements for social service
    personnel;

-   training for social service personnel;

-   fee policies and procedures;

-   responding to complaints and improving service delivery;

-   adoption records;

-   using supervised providers in the US;

-   preparation of homestudies;

-   preparation and training of prospective adoptive parent(s); and

-   placement and post-placement monitoring.

Questions or comments about the crosswalk may be directed to Jayne
Pietrass at jpietrass@coanet.org.

CROSSWALK

Between Proposed Rules 22 CFR Parts 96 and 98 and

COA's Intercountry Adoption Standards

+---+-----------------------------+---------------------------+-------+
| * | **PROPOSED RULES TEXT**     | **COA CITATION AND TEXT** | *     |
| * |                             |                           | *COMM |
| P |                             |                           | ENT** |
| R |                             |                           |       |
| C |                             |                           |       |
| I |                             |                           |       |
| T |                             |                           |       |
| . |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
+===+=============================+===========================+=======+
| * |                             |                           |       |
| * |                             |                           |       |
| L |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| e |                             |                           |       |
| n |                             |                           |       |
| s |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
| g |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| C |                             |                           |       |
| o |                             |                           |       |
| r |                             |                           |       |
| p |                             |                           |       |
| o |                             |                           |       |
| r |                             |                           |       |
| a |                             |                           |       |
| t |                             |                           |       |
| e |                             |                           |       |
| G |                             |                           |       |
| o |                             |                           |       |
| v |                             |                           |       |
| e |                             |                           |       |
| r |                             |                           |       |
| n |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| c |                             |                           |       |
| e |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | State Licensing             |                           |       |
| 6 |                             |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 0 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person is     | **S15.2:** The            | Su    |
|   | properly licensed or        | organization is           | ffici |
|   | otherwise authorized by     | sanctioned by the state   | ently |
|   | State law to provide        | or province of operation, | Si    |
|   | adoption services in at     | as applicable, as a       | milar |
|   | least one State.            | licensed adoption         |       |
|   |                             | organization that may     |       |
|   |                             | deliver adoption and/or   |       |
|   |                             | intercountry adoption     |       |
|   |                             | services in compliance    |       |
|   |                             | with the Hague Convention |       |
|   |                             | on Intercountry Adoption. |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        | **G11.3.01**: The         | Su    |
|   | follows applicable State    | organization complies     | ffici |
|   | licensing and regulatory    | with all applicable       | ently |
|   | requirements in all         | federal, state or         | Si    |
|   | jurisdictions in which it   | provincial, and local     | milar |
|   | provides adoption services. | laws and regulations      |       |
|   |                             | associated with service   |       |
|   |                             | delivery; and possesses   |       |
|   |                             | all relevant licenses.    |       |
+---+-----------------------------+---------------------------+-------+
| c | If it provides adoption     | **S15.2.03:** The         | Su    |
|   | services in a State in      | organization that         | ffici |
|   | which it is not itself      | collaborates with and/or  | ently |
|   | licensed or authorized to   | accepts home studies and  | Si    |
|   | provide such services, the  | post-placement services   | milar |
|   | agency or person does so    | from other providers does |       |
|   | only through agencies,      | so only with licensed     |       |
|   | persons, or other entities  | adoption organizations or |       |
|   | that are licensed or        | other appropriately       |       |
|   | authorized by State law to  | credentialed individuals, |       |
|   | provide adoption services   | according to applicable   |       |
|   | in that State.              | state or provincial       |       |
|   |                             | licensing regulations.    |       |
+---+-----------------------------+---------------------------+-------+
| d | In the case of a person,    | **S15.2:** The            |       |
|   | the individual or           | organization is           |       |
|   | for-profit entity is not    | sanctioned by the state   |       |
|   | prohibited by State law     | or province of operation, |       |
|   | from providing adoption     | as applicable, as a       |       |
|   | services in any State where | licensed adoption         |       |
|   | it is providing adoption    | organization that may     |       |
|   | services, and does not      | deliver adoption and/or   |       |
|   | provide adoption services   | intercountry adoption     |       |
|   | in Convention countries     | services in compliance    |       |
|   | that prohibit individuals   | with the Hague Convention |       |
|   | or for-profit entities from | on Intercountry Adoption. |       |
|   | providing adoption          |                           |       |
|   | services.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Corporate structure         |                           |       |
| 6 |                             |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 1 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency qualifies for    | **S15.2.02:** The         |       |
|   | non-profit tax treatment    | organization is a         |       |
|   | under section 501(c)(3) of  | not-for-profit            |       |
|   | the Internal Revenue Code   | corporation, complying    |       |
|   | of 1986, as amended, or for | with applicable sections  |       |
|   | non-profit status under the | of the Internal Revenue   |       |
|   | laws of any State.          | Code or other applicable  |       |
|   |                             | code.                     |       |
|   |                             |                           |       |
|   |                             | **G3.4.01(a, b)**: The    |       |
|   |                             | organization is legally   |       |
|   |                             | authorized to operate as  |       |
|   |                             | one of the following: a   |       |
|   |                             | not-for-profit            |       |
|   |                             | organization with its own |       |
|   |                             | governing body that is    |       |
|   |                             | incorporated in the state |       |
|   |                             | or province in which it   |       |
|   |                             | operates or is            |       |
|   |                             | headquartered, and has a  |       |
|   |                             | duly promulgated charter, |       |
|   |                             | constitution, and/or      |       |
|   |                             | bylaws; or a              |       |
|   |                             | not-for-profit            |       |
|   |                             | organization that is      |       |
|   |                             | organized as an           |       |
|   |                             | identified sub-unit of    |       |
|   |                             | another legal entity      |       |
|   |                             | recognized under state or |       |
|   |                             | provincial law.           |       |
+---+-----------------------------+---------------------------+-------+
| b | The person is an individual | **G3.4.01(c)**: The       |       |
|   | or is a for-profit entity   | organization is legally   |       |
|   | organized as a corporation, | authorized to operate as  |       |
|   | company, association, firm, | one of the following: a   |       |
|   | partnership, society, or    | for-profit organization   |       |
|   | joint stock company, or     | that is organized as a    |       |
|   | other legal entity under    | corporation, partnership, |       |
|   | the laws of any State.      | sole proprietorship, or   |       |
|   |                             | association, and has a    |       |
|   |                             | duly promulgated charter, |       |
|   |                             | partnership agreement,    |       |
|   |                             | articles of association,  |       |
|   |                             | constitution, and/or      |       |
|   |                             | bylaws.                   |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Internal structure and      |                           |       |
| 6 | oversight                   |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 2 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | The agency or person has a  | **G4.9.01:** The chief    |       |
| a | chief executive officer or  | executive officer is      |       |
|   | equivalent official who is  | qualified by:             |       |
|   | qualified by education,     |                           |       |
|   | adoption service            | **a.** an advanced degree |       |
|   | experience, and management  | from an accredited        |       |
|   | credentials to ensure       | college or university in  |       |
|   | effective use of resources  | a field related to the    |       |
|   | and coordinated delivery of | organization's services;  |       |
|   | the services provided by    |                           |       |
|   | the agency or person, and   | **b.** at least five      |       |
|   | has authority and           | years of related          |       |
|   | responsibility for          | experience;               |       |
|   | management and oversight of |                           |       |
|   | the staff in carrying out   | c\. assessed competence   |       |
|   | the adoption-related        | in administering and      |       |
|   | functions of the            | providing services to     |       |
|   | organization. This standard | individuals, families,    |       |
|   | does not apply where the    | and/or children;          |       |
|   | person is an individual     |                           |       |
|   | practitioner.               | **d.** management skills  |       |
|   |                             | in addressing human       |       |
|   |                             | resources and financial   |       |
|   |                             | matters; and              |       |
|   |                             |                           |       |
|   |                             | e\. the ability to        |       |
|   |                             | coordinate the            |       |
|   |                             | organization's services   |       |
|   |                             | with other community      |       |
|   |                             | resources.                |       |
|   |                             |                           |       |
|   |                             | **G3.10**: The chief      |       |
|   |                             | executive officer manages |       |
|   |                             | and oversees the          |       |
|   |                             | organizations daily       |       |
|   |                             | operations.               |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person has a  | **G3.1.01**: The          | Su    |
|   | board of directors or       | organization maintains a  | ffici |
|   | similar governing body that | written statement of its  | ently |
|   | establishes and approves    | purpose or mission that   | Si    |
|   | its mission, policies,      | is formally reviewed by   | milar |
|   | budget, and programs;       | the governing body at     |       |
|   | provides leadership to      | least once every four     |       |
|   | secure the resources needed | years in light of         |       |
|   | to support its programs;    | changing community        |       |
|   | and appoints and oversees   | conditions.               |       |
|   | the performance of its      |                           |       |
|   | chief executive officer or  | **G3.6** The governing    |       |
|   | equivalent official. This   | body is responsible for   |       |
|   | standard does not apply     | adopting policies,        |       |
|   | where the person is an      | guiding organizational    |       |
|   | individual practitioner.    | development, overseeing   |       |
|   |                             | financial management, and |       |
|   |                             | ensuring the              |       |
|   |                             | organization's            |       |
|   |                             | accountability to the     |       |
|   |                             | public.                   |       |
|   |                             |                           |       |
|   |                             | **G3.7.01 (a, d)**: The   |       |
|   |                             | not-for-profit and        |       |
|   |                             | publicly held for-profit  |       |
|   |                             | organization's governing  |       |
|   |                             | body:                     |       |
|   |                             |                           |       |
|   |                             | **a.** appoints and       |       |
|   |                             | orients the chief         |       |
|   |                             | executive officer; and    |       |
|   |                             |                           |       |
|   |                             | **d.** oversees the chief |       |
|   |                             | executive officer.        |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person keeps  | # G3.5.07: The govern     | Su    |
|   | permanent records of the    | ing body and/or advisory  | ffici |
|   | meetings and deliberations  | board maintains up-to-dat | ently |
|   | of its governing body and   | e minutes and records gen | Si    |
|   | its major decisions         | erated from all meetings. | milar |
|   | affecting the delivery of   |                           |       |
|   | adoption services.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| F |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| c |                             |                           |       |
| i |                             |                           |       |
| a |                             |                           |       |
| l |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| R |                             |                           |       |
| i |                             |                           |       |
| s |                             |                           |       |
| k |                             |                           |       |
| M |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| a |                             |                           |       |
| g |                             |                           |       |
| e |                             |                           |       |
| m |                             |                           |       |
| e |                             |                           |       |
| n |                             |                           |       |
| t |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Budget, audit, insurance    |                           |       |
| 6 | and risk assessment         |                           |       |
| . | requirements.               |                           |       |
| 3 |                             |                           |       |
| 3 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        | **G6.2.02**: The          | Su    |
|   | operates under a budget     | organization has a        | ffici |
|   | approved by its governing   | written budget that       | ently |
|   | body, if applicable, for    | serves as a plan for      | Si    |
|   | management of its funds.    | managing its financial    | milar |
|   |                             | resources for the fiscal  |       |
|   |                             | year.                     |       |
|   |                             |                           |       |
|   |                             | **G6.2.04**: The          |       |
|   |                             | governing body reviews    |       |
|   |                             | and approves the budget   |       |
|   |                             | prior to the beginning of |       |
|   |                             | the fiscal year.          |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency's or person's    | **G6.5.02**: An           |       |
|   | finances are subject to     | organization that         |       |
|   | independent annual audits.  | annually reports its      |       |
|   |                             | revenues at or in excess  |       |
|   |                             | of \$500,000, or is       |       |
|   |                             | otherwise required,       |       |
|   |                             | undergoes an audit of its |       |
|   |                             | financial statements.     |       |
|   |                             |                           |       |
|   |                             | **G6.5.03**: An           |       |
|   |                             | organization that         |       |
|   |                             | annually reports less     |       |
|   |                             | than \$500,000 in         |       |
|   |                             | revenues and is not       |       |
|   |                             | otherwise required to     |       |
|   |                             | file an audit undergoes a |       |
|   |                             | review of financial       |       |
|   |                             | statements, with          |       |
|   |                             | management letter if      |       |
|   |                             | applicable.               |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person        | **G6.5.02:** PRE-SITE:    |       |
|   | submits copies of each      | Provide a copy of the     |       |
|   | audit, as well as any       | most recent audit,        |       |
|   | accompanying management     | opinion letter, and any   |       |
|   | letter or qualified opinion | accompanying management   |       |
|   | letter, for inspection the  | letter.                   |       |
|   | accrediting entity.         |                           |       |
|   |                             | **G6.5.03**: PRE-SITE:    |       |
|   |                             | Provide a copy of the     |       |
|   |                             | most recent review of     |       |
|   |                             | financial statements and  |       |
|   |                             | any accompanying          |       |
|   |                             | management letter.        |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person meets  |                           |       |
|   | the financial reporting     |                           |       |
|   | requirements of Federal and |                           |       |
|   | State laws and regulations. |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency's or person's    |                           |       |
|   | balance sheets show that it |                           |       |
|   | operates on a sound         |                           |       |
|   | financial basis and         |                           |       |
|   | generally maintains         |                           |       |
|   | sufficient cash reserves or |                           |       |
|   | other financial resources   |                           |       |
|   | to meet its operating       |                           |       |
|   | expenses for three months,  |                           |       |
|   | taking into account its     |                           |       |
|   | projected volume of cases.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | If it accepts donations,    | **S15.3.04:** The         |       |
|   | the agency person has       | organization follows a    |       |
|   | safeguards in place to      | policy that prohibits     |       |
|   | ensure that such donations  | solicitation and          |       |
|   | do not influence child      | acceptance of             |       |
|   | placement decisions in any  | contributions from        |       |
|   | way.                        | adoptive applicants, or   |       |
|   |                             | from persons acting on    |       |
|   |                             | the applicant's behalf,   |       |
|   |                             | during the period of      |       |
|   |                             | application or before an  |       |
|   |                             | application has been      |       |
|   |                             | completed, unless:        |       |
|   |                             |                           |       |
|   |                             | **a.** such contributions |       |
|   |                             | are associated with       |       |
|   |                             | requests made to other    |       |
|   |                             | persons served by the     |       |
|   |                             | organization and to the   |       |
|   |                             | public; and               |       |
|   |                             |                           |       |
|   |                             | **b.** donation history   |       |
|   |                             | and placement decisions   |       |
|   |                             | are kept separate,        |       |
|   |                             | insofar as possible.      |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person uses   | **G11.2.01**: Annually,   |       |
|   | an independent professional | the organization          |       |
|   | assessment of the risks it  | evaluates and purchases   |       |
|   | assumes as the basis for    | appropriate types and     |       |
|   | determining the type and    | levels of insurance to    |       |
|   | amount of professional,     | ensure adequate coverage. |       |
|   | general, directors' and     |                           |       |
|   | officers', and other        | **Interpretation          |       |
|   | liability insurance to      | (G11.2.01):** Appropriate |       |
|   | carry. The risk assessment  | types of insurance        |       |
|   | includes an evaluation of   | include, but are not      |       |
|   | the risks of using          | limited to, the           |       |
|   | supervised providers as     | following: general        |       |
|   | provided for in § 96.45 and | liability, workers'       |       |
|   | § 94.46 and of providing    | compensation, disability, |       |
|   | adoption services to        | fire and theft, medical,  |       |
|   | clients who, consistent     | indemnification,          |       |
|   | with § 96.39(d), will not   | professional liability,   |       |
|   | sign blanket waivers of     | risk pooling trust,       |       |
|   | liability.                  | officers' or director's   |       |
|   |                             | liability, automobile     |       |
|   |                             | liability, and            |       |
|   |                             | malpractice. In           |       |
|   |                             | designated flood plains,  |       |
|   |                             | this standard requires    |       |
|   |                             | appropriate purchase of   |       |
|   |                             | flood insurance.          |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person        | **G11.2.01**: Annually,   |       |
|   | maintains insurance in      | the organization          |       |
|   | amounts reasonably related  | evaluates and purchases   |       |
|   | to its exposure to risk,    | appropriate types and     |       |
|   | including the risks of      | levels of insurance to    |       |
|   | providing services through  | ensure adequate coverage. |       |
|   | supervised providers, but   |                           |       |
|   | in no case in an amount     |                           |       |
|   | less than \$1,000,000 per   |                           |       |
|   | occurrence.                 |                           |       |
+---+-----------------------------+---------------------------+-------+
| i | The agency's or person's    | **G11.2.02**: The         | Su    |
|   | chief executive officer,    | organization ensures that | ffici |
|   | chief financial officer,    | all personnel and         | ently |
|   | and other officers or       | governing body members    | Si    |
|   | employees with direct       | who sign checks, handle   | milar |
|   | responsibility for          | cash or contributions, or |       |
|   | financial transactions or   | manage funds are bonded   |       |
|   | financial management of the | at the organization's     |       |
|   | agency or person are        | expense, or the           |       |
|   | bonded.                     | organization maintains    |       |
|   |                             | appropriate insurance     |       |
|   |                             | coverage to cover         |       |
|   |                             | potential losses.         |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Compensation                |                           |       |
| 6 |                             |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 4 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | The agency or person does   |                           |       |
| a | not compensate any          |                           |       |
|   | individual providing        |                           |       |
|   | intercountry adoption       |                           |       |
|   | services with incentive     |                           |       |
|   | fees for each child placed  |                           |       |
|   | for adoption or on a        |                           |       |
|   | similar contingent fee      |                           |       |
|   | basis.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | compensates its directors,  |                           |       |
|   | officers, employees, and    |                           |       |
|   | supervised providers who    |                           |       |
|   | provide intercountry        |                           |       |
|   | adoption services only for  |                           |       |
|   | services actually rendered  |                           |       |
|   | and only on                 |                           |       |
|   | fee-for-service, hourly     |                           |       |
|   | wage, or salary basis       |                           |       |
|   | rather than a contingent    |                           |       |
|   | fee basis.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person does   | **S15.3.03:**             | Su    |
|   | not make any payments,      | Organizational policy     | ffici |
|   | promise payment, or give    | prohibits actual or       | ently |
|   | other consideration to any  | promised payment or other | Si    |
|   | individual directly or      | consideration to any      | milar |
|   | indirectly involved in      | party who is directly or  |       |
|   | provision of adoption       | indirectly involved in    |       |
|   | services in a particular    | the administration of     |       |
|   | case, except for salaries   | intercountry adoption     |       |
|   | or fees for services        | services, whether acting  |       |
|   | actually rendered and       | as an employee or         |       |
|   | reimbursement for costs     | independent contractor,   |       |
|   | incurred. This does not     | except for the            |       |
|   | prohibit an agency or       | performance of routine,   |       |
|   | person from providing       | professional duties       |       |
|   | in-kind or other donations  | necessary to successfully |       |
|   | not intended to influence   | complete the adoption     |       |
|   | or affect a particular      | process.                  |       |
|   | adoption.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The fees, wages, or         | **G4.2.02:** The          | Su    |
|   | salaries paid to the        | governing body and/or     | ffici |
|   | directors, officers, and    | management set salary and | ently |
|   | employees of the agency or  | benefits scales according | Si    |
|   | person are not unreasonably | to:                       | milar |
|   | high in relation to the     |                           |       |
|   | services actually rendered, | a\. prevailing labor      |       |
|   | taking into account the     | market trends for all     |       |
|   | location, number, and       | employees in              |       |
|   | qualifications of staff,    | non-unionized settings;   |       |
|   | workload requirements,      | and/or                    |       |
|   | budget, and size of the     |                           |       |
|   | agency or person, and       | **b.** the current        |       |
|   | available norms for         | collective bargaining     |       |
|   | compensation within the     | agreement, in the case of |       |
|   | intercountry adoption       | a unionized organization. |       |
|   | community.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | Any other compensation paid | **G3.7.04**: The          |       |
|   | to the agency's or person's | not-for-profit governing  |       |
|   | directors or members of its | body reviews the fairness |       |
|   | governing body is not       | of chief executive        |       |
|   | unreasonably high in        | officer compensation and  |       |
|   | relation to the services    | benefits on an annual     |       |
|   | rendered, taking into       | basis in relationship to  |       |
|   | account the same factors    | industry practices and    |       |
|   | listed in paragraph (d) of  | federal requirements.     |       |
|   | this section and its        |                           |       |
|   | for-profit or nonprofit     | # G3.11.06: Gov           |       |
|   | status.                     | erning body members do no |       |
|   |                             | t accept honoraria from t |       |
|   |                             | he organization except wh |       |
|   |                             | ere permitted by law or t |       |
|   |                             | he organization's bylaws. |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| E |                             |                           |       |
| t |                             |                           |       |
| h |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| a |                             |                           |       |
| l |                             |                           |       |
| P |                             |                           |       |
| r |                             |                           |       |
| a |                             |                           |       |
| c |                             |                           |       |
| t |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| R |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| p |                             |                           |       |
| o |                             |                           |       |
| n |                             |                           |       |
| s |                             |                           |       |
| i |                             |                           |       |
| b |                             |                           |       |
| i |                             |                           |       |
| l |                             |                           |       |
| i |                             |                           |       |
| t |                             |                           |       |
| i |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Suitability of agencies and |                           |       |
| 6 | persons to provide adoption |                           |       |
| . | serviced consistent with    |                           |       |
| 3 | the Convention.             |                           |       |
| 5 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        |                           |       |
|   | provides adoption services  |                           |       |
|   | ethically and in accordance |                           |       |
|   | with the Convention's       |                           |       |
|   | principles of:              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Ensuring that         | **S15.1:** The            |       |
|   | intercountry adoptions take | organization identifies   |       |
|   | place in the best interests | the child as the primary  |       |
|   | of children; and            | person served and seeks   |       |
|   |                             | to provide mutually       |       |
|   |                             | beneficial relationships  |       |
|   |                             | in an adoptive family to  |       |
|   |                             | children who are legally  |       |
|   |                             | free for adoption and     |       |
|   |                             | whose legal parents are   |       |
|   |                             | unwilling or unable to    |       |
|   |                             | care for them.            |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Preventing the        |                           |       |
|   | abduction, exploitation,    |                           |       |
|   | sale, or trafficking of     |                           |       |
|   | children.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | In order to permit the      |                           |       |
|   | accrediting entity to       |                           |       |
|   | evaluate the suitability of |                           |       |
|   | an agency or person for     |                           |       |
|   | accreditation or approval,  |                           |       |
|   | the agency or person        |                           |       |
|   | discloses to the            |                           |       |
|   | accrediting entity the      |                           |       |
|   | following information       |                           |       |
|   | relating to the agency or   |                           |       |
|   | person under its current or |                           |       |
|   | any former names:           |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Any instances in      |                           |       |
|   | which the agency or person  |                           |       |
|   | has permanently lost the    |                           |       |
|   | right to provide adoption   |                           |       |
|   | services in any State or a  |                           |       |
|   | country, including the      |                           |       |
|   | basis for such action(s);   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Any instances in      |                           |       |
|   | which the agency or person  |                           |       |
|   | was debarred or otherwise   |                           |       |
|   | denied the authority to     |                           |       |
|   | provide adoption services,  |                           |       |
|   | including the basis and     |                           |       |
|   | disposition of such         |                           |       |
|   | action(s);                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Any licensing         |                           |       |
|   | suspensions for cause or    |                           |       |
|   | other negative sanctions by |                           |       |
|   | oversight bodies against    |                           |       |
|   | the agency or person,       |                           |       |
|   | including the basis and     |                           |       |
|   | disposition of such         |                           |       |
|   | action(s);                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) For the prior         |                           |       |
|   | ten-year period, any        |                           |       |
|   | disciplinary action(s)      |                           |       |
|   | against the agency or       |                           |       |
|   | person by a licensing or    |                           |       |
|   | accrediting body, including |                           |       |
|   | the basis and disposition   |                           |       |
|   | of such action(s);          |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) For the prior         |                           |       |
|   | ten-year period, any        |                           |       |
|   | written complaint(s)        |                           |       |
|   | against the agency or       |                           |       |
|   | person, relating to the     |                           |       |
|   | provision of                |                           |       |
|   | adoption-related services,  |                           |       |
|   | including basis and         |                           |       |
|   | disposition of such         |                           |       |
|   | complaint(s);               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) For the prior         |                           |       |
|   | ten-year period, any past   |                           |       |
|   | or pending investigation(s) |                           |       |
|   | by Federal or State         |                           |       |
|   | authorities, criminal       |                           |       |
|   | charge(s), child abuse      |                           |       |
|   | charge(s), malpractice      |                           |       |
|   | complaint(s), or lawsuit    |                           |       |
|   | (against the agency or      |                           |       |
|   | person, related the         |                           |       |
|   | provision of                |                           |       |
|   | adoption-related services,  |                           |       |
|   | and the basis and           |                           |       |
|   | disposition of such         |                           |       |
|   | action(s);                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) Any instances where   |                           |       |
|   | the agency person has been  |                           |       |
|   | found guilty of any crime   |                           |       |
|   | under Federal, State, or    |                           |       |
|   | foreign law or any civil or |                           |       |
|   | administrative violations   |                           |       |
|   | under Federal, State, or    |                           |       |
|   | foreign law involving       |                           |       |
|   | financial irregularities;   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(8\) For the prior         |                           |       |
|   | five-year period, any       |                           |       |
|   | instances where the agency  |                           |       |
|   | or person has filed for     |                           |       |
|   | bankruptcy; and             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(9\) Descriptions of any   |                           |       |
|   | businesses or activities    |                           |       |
|   | that are inconsistent with  |                           |       |
|   | the principles of the       |                           |       |
|   | Convention and that are     |                           |       |
|   | currently carried out by an |                           |       |
|   | agency person, affiliate    |                           |       |
|   | organizations, or by any    |                           |       |
|   | entity in which the agency  |                           |       |
|   | or person has an ownership  |                           |       |
|   | or control interest.        |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | In order to permit the      |                           |       |
|   | accrediting entity to       |                           |       |
|   | evaluate the suitability of |                           |       |
|   | an agency or person for     |                           |       |
|   | accreditation or approval,  |                           |       |
|   | the agency or person also   |                           |       |
|   | discloses to the            |                           |       |
|   | accrediting entity the      |                           |       |
|   | following information about |                           |       |
|   | its individual directors,   |                           |       |
|   | officers, and employees:    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) For the prior         |                           |       |
|   | ten-year period, any        |                           |       |
|   | conduct by any such         |                           |       |
|   | individual related the      |                           |       |
|   | provision of                |                           |       |
|   | adoption-related services   |                           |       |
|   | that was subject to         |                           |       |
|   | external disciplinary       |                           |       |
|   | proceeding(s);              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Any convictions or    |                           |       |
|   | current investigations of   |                           |       |
|   | any such individual who is  |                           |       |
|   | in a senior financial       |                           |       |
|   | management position for     |                           |       |
|   | acts involving financial    |                           |       |
|   | irregularities;             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) The results of a      | **G4.7.04:** Screening    |       |
|   | State criminal background   | procedures for new        |       |
|   | check and a child abuse     | employees and contractors |       |
|   | clearance for any such      | include appropriate,      |       |
|   | individual in the United    | legally permissible, and  |       |
|   | States in a senior          | mandated reviews of state |       |
|   | management position or who  | or provincial criminal    |       |
|   | works directly with         | history records and civil |       |
|   | parent(s) and/or children   | child abuse and neglect   |       |
|   | (unless such checks have    | registries to determine   |       |
|   | been included in the State  | the appropriateness of    |       |
|   | licensing process); and     | retaining prospective     |       |
|   |                             | personnel who will:       |       |
|   |                             |                           |       |
|   |                             | **a.** work in            |       |
|   |                             | residential programs; or  |       |
|   |                             |                           |       |
|   |                             | **b.** provide direct     |       |
|   |                             | services to children, the |       |
|   |                             | elderly, or other persons |       |
|   |                             | determined by the         |       |
|   |                             | organization to be        |       |
|   |                             | vulnerable or at risk.    |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) A completed FBI Form  |                           |       |
|   | FD--258 for each such       |                           |       |
|   | individual in the United    |                           |       |
|   | States in a senior          |                           |       |
|   | management position who     |                           |       |
|   | works directly with         |                           |       |
|   | parent(s) and/or children,  |                           |       |
|   | which the agency or person  |                           |       |
|   | must keep on file in case   |                           |       |
|   | future allegations warrant  |                           |       |
|   | submission of the form for  |                           |       |
|   | a Federal criminal          |                           |       |
|   | background check of any     |                           |       |
|   | such individual.            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Descriptions of any   |                           |       |
|   | businesses or activities    |                           |       |
|   | that are inconsistent with  |                           |       |
|   | the principles of the       |                           |       |
|   | Convention and that are     |                           |       |
|   | currently carried out by    |                           |       |
|   | individual directors,       |                           |       |
|   | officers, or employees of   |                           |       |
|   | the agency or person.       |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | In order to permit the      |                           |       |
|   | accrediting entity to       |                           |       |
|   | evaluate the suitability of |                           |       |
|   | a person who is an          |                           |       |
|   | individual practitioner for |                           |       |
|   | approval, the individual    |                           |       |
|   | does as follows:            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Provides the results  | **G4.7.04:** Screening    | Su    |
|   | of a State criminal         | procedures for new        | ffici |
|   | background check and a      | employees and contractors | ently |
|   | child abuse clearance to    | include appropriate,      | Si    |
|   | the accrediting entity;     | legally permissible, and  | milar |
|   |                             | mandated reviews of state |       |
|   |                             | or provincial criminal    |       |
|   |                             | history records and civil |       |
|   |                             | child abuse and neglect   |       |
|   |                             | registries to determine   |       |
|   |                             | the appropriateness of    |       |
|   |                             | retaining prospective     |       |
|   |                             | personnel who will:       |       |
|   |                             |                           |       |
|   |                             | **a.** work in            |       |
|   |                             | residential programs; or  |       |
|   |                             |                           |       |
|   |                             | **b.** provide direct     |       |
|   |                             | services to children, the |       |
|   |                             | elderly, or other persons |       |
|   |                             | determined by the         |       |
|   |                             | organization to be        |       |
|   |                             | vulnerable or at risk.    |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Completes and retains |                           |       |
|   | a FBI Form FD--258 on file  |                           |       |
|   | in case future allegations  |                           |       |
|   | warrant submission of the   |                           |       |
|   | form for a Federal criminal |                           |       |
|   | background check; and       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) If the individual is  |                           |       |
|   | a lawyer, for every         |                           |       |
|   | jurisdiction in which he or |                           |       |
|   | she has ever been admitted  |                           |       |
|   | to the Bar, provides a      |                           |       |
|   | certificate of good         |                           |       |
|   | standing or an explanation  |                           |       |
|   | of why he or she is not in  |                           |       |
|   | good standing, accompanied  |                           |       |
|   | by any relevant             |                           |       |
|   | documentation.              |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | Any disciplinary action     |                           |       |
|   | considered by a State Bar   |                           |       |
|   | Association, including      |                           |       |
|   | consideration of an action  |                           |       |
|   | to disbar an attorney, must |                           |       |
|   | immediately be reported by  |                           |       |
|   | the attorney to the         |                           |       |
|   | accrediting entity,         |                           |       |
|   | regardless of whether the   |                           |       |
|   | action relates to           |                           |       |
|   | intercountry adoption.      |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | In order to permit the      |                           |       |
|   | accrediting entity to       |                           |       |
|   | monitor the suitability of  |                           |       |
|   | an agency or person, the    |                           |       |
|   | agency or person must       |                           |       |
|   | disclose any changes in the |                           |       |
|   | information required by §   |                           |       |
|   | 96.35 within thirty         |                           |       |
|   | business days of learning   |                           |       |
|   | of the change.              |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Prohibition on child buying |                           |       |
| 6 |                             |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 6 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | The agency or person        | **S15.3.03:**             |       |
| a | prohibits its employees and | Organizational policy     |       |
|   | agents from giving money or | prohibits actual or       |       |
|   | other consideration,        | promised payment or other |       |
|   | directly or indirectly, to  | consideration to any      |       |
|   | a child's parent(s), other  | party who is directly or  |       |
|   | individual(s), or an entity | indirectly involved in    |       |
|   | as payment for the child or | the administration of     |       |
|   | as an inducement to release | intercountry adoption     |       |
|   | the child. If permitted or  | services, whether acting  |       |
|   | required by the child's     | as an employee or         |       |
|   | country of origin, an       | independent contractor,   |       |
|   | agency or person may remit  | except for the            |       |
|   | reasonable payments for     | performance of routine,   |       |
|   | activities related to the   | professional duties       |       |
|   | adoption proceedings,       | necessary to successfully |       |
|   | prebirth and birth medical  | complete the adoption     |       |
|   | costs, the care of the      | process.                  |       |
|   | child, the care of the      |                           |       |
|   | birth mother while pregnant | **S15.3.04:** The         |       |
|   | and immediately following   | organization follows a    |       |
|   | birth of the child, or the  | policy that prohibits     |       |
|   | provision of child welfare  | solicitation and          |       |
|   | and child protection        | acceptance of             |       |
|   | services generally.         | contributions from        |       |
|   | Permitted or required       | adoptive applicants, or   |       |
|   | contributions shall not be  | from persons acting on    |       |
|   | remitted as payment for the | the applicant's behalf,   |       |
|   | child or as                 | during the period of      |       |
|   |                             | application or before an  |       |
|   | an inducement to release    | adoption has been         |       |
|   | the child.                  | completed, unless:        |       |
|   |                             |                           |       |
|   |                             | **a.** such contributions |       |
|   |                             | are associated with       |       |
|   |                             | requests made to other    |       |
|   |                             | persons served by the     |       |
|   |                             | organization and to the   |       |
|   |                             | public; and               |       |
|   |                             |                           |       |
|   |                             | b\. donation history and  |       |
|   |                             | placement decisions are   |       |
|   |                             | kept separate, insofar as |       |
|   |                             | possible.                 |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person has    |                           |       |
|   | written policies and        |                           |       |
|   | procedures in place         |                           |       |
|   | reflecting the prohibitions |                           |       |
|   | in paragraph (a) of this    |                           |       |
|   | section and reinforces them |                           |       |
|   | in its employee training    |                           |       |
|   | programs.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| P |                             |                           |       |
| r |                             |                           |       |
| o |                             |                           |       |
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| e |                             |                           |       |
| s |                             |                           |       |
| s |                             |                           |       |
| i |                             |                           |       |
| o |                             |                           |       |
| n |                             |                           |       |
| a |                             |                           |       |
| l |                             |                           |       |
| Q |                             |                           |       |
| u |                             |                           |       |
| a |                             |                           |       |
| l |                             |                           |       |
| i |                             |                           |       |
| f |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| a |                             |                           |       |
| t |                             |                           |       |
| i |                             |                           |       |
| o |                             |                           |       |
| n |                             |                           |       |
| s |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| T |                             |                           |       |
| r |                             |                           |       |
| a |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
| g |                             |                           |       |
| f |                             |                           |       |
| o |                             |                           |       |
| r |                             |                           |       |
| E |                             |                           |       |
| m |                             |                           |       |
| p |                             |                           |       |
| l |                             |                           |       |
| o |                             |                           |       |
| y |                             |                           |       |
| e |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Education and experience    |                           |       |
| 6 | requirements for social     |                           |       |
| . | service personnel.          |                           |       |
| 3 |                             |                           |       |
| 7 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person only   | S15.6: The organization   | Su    |
|   | uses employees with         | ensures that personnel    | ffici |
|   | appropriate qualifications  | are qualified by training | ently |
|   | and credentials to perform, | and knowledge to deliver  | Si    |
|   | in connection with a        | intercountry adoption     | milar |
|   | Convention adoption,        | services.                 |       |
|   | adoption-related social     |                           |       |
|   | service functions that      |                           |       |
|   | require the application of  |                           |       |
|   | clinical skills and         |                           |       |
|   | judgment (home studies,     |                           |       |
|   | child background studies,   |                           |       |
|   | counseling, parent          |                           |       |
|   | preparation,                |                           |       |
|   | post-placement, and other   |                           |       |
|   | similar services).          |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency's or person's    | **S15.6.04:**             | Su    |
|   | employees meet any State    | Professional personnel    | ffici |
|   | licensing or regulatory     | who provide intercountry  | ently |
|   | requirements for the        | adoption services hold    | Si    |
|   | services they are           | appropriate and current   | milar |
|   | providing.                  | state or provincial       |       |
|   |                             | licenses in their         |       |
|   |                             | professional disciplines, |       |
|   |                             | if applicable, and comply |       |
|   |                             | with their discipline's   |       |
|   |                             | code of ethics.           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency's or person's    | S15.6.07: The executive   | Su    |
|   | executive director, the     | director, supervisor, or  | ffici |
|   | supervisor overseeing a     | the direct social service | ently |
|   | case, or the social service | provider has direct       | Si    |
|   | employee providing          | experience in the         | milar |
|   | adoption-related social     | professional delivery of  |       |
|   | services that require the   | adoption services.        |       |
|   | application of clinical     |                           |       |
|   | skills and judgment (home   |                           |       |
|   | studies, child background   |                           |       |
|   | studies, counseling, parent |                           |       |
|   | preparation, post           |                           |       |
|   | placement, and other        |                           |       |
|   | similar services) have      |                           |       |
|   | experience in the           |                           |       |
|   | professional delivery of    |                           |       |
|   | intercountry adoption       |                           |       |
|   | services.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency's or person's    | **S15.6.01:** The         | Su    |
|   | social work supervisors     | organization retains      | ffici |
|   | have prior experience in    | social service            | ently |
|   | family and children's       | supervisory personnel who | Si    |
|   | services, adoption, or      | have prior professional   | milar |
|   | intercountry adoption and   | experience in providing   |       |
|   | either:J                    | family and children's     |       |
|   |                             | services and possess, at  |       |
|   |                             | a minimum:                |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) A master's degree     | **a.** a master's degree  | Su    |
|   | from an accredited program  | from an accredited        | ffici |
|   | of social work education;   | program of social work    | ently |
|   |                             | education;                | Si    |
|   |                             |                           | milar |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) A master's degree (or | **b.** a master's degree  | Su    |
|   | doctorate) in related human | from an accredited        | ffici |
|   | service field, including,   | program in another human  | ently |
|   | but not limited to,         | service field.            | Si    |
|   | psychology, psychiatry,     |                           | milar |
|   | psychiatric nursing,        |                           |       |
|   | counseling, rehabilitation  |                           |       |
|   | counseling, pastoral        |                           |       |
|   | counseling; or              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) In the case of a      |                           |       |
|   | social work supervisor who  |                           |       |
|   | is or was an incumbent at   |                           |       |
|   | the time the Convention     |                           |       |
|   | enters into force for the   |                           |       |
|   | United States, the          |                           |       |
|   | supervisor has significant  |                           |       |
|   | skills and experience in    |                           |       |
|   | intercountry adoption and   |                           |       |
|   | has regular access for      |                           |       |
|   | consultation purposes to an |                           |       |
|   | individual with the         |                           |       |
|   | qualifications listed in    |                           |       |
|   | paragraph (d)(1) or         |                           |       |
|   | paragraph (d)(2) of this    |                           |       |
|   | section.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | Non-supervisory employees.  |                           |       |
|   | The agency's or person's    |                           |       |
|   | non-supervisory employees   |                           |       |
|   | providing adoption-related  |                           |       |
|   | social services that        |                           |       |
|   | require the application of  |                           |       |
|   | clinical skills and         |                           |       |
|   | judgment other than home    |                           |       |
|   | studies or child background |                           |       |
|   | studies:                    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Have a master's       |                           |       |
|   | degree from an accredited   |                           |       |
|   | program of social work      |                           |       |
|   | education or in another     |                           |       |
|   | human service field; or     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Have a bachelor's     | **S15.6.02:** Direct      | Su    |
|   | degree from an accredited   | social service personnel  | ffici |
|   | program of social work      | have at least a           | ently |
|   | education; a combination of | bachelor's degree from an | Si    |
|   | a bachelor's degree in      | accredited program of     | milar |
|   | another human service field | social work education or  |       |
|   | and prior experience in     | in another human service  |       |
|   | family and children's       | field and prior           |       |
|   | services, adoption, or      | experience in family and  |       |
|   | intercountry adoption; or a | children's services.      |       |
|   | bachelor's degree in any    |                           |       |
|   | field and extensive         |                           |       |
|   | experience in intercountry  |                           |       |
|   | adoption. Additionally, the |                           |       |
|   | non-supervisory employees   |                           |       |
|   | are supervised by an        |                           |       |
|   | employee of the accredited  |                           |       |
|   | agency or approved person   |                           |       |
|   | who meets the requirements  |                           |       |
|   | for supervisors in          |                           |       |
|   | paragraph (d) of this       |                           |       |
|   | section.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | Home studies. The agency's  |                           |       |
|   | or person's employees who   |                           |       |
|   | conduct home studies:       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Have a minimum of a   |                           |       |
|   | master's degree from an     |                           |       |
|   | accredited program of       |                           |       |
|   | social work education or a  |                           |       |
|   | master's degree (or         |                           |       |
|   | doctorate) in a related     |                           |       |
|   | human service field,        |                           |       |
|   | including, but not limited  |                           |       |
|   | to, psychology, psychiatry, |                           |       |
|   | psychiatric nursing,        |                           |       |
|   | counseling, rehabilitation  |                           |       |
|   | counseling, or pastoral     |                           |       |
|   | counseling;                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Are authorized to     |                           |       |
|   | complete a home study under |                           |       |
|   | the laws of the State of    |                           |       |
|   | the child's proposed        |                           |       |
|   | residence; and              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Meet the INA          |                           |       |
|   | requirements for home study |                           |       |
|   | preparers in 8 CFR 204.3(b) |                           |       |
|   | covering home studies in    |                           |       |
|   | Convention cases.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | Child background studies.   |                           |       |
|   | The agency's or person's    |                           |       |
|   | employees who prepare child |                           |       |
|   | background studies have     |                           |       |
|   | minimum of a master's       |                           |       |
|   | degree from an accredited   |                           |       |
|   | program of social work      |                           |       |
|   | education or a master's     |                           |       |
|   | degree (or doctorate) in a  |                           |       |
|   | related human service       |                           |       |
|   | field, including, but not   |                           |       |
|   | limited to, psychology,     |                           |       |
|   | psychiatry, psychiatric     |                           |       |
|   | nursing, counseling,        |                           |       |
|   | rehabilitation counseling,  |                           |       |
|   | or pastoral counseling.     |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Training requirements for   |                           |       |
| 6 | social service personnel.   |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 8 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | The agency or person        | **S15.6.05:** The         |       |
| a | provides newly hired        | organization ensures that |       |
|   | employees who have          | all new personnel         |       |
|   | adoption-related            | including any overseas    |       |
|   | responsibilities involving  | staff or independent      |       |
|   | the application of clinical | contractors that provide  |       |
|   | skills and judgment (home   | intercountry adoption     |       |
|   | studies, child background   | services receive          |       |
|   | studies, counseling         | appropriate orientation   |       |
|   | services, parent            | and training that         |       |
|   | preparation, postplacement  | includes:                 |       |
|   | and other similar services) |                           |       |
|   | with a comprehensive        |                           |       |
|   | orientation to intercountry |                           |       |
|   | adoption that includes      |                           |       |
|   | training on:                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The requirements of   |                           |       |
|   | the Convention, the IAA,    |                           |       |
|   | the regulations,            |                           |       |
|   | implementing the IAA, and   |                           |       |
|   | other applicable Federal    |                           |       |
|   | regulations;                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The INA regulations   | **S15.6.03 (g):**         |       |
|   | applicable to the           | Supervisory and direct    |       |
|   | immigration of children     | social service personnel  |       |
|   | adopted from a Convention   | possess knowledge of      |       |
|   | country;                    | intercountry adoption     |       |
|   |                             | services, including       |       |
|   |                             | knowledge of: rules and   |       |
|   |                             | regulations of the        |       |
|   |                             | Immigration and           |       |
|   |                             | Naturalization Service or |       |
|   |                             | Canadian equivalent, as   |       |
|   |                             | applicable.               |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) The adoption laws of  |                           |       |
|   | any Convention country      |                           |       |
|   | where the agency or person  |                           |       |
|   | provides adoption services; |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Relevant State laws;  | **G7.1.05:** All new      |       |
|   |                             | program personnel are     |       |
|   |                             | oriented on judicial or   |       |
|   |                             | regulatory issues that    |       |
|   |                             | affect them, including    |       |
|   |                             | requirements associated   |       |
|   |                             | with consent decrees.     |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Prohibitions on       |                           |       |
|   | child-buying;               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) The agency's or       | **S15.6.05 (a):** The     | Su    |
|   | person's goals, ethical and | organization ensures that | ffici |
|   | professional guidelines,    | all new personnel         | ently |
|   | organizational lines of     | including any overseas    | Si    |
|   | accountability, policies,   | staff or independent      | milar |
|   | and procedures; and         | contractors that provide  |       |
|   |                             | intercountry adoption     |       |
|   |                             | services receive          |       |
|   |                             | appropriate orientation   |       |
|   |                             | and training that         |       |
|   |                             | includes the              |       |
|   |                             | organization's goals,     |       |
|   |                             | services, policies, and   |       |
|   |                             | procedures.               |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) The cultural          | **S15.6.05 (b):** The     | Su    |
|   | diversity of the            | organization ensures that | ffici |
|   | population(s) served by the | all new personnel         | ently |
|   | agency or person.           | including any overseas    | Si    |
|   |                             | staff or independent      | milar |
|   |                             | contractors that provide  |       |
|   |                             | intercountry adoption     |       |
|   |                             | services receive          |       |
|   |                             | appropriate orientation   |       |
|   |                             | and training that         |       |
|   |                             | includes: the cultural    |       |
|   |                             | diversity of the service  |       |
|   |                             | population.               |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | provides initial training   |                           |       |
|   | to employees who provide    |                           |       |
|   | adoption-related social     |                           |       |
|   | services that involve the   |                           |       |
|   | application of clinical     |                           |       |
|   | skills and judgment (home   |                           |       |
|   | studies, child background   |                           |       |
|   | studies, counseling         |                           |       |
|   | services, parent            |                           |       |
|   | preparation, postplacement  |                           |       |
|   | and other similar services) |                           |       |
|   | that addresses:             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The factors in the    |                           |       |
|   | countries of origin that    |                           |       |
|   | lead to children needing    |                           |       |
|   | adoptive families;          |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Feelings of           | **S15.6.03 (a):**         | Su    |
|   | separation, grief, and loss | Supervisory and direct    | ffici |
|   | experienced by the child    | social service personnel  | ently |
|   | with respect to the family  | possess knowledge of      | Si    |
|   | of origin;                  | intercountry adoption     | milar |
|   |                             | services, including       |       |
|   |                             | knowledge of: separation  |       |
|   |                             | and loss from family of   |       |
|   |                             | origin.                   |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Attachment and        | **S15.6.03 (b, d):**      | Su    |
|   | post-traumatic stress       | Supervisory and direct    | ffici |
|   | disorders;                  | social service personnel  | ently |
|   |                             | possess knowledge of      | Si    |
|   |                             | intercountry adoption     | milar |
|   |                             | services, including       |       |
|   |                             | knowledge of: bonding to  |       |
|   |                             | an adoptive family; and   |       |
|   |                             | post-traumatic stress     |       |
|   |                             | disorder.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Psychological issues  |                           |       |
|   | facing children who have    |                           |       |
|   | experienced abuse or        |                           |       |
|   | neglect and/or whose        |                           |       |
|   | parents' rights have been   |                           |       |
|   | terminated because of abuse |                           |       |
|   | or neglect;                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) The impact of         |                           |       |
|   | institutionalization on     |                           |       |
|   | child development;          |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Outcomes for children |                           |       |
|   | placed for adoption         |                           |       |
|   | internationally, and the    |                           |       |
|   | most frequent medical and   |                           |       |
|   | psychological problems      |                           |       |
|   | experienced by children     |                           |       |
|   | from the countries of       |                           |       |
|   | origin served by the agency |                           |       |
|   | or person;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) The process of        | **S15.6.03 (b):**         | Su    |
|   | developing emotional ties   | Supervisory and direct    | ffici |
|   | to an adoptive family;      | social service personnel  | ently |
|   |                             | possess knowledge of      | Si    |
|   |                             | intercountry adoption     | milar |
|   |                             | services, including       |       |
|   |                             | knowledge of: bonding to  |       |
|   |                             | an adoptive family.       |       |
+---+-----------------------------+---------------------------+-------+
|   | \(8\) Acculturation and     | **S15.6.05 (b):** The     |       |
|   | assimilation issues,        | organization ensures that |       |
|   | including those arising     | all new personnel         |       |
|   | from factors such as race,  | including any overseas    |       |
|   | ethnicity, religion, and    | staff or independent      |       |
|   | culture and the impact of   | contractors that provide  |       |
|   | having been adopted         | intercountry adoption     |       |
|   | internationally; and        | services receive          |       |
|   |                             | appropriate orientation   |       |
|   |                             | and training that         |       |
|   |                             | includes: the cultural    |       |
|   |                             | diversity of the service  |       |
|   |                             | population.               |       |
+---+-----------------------------+---------------------------+-------+
|   | \(9\) Child, adolescent,    |                           |       |
|   | and adult development.      |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person        | **S15.6.06:** Direct      |       |
|   | ensures that employees who  | social service personnel  |       |
|   | provide adoption related    | receive at least ten      |       |
|   | social services that        | hours of training         |       |
|   | involve the application of  | relevant to the field     |       |
|   | clinical skills and         | annually.                 |       |
|   | judgment (home studies,     |                           |       |
|   | child background studies,   |                           |       |
|   | counseling services, parent |                           |       |
|   | preparation, post placement |                           |       |
|   | and other similar services) |                           |       |
|   | also receive, in addition   |                           |       |
|   | to the orientation and      |                           |       |
|   | initial training described  |                           |       |
|   | in paragraphs (a) and (b)   |                           |       |
|   | of this section, no less    |                           |       |
|   | than 20 hours of training   |                           |       |
|   | each year, or more if       |                           |       |
|   | required by State law, on   |                           |       |
|   | current and emerging        |                           |       |
|   | adoption practice issues    |                           |       |
|   | through participation in    |                           |       |
|   | seminars, conferences, and  |                           |       |
|   | other similar programs.     |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        |                           |       |
|   | exempts employees from      |                           |       |
|   | elements of the orientation |                           |       |
|   | and training required in    |                           |       |
|   | paragraphs (a) and (b) of   |                           |       |
|   | this section only where the |                           |       |
|   | employee has prior          |                           |       |
|   | experience with             |                           |       |
|   | intercountry adoption and   |                           |       |
|   | knowledge of the Convention |                           |       |
|   | and the IAA.                |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
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| n |                             |                           |       |
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| y |                             |                           |       |
| C |                             |                           |       |
| o |                             |                           |       |
| n |                             |                           |       |
| t |                             |                           |       |
| r |                             |                           |       |
| o |                             |                           |       |
| l |                             |                           |       |
| P |                             |                           |       |
| o |                             |                           |       |
| l |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| i |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| P |                             |                           |       |
| r |                             |                           |       |
| a |                             |                           |       |
| c |                             |                           |       |
| t |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Information disclosure, and |                           |       |
| 6 | quality control practices.  |                           |       |
| . |                             |                           |       |
| 3 |                             |                           |       |
| 9 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person fully  |                           |       |
|   | discloses in writing to the |                           |       |
|   | general public upon request |                           |       |
|   | and to prospective          |                           |       |
|   | client(s) upon initial      |                           |       |
|   | contact:                    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Its adoption service  |                           |       |
|   | policies and practices,     |                           |       |
|   | including general           |                           |       |
|   | eligibility criteria, fees, |                           |       |
|   | and the mutual rights and   |                           |       |
|   | responsibilities of clients |                           |       |
|   | and the agency or person;   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) A sample of a         |                           |       |
|   | contract substantially like |                           |       |
|   | the one that the            |                           |       |
|   | prospective client(s) will  |                           |       |
|   | be expected to sign should  |                           |       |
|   | they proceed; and           |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) The entities with     |                           |       |
|   | whom the prospective        |                           |       |
|   | client(s) can expect to     |                           |       |
|   | work the United States and  |                           |       |
|   | in the child's country of   |                           |       |
|   | origin and the usual costs  |                           |       |
|   | associated with their       |                           |       |
|   | services.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | maintains and makes         |                           |       |
|   | available upon request to   |                           |       |
|   | client(s) and prospective   |                           |       |
|   | client(s) information on:   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The number of its     |                           |       |
|   | adoption placements per     |                           |       |
|   | year for the prior three    |                           |       |
|   | calendar years, and the     |                           |       |
|   | number and percentage of    |                           |       |
|   | those placements that       |                           |       |
|   | remain intact, are          |                           |       |
|   | disrupted, or have been     |                           |       |
|   | dissolved as of the time    |                           |       |
|   | the information is          |                           |       |
|   | provided;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The number of parents |                           |       |
|   | who apply to adopt on a     |                           |       |
|   | yearly basis, based on data |                           |       |
|   | for the prior three         |                           |       |
|   | calendar years; and         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) The number of         |                           |       |
|   | children awaiting adoption, |                           |       |
|   | when available.             |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person does   | **S15.3.06:**             | Su    |
|   | not give preferential       | Organizational policy     | ffici |
|   | treatment to its board      | prohibits preferential    | ently |
|   | members, contributors,      | placement decisions       | Si    |
|   | volunteers, employees,      | regarding children whom   | milar |
|   | agents, consultants, or     | the organization might    |       |
|   | independent contractors     | refer for adoption to     |       |
|   | with respect to the         | organization senior       |       |
|   | placement of children for   | management, employees,    |       |
|   | adoption and has a written  | contractors, or           |       |
|   | policy to this effect.      | consultants who are       |       |
|   |                             | adoptive applicants.      |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person does   |                           |       |
|   | not require a client or     |                           |       |
|   | prospective client to sign  |                           |       |
|   | a blanket waiver of         |                           |       |
|   | liability in connection     |                           |       |
|   | with the provision of       |                           |       |
|   | adoption services in        |                           |       |
|   | Convention cases.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person        |                           |       |
|   | cooperates with reviews,    |                           |       |
|   | inspections, and audits.    |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person uses   |                           |       |
|   | the internet to place       |                           |       |
|   | particular children for     |                           |       |
|   | adoption only where:        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Such use is not       | **G11.3.01**: The         |       |
|   | prohibited by applicable    | organization complies     |       |
|   | State or Federal law or by  | with all applicable       |       |
|   | laws of the child's country | federal, state or         |       |
|   | of origin;                  | provincial, and local     |       |
|   |                             | laws and regulations      |       |
|   |                             | associated with service   |       |
|   |                             | delivery; and possesses   |       |
|   |                             | all relevant licenses.    |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Such use is subject   |                           |       |
|   | to controls to avoid misuse |                           |       |
|   | and links to any sites that |                           |       |
|   | reflect practices that      |                           |       |
|   | involve the sale,           |                           |       |
|   | abduction, exploitation, or |                           |       |
|   | trafficking children;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Such use, if it       |                           |       |
|   | includes photographs, is    |                           |       |
|   | designed to identify        |                           |       |
|   | children either who are     |                           |       |
|   | currently waiting for       |                           |       |
|   | adoption or who have        |                           |       |
|   | already been adopted or     |                           |       |
|   | placed for adoption (and    |                           |       |
|   | who are clearly so          |                           |       |
|   | identified); and            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Such use does not     |                           |       |
|   | serve as a substitute for   |                           |       |
|   | the direct provision of     |                           |       |
|   | adoption services,          |                           |       |
|   | including services the      |                           |       |
|   | child, the prospective      |                           |       |
|   | adoptive parent(s), and/or  |                           |       |
|   | the birth parent(s).        |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Fee policies and            |                           |       |
| 6 | procedures.                 |                           |       |
| . |                             |                           |       |
| 4 |                             |                           |       |
| 0 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        |  **S15.3.01:** The        | Su    |
|   | provides to all applicants, | organization complies     | ffici |
|   | prior to application, a     | with all applicable laws  | ently |
|   | written schedule of         | or regulations governing  | Si    |
|   | estimated fees and expenses | fee-setting and informs   | milar |
|   | and an explanation of the   | applicants at the point   |       |
|   | conditions under which fees | service is initiated of   |       |
|   | or expenses may be charged, | the conditions under      |       |
|   | waived, reduced, or         | which fees are charged,   |       |
|   | refunded and of when and    | changed, refunded,        |       |
|   | how the fees and expenses   | waived, or reduced.       |       |
|   | must be paid.               |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | Before providing any        | **S15.3.02:** Prior to or |       |
|   | adoption service to         | at the time of service    |       |
|   | prospective adoptive        | delivery, the             |       |
|   | parent(s), the agency or    | organization establishes  |       |
|   | person itemizes and         | in the case record and    |       |
|   | discloses in writing the    | informs each person       |       |
|   | following information for   | served in writing of the  |       |
|   | each separate category of   | following:                |       |
|   | fees and expenses that the  |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) will be charged   |                           |       |
|   | in connection with a        |                           |       |
|   | Convention adoption:        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) *Home Study.* The     | **S15.3.02 (a):** Prior   |       |
|   | expected total fees and     | to or at the time of      |       |
|   | expenses for home study     | service delivery, the     |       |
|   | preparation, whether the    | organization establishes  |       |
|   | home study is to be         | in the case record and    |       |
|   | prepared directly by an     | informs each person       |       |
|   | accredited agency or        | served in writing of the  |       |
|   | temporarily accredited      | following: estimated or   |       |
|   | agency, or prepared by a    | actual expenses.          |       |
|   | supervised provider,        |                           |       |
|   | exempted provider, or       |                           |       |
|   | approved person and         |                           |       |
|   | reviewed and approved by an |                           |       |
|   | accredited agency or        |                           |       |
|   | temporarily accredited      |                           |       |
|   | agency;                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) *Adoption expenses in | **S15.3.02 (a):** Prior   |       |
|   | the United States.* The     | to or at the time of      |       |
|   | expected total fees and     | service delivery, the     |       |
|   | expenses for all adoption   | organization establishes  |       |
|   | services other than the     | in the case record and    |       |
|   | home study that will be     | informs each person       |       |
|   | provided in the United      | served in writing of the  |       |
|   | States. This category       | following: estimated or   |       |
|   | includes, but is not        | actual expenses.          |       |
|   | limited to, personnel       |                           |       |
|   | costs, administrative       |                           |       |
|   | overhead, training and      |                           |       |
|   | education, communications   |                           |       |
|   | and publications costs, and |                           |       |
|   | any other costs related to  |                           |       |
|   | providing adoption services |                           |       |
|   | in the United States;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) *Foreign country      | **S15.3.02 (e):** Prior   | Su    |
|   | program expenses.* all      | to or at the time of      | ffici |
|   | adoption services that will | service delivery, the     | ently |
|   | be provided in the child's  | organization establishes  | Si    |
|   | Convention country. This    | in the case record and    | milar |
|   | category includes, but it   | informs each person       |       |
|   | not limited to, costs for   | served in writing of the  |       |
|   | care of the child prior to  | following: costs in the   |       |
|   | adoption, costs for         | child's country of        |       |
|   | personnel, administrative   | origin.                   |       |
|   | overhead, training,         |                           |       |
|   | education, and              |                           |       |
|   | communications, and any     |                           |       |
|   | other costs related to      |                           |       |
|   | providing adoption services |                           |       |
|   | in the child's Convention   |                           |       |
|   | country;                    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) *Translation and      | **S15.3.02 (a):** Prior   |       |
|   | document expenses.* The     | to or at the time of      |       |
|   | expected total fees and     | service delivery, the     |       |
|   | expenses for obtaining any  | organization establishes  |       |
|   | necessary documents and for | in the case record and    |       |
|   | any translation of          | informs each person       |       |
|   | documents related to the    | served in writing of the  |       |
|   | adoption, along with        | following: estimated or   |       |
|   | information on whether the  | actual expenses.          |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) will be expected  |                           |       |
|   | to pay such costs directly, |                           |       |
|   | either in the United States |                           |       |
|   | or in the child's           |                           |       |
|   | Convention country, or      |                           |       |
|   | through the agency or       |                           |       |
|   | person. This category       |                           |       |
|   | includes, but is not        |                           |       |
|   | limited to, costs for       |                           |       |
|   | obtaining or copying        |                           |       |
|   | records or documents        |                           |       |
|   | required to complete the    |                           |       |
|   | adoption, costs for the     |                           |       |
|   | child's Convention court    |                           |       |
|   | documents, passport,        |                           |       |
|   | adoption certificate and    |                           |       |
|   | other documents related to  |                           |       |
|   | the adoption, and costs for |                           |       |
|   | notarizations and           |                           |       |
|   | certifications;             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) *Travel and           | **S15.3.02 (a):** Prior   |       |
|   | accommodation expenses.*    | to or at the time of      |       |
|   | The expected total fees and | service delivery, the     |       |
|   | expenses for any travel and | organization establishes  |       |
|   | accommodation services      | in the case record and    |       |
|   | arranged by agency or       | informs each person       |       |
|   | person for the prospective  | served in writing of the  |       |
|   | adoptive parent(s);         | following: estimated or   |       |
|   |                             | actual expenses.          |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) *Contributions.* Any  | **S15.3.04:** The         |       |
|   | fixed contribution amount   | organization follows a    |       |
|   | that the prospective        | policy that prohibits     |       |
|   | adoptive parent(s) will be  | solicitation and          |       |
|   | expected or required to     | acceptance of             |       |
|   | make to child protection or | contributions from        |       |
|   | child welfare service       | adoptive applicants, or   |       |
|   | programs in the child's     | from persons acting on    |       |
|   | Convention country or in    | the applicant's behalf,   |       |
|   | the United States, along    | during the period of      |       |
|   | with an explanation of the  | application or before an  |       |
|   | intended use of the         | adoption has been         |       |
|   | contribution and the manner | completed, unless:        |       |
|   | in                          |                           |       |
|   |                             | **a.** such contributions |       |
|   | which the transaction will  | are associated with       |       |
|   | be recorded and accounted   | requests made to other    |       |
|   | for; and                    | persons served by the     |       |
|   |                             | organization and to the   |       |
|   |                             | public; and               |       |
|   |                             |                           |       |
|   |                             | **b.** donation history   |       |
|   |                             | and placement decisions   |       |
|   |                             | are kept separate,        |       |
|   |                             | insofar as possible.      |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) *Post-placement and   | **S15.3.02 (a):** Prior   |       |
|   | post-adoption reports.* The | to or at the time of      |       |
|   | expected total fees and     | service delivery, the     |       |
|   | expenses for any            | organization establishes  |       |
|   | post-placement or           | in the case record and    |       |
|   | post-adoption reports that  | informs each person       |       |
|   | the agency or person or     | served in writing of the  |       |
|   | parent(s) must prepare in   | following: estimated or   |       |
|   | light of any requirements   | actual expenses.          |       |
|   | of the expected country of  |                           |       |
|   | origin.                     |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person also   | **S15.3.01:** The         | Su    |
|   | specifies in its written    | organization complies     | ffici |
|   | adoption contract when and  | with all applicable laws  | ently |
|   | how funds advanced to cover | or regulations governing  | Si    |
|   | fees or expenses will be    | fee-setting and informs   | milar |
|   | refunded if adoption        | applicants at the point   |       |
|   | services are not provided.  | service is initiated of   |       |
|   |                             | the conditions under      |       |
|   |                             | which fees are charged,   |       |
|   |                             | changed, refunded,        |       |
|   |                             | waived, or reduced.       |       |
+---+-----------------------------+---------------------------+-------+
| d | When the agency or person   |                           |       |
|   | uses part of its fees to    |                           |       |
|   | provide special services,   |                           |       |
|   | such as cultural programs   |                           |       |
|   | for adoptee(s),             |                           |       |
|   | scholarships or other       |                           |       |
|   | services, it discloses this |                           |       |
|   | policy to the prospective   |                           |       |
|   | adoptive parent(s) in       |                           |       |
|   | advance of providing any    |                           |       |
|   | adoption services and gives |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s) an explanation of |                           |       |
|   | the use of such funds.      |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person has    |                           |       |
|   | mechanisms in place for     |                           |       |
|   | transferring funds to       |                           |       |
|   | Convention countries when   |                           |       |
|   | the financial institutions  |                           |       |
|   | of the Convention country   |                           |       |
|   | so permit and for obtaining |                           |       |
|   | written receipts for such   |                           |       |
|   | transfers, so that direct   |                           |       |
|   | cash transactions by the    |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) to pay for        |                           |       |
|   | adoption services provided  |                           |       |
|   | in the other Convention     |                           |       |
|   | country are minimized or    |                           |       |
|   | unnecessary.                |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person does   | **S15.3.01:** The         |       |
|   | not customarily charge      | organization complies     |       |
|   | additional fees and         | with all applicable laws  |       |
|   | expenses beyond those       | or regulations governing  |       |
|   | disclosed in the adoption   | fee-setting and informs   |       |
|   | contract and has a written  | applicants at the point   |       |
|   | policy to this effect. In   | service is initiated of   |       |
|   | the event that unforeseen   | the conditions under      |       |
|   | additional fees and         | which fees are charged,   |       |
|   | expenses are incurred in    | changed, refunded,        |       |
|   | the other Convention        | waived, or reduced.       |       |
|   | country, the agency or      |                           |       |
|   | person charges additional   |                           |       |
|   | fees and expenses only      |                           |       |
|   | under the following         |                           |       |
|   | conditions:                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) It discloses the fees |                           |       |
|   | and expenses in writing to  |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s);                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) It obtains the        |                           |       |
|   | specific consent of the     |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) prior expending   |                           |       |
|   | any funds in excess of 800  |                           |       |
|   | for which the agency or     |                           |       |
|   | person will hold the        |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) responsible or    |                           |       |
|   | gives the prospective       |                           |       |
|   | adoptive parent(s) the      |                           |       |
|   | opportunity to waive the    |                           |       |
|   | notice and consent          |                           |       |
|   | requirement in advance. If  |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s) has the           |                           |       |
|   | opportunity to waive the    |                           |       |
|   | notice and consent          |                           |       |
|   | requirement in advance,     |                           |       |
|   | this policy is reflected in |                           |       |
|   | the written policies and    |                           |       |
|   | procedures of the agency or |                           |       |
|   | person; and                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) It provides written   |                           |       |
|   | receipts to the prospective |                           |       |
|   | adoptive parent(s) for fees |                           |       |
|   | and expenses paid in the    |                           |       |
|   | Convention country and      |                           |       |
|   | retains copies of such      |                           |       |
|   | receipts.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | When its delivery of        |                           |       |
|   | services is completed, the  |                           |       |
|   | agency or person gives the  |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) an accounting of  |                           |       |
|   | both the total fees and     |                           |       |
|   | expenses incurred within    |                           |       |
|   | thirty days the completion  |                           |       |
|   | of the delivery of the      |                           |       |
|   | services.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person        |                           |       |
|   | returns any funds to which  |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s) may be entitled   |                           |       |
|   | at the same time that the   |                           |       |
|   | agency or person provides   |                           |       |
|   | the accounting required in  |                           |       |
|   | paragraph of this section.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| R |                             |                           |       |
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| t |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Procedure for responding to |                           |       |
| 6 | complaints and improving    |                           |       |
| . | service delivery.           |                           |       |
| 4 |                             |                           |       |
| 1 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person has    | G1.8 (a): Written         |       |
|   | written complaint policies  | procedures provide        |       |
|   | and procedures that         | applicants and persons    |       |
|   | incorporate the standards   | served with a formal      |       |
|   | in paragraphs (b) though    | mechanism for expressing  |       |
|   | (h) of this section and     | and resolving complaints  |       |
|   | provides a copy of such     | and grievances, and such  |       |
|   | policies and procedures,    | procedures:               |       |
|   | including contact           |                           |       |
|   | information for the         | **a.** are given to all   |       |
|   | Complaint Registry,         | applicants at the time of |       |
|   | client(s) at the time the   | application, and to       |       |
|   | adoption contract is        | persons served upon       |       |
|   | signed.                     | request or at the         |       |
|   |                             | initiation of a           |       |
|   |                             | grievance;                |       |
|   |                             |                           |       |
|   |                             | **b.** include an appeal  |       |
|   |                             | procedure;                |       |
|   |                             |                           |       |
|   |                             | **c.** provide for a      |       |
|   |                             | timely resolution of the  |       |
|   |                             | matter; and               |       |
|   |                             |                           |       |
|   |                             | **d.** require a written  |       |
|   |                             | response to the aggrieved |       |
|   |                             | that includes             |       |
|   |                             | documentation of the      |       |
|   |                             | response in the case      |       |
|   |                             | record.                   |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | permits any birth parent,   |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent, or adoptee to lodge |                           |       |
|   | a complaint appeal about    |                           |       |
|   | any of the services or      |                           |       |
|   | activities of the agency or |                           |       |
|   | person that he she believes |                           |       |
|   | are inconsistent with the   |                           |       |
|   | Convention, the IAA, or the |                           |       |
|   | regulations implementing    |                           |       |
|   | the IAA.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person        | G1.8 (c, d): Written      |       |
|   | responds in writing to      | procedures provide        |       |
|   | complaints within thirty    | applicants and persons    |       |
|   | days of receipt, and        | served with a formal      |       |
|   | provides expedited review   | mechanism for expressing  |       |
|   | of complaints that are      | and resolving complaints  |       |
|   | timesensitive or that       | and grievances, and such  |       |
|   | involve allegations of      | procedures:               |       |
|   | fraud.                      |                           |       |
|   |                             | **c.** provide for a      |       |
|   |                             | timely resolution of the  |       |
|   |                             | matter; and               |       |
|   |                             |                           |       |
|   |                             | **d.** require a written  |       |
|   |                             | response to the aggrieved |       |
|   |                             | that includes             |       |
|   |                             | documentation of the      |       |
|   |                             | response in the case      |       |
|   |                             | record.                   |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        | **G1.8 (d)**: Written     | Su    |
|   | maintains a written record  | procedures provide        | ffici |
|   | of each complaint and the   | applicants and persons    | ently |
|   | steps taken to investigate  | served with a formal      | Si    |
|   | and respond to it and makes | mechanism for expressing  | milar |
|   | this record available to    | and resolving complaints  |       |
|   | the accrediting entity, the | and grievances, and such  |       |
|   | Complaint Registry, or the  | procedures: require a     |       |
|   | Secretary upon request.     | written response to the   |       |
|   |                             | aggrieved that includes   |       |
|   |                             | documentation of the      |       |
|   |                             | response in the case      |       |
|   |                             | record.                   |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person does   |                           |       |
|   | not take any action to      |                           |       |
|   | discourage a client or      |                           |       |
|   | prospective client from, or |                           |       |
|   | retaliate against a client  |                           |       |
|   | or prospective client for,  |                           |       |
|   | making a complaint,         |                           |       |
|   | expressing a grievance,     |                           |       |
|   | questioning the conduct of, |                           |       |
|   | or expressing an opinion    |                           |       |
|   | about the performance of an |                           |       |
|   | agency or person.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person        | **G2.5.04**: At least     |       |
|   | provides to the accrediting | quarterly, the            |       |
|   | entity and the Complaint    | organization conducts a   |       |
|   | Registry, on a quarterly    | review of all grievances, |       |
|   | basis, a summary of all     | incidents, or accidents   |       |
|   | complaints received during  | involving persons served  |       |
|   | the preceding quarter       | or personnel, including,  |       |
|   | (including the number of    | but not limited to:       |       |
|   | complaints received and how | review of issues related  |       |
|   | each complaint was          | to administering,         |       |
|   | resolved) and an assessment | dispensing, or            |       |
|   | of any discernible patterns | prescribing medications,  |       |
|   | in complaints received      | when appropriate; and     |       |
|   | against the agency or       | review of environmental   |       |
|   | person, along with          | risks.                    |       |
|   | information about what      |                           |       |
|   | systemic changes, if any,   | **G2.11**: The            |       |
|   | were made or are planned by | organization takes        |       |
|   | the agency or person in     | continual action to       |       |
|   | response to such patterns.  | improve services and      |       |
|   |                             | promulgate solutions to   |       |
|   |                             | the issues identified by  |       |
|   |                             | its CQI activities.       |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person        |                           |       |
|   | provides such other         |                           |       |
|   | information about           |                           |       |
|   | complaints received as may  |                           |       |
|   | be requested by the         |                           |       |
|   | accrediting entity, the     |                           |       |
|   | Complaint Registry, or the  |                           |       |
|   | Secretary.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person has a  | **G2**. The organization  | Su    |
|   | quality improvement program | demonstrates a commitment | ffici |
|   | appropriate to its size and | to continuous quality     | ently |
|   | circumstances through which | improvement (CQI) through | Si    |
|   | it makes systematic efforts | implementation of a       | milar |
|   | to improve its adoption     | comprehensive             |       |
|   | services as needed. The     |                           |       |
|   | agency or person uses       | CQI system.               |       |
|   | quality improvement methods |                           |       |
|   | such as reviewing complaint | **G2.1.01**: A written    |       |
|   | data, using client          | CQI document describes    |       |
|   | satisfaction surveys, or    | the organization's        |       |
|   | comparing the agency's or   | implementation of the     |       |
|   | person's practices and      | processes and activities  |       |
|   | performance against the     | addressed throughout G2.  |       |
|   | data contained in the       |                           |       |
|   | Secretary's annual reports  | Interpretation (G2.1.01): |       |
|   | to Congress on intercountry | The written CQI document  |       |
|   | adoptions.                  | addresses the following:  |       |
|   |                             |                           |       |
|   |                             | **a.** stakeholder        |       |
|   |                             | participation (G2.2);     |       |
|   |                             |                           |       |
|   |                             | **b.** long-term planning |       |
|   |                             | (G2.3);                   |       |
|   |                             |                           |       |
|   |                             | **c.** short term         |       |
|   |                             | planning (G2.4);          |       |
|   |                             |                           |       |
|   |                             | **d.** internal quality   |       |
|   |                             | monitoring (G2.5);        |       |
|   |                             |                           |       |
|   |                             | **e.** case record review |       |
|   |                             | (G2.6);                   |       |
|   |                             |                           |       |
|   |                             | **f.** outcomes           |       |
|   |                             | measurement (G2.7);       |       |
|   |                             |                           |       |
|   |                             | **g.** measurement of     |       |
|   |                             | consumer satisfaction     |       |
|   |                             | (G2.8);                   |       |
|   |                             |                           |       |
|   |                             | **h.** feedback           |       |
|   |                             | mechanisms (G2.9);        |       |
|   |                             |                           |       |
|   |                             | **i** information         |       |
|   |                             | management (G2.10); and   |       |
|   |                             |                           |       |
|   |                             | **j.** corrective action  |       |
|   |                             | (G2.11).                  |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Retention, preservation,    |                           |       |
| 6 | and description of adoption |                           |       |
| . | records.                    |                           |       |
| 4 |                             |                           |       |
| 2 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        | **S15.5.01 (a, c):** The  |       |
|   | retains or archives         | organization ensures that |       |
|   | adoption records in a       | the records of persons    |       |
|   | retrievable manner for the  | served:                   |       |
|   | period of time required by  |                           |       |
|   | applicable State law.       | **a.** are maintained in  |       |
|   |                             | a confidential and secure |       |
|   |                             | manner; and               |       |
|   |                             |                           |       |
|   |                             | **c.** comply with legal  |       |
|   |                             | regulations, including    |       |
|   |                             | regulations regarding     |       |
|   |                             | record retention.         |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person makes  | **S15.5.01 (b):** The     |       |
|   | readily available to the    | organization ensures that |       |
|   | adoptee or the adoptive     | the records of persons    |       |
|   | parent(s) upon request all  | served: contain social    |       |
|   | nonidentifying information  | and medical information   |       |
|   | in its custody about the    | that is necessary to      |       |
|   | adoptee's health history or | provide the service and   |       |
|   | background.                 | anticipates the adopted   |       |
|   |                             | child's and adoptive      |       |
|   |                             | family's future needs.    |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person        | ##                        |       |
|   | preserves and discloses     |                           |       |
|   | information in its custody  |                           |       |
|   | about the adoptee's origin, |                           |       |
|   | social history, and birth   |                           |       |
|   | parents' identity in        |                           |       |
|   | accordance with applicable  |                           |       |
|   | State law.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        | **S15.5.01 (a, c):** The  | Su    |
|   | protects the privacy of     | organization ensures that | ffici |
|   | birth parent(s),            | the records of persons    | ently |
|   | prospective adoptive        | served:                   | Si    |
|   | parent(s), and adoptee(s)   |                           | milar |
|   | to whom adoption services   | **a.** are maintained in  |       |
|   | were provided and           | a confidential and secure |       |
|   | safeguards sensitive        | manner; and               |       |
|   | information.                |                           |       |
|   |                             | **c.** comply with legal  |       |
|   |                             | regulations, including    |       |
|   |                             | regulations regarding     |       |
|   |                             | record retention.         |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person        | **G11.4.07 (a)**: The     | Su    |
|   | ensures that personal data  | format of electronically  | ffici |
|   | gathered or transmitted in  | transmitted data complies | ently |
|   | connection with an adoption | with legal standards and  | Si    |
|   | is used only for the        | requirements, and the     | milar |
|   | purposes for which the      | organization uses         |       |
|   | information was gathered.   | appropriate formats,      |       |
|   |                             | codes, and identifiers to |       |
|   |                             | ensure the security and   |       |
|   |                             | privacy of electronically |       |
|   |                             | transmitted data as       |       |
|   |                             | required by law.          |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person has a  |                           |       |
|   | plan that is consistent     |                           |       |
|   | with the provisions of this |                           |       |
|   | section and applicable      |                           |       |
|   | State law for transferring  |                           |       |
|   | custody of adoption records |                           |       |
|   | that are subject to         |                           |       |
|   | retention or archival       |                           |       |
|   | requirements to an          |                           |       |
|   | appropriate custodian, and  |                           |       |
|   | ensuring the accessibility  |                           |       |
|   | of those adoption records,  |                           |       |
|   | in the event that the       |                           |       |
|   | agency or person ceases to  |                           |       |
|   | provide or is no longer     |                           |       |
|   | permitted to provide        |                           |       |
|   | adoption services under the |                           |       |
|   | Convention.                 |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person        |                           |       |
|   | notifies the accrediting    |                           |       |
|   | entity and the Secretary in |                           |       |
|   | writing within thirty days  |                           |       |
|   | of the time it ceases to    |                           |       |
|   | provide or is no longer     |                           |       |
|   | permitted to provide        |                           |       |
|   | adoption services and       |                           |       |
|   | provides information about  |                           |       |
|   | the transfer of its         |                           |       |
|   | adoption records.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Case tracking, data         |                           |       |
| 6 | management, and reporting.  |                           |       |
| . |                             |                           |       |
| 4 |                             |                           |       |
| 3 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | When acting as the primary  |                           |       |
| a | provider, the agency or     |                           |       |
|   | person maintains all the    |                           |       |
|   | data required in this       |                           |       |
|   | section in a format         |                           |       |
|   | approved by the accrediting |                           |       |
|   | entity and provides it to   |                           |       |
|   | the accrediting entity on   |                           |       |
|   | an annual basis.            |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | When acting as the primary  |                           |       |
|   | provider, the agency or     |                           |       |
|   | person generates and        |                           |       |
|   | maintains reports follows:  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) For cases involving   |                           |       |
|   | children immigrating to the |                           |       |
|   | United States, information  |                           |       |
|   | and reports on the total    |                           |       |
|   | number of intercountry      |                           |       |
|   | adoptions undertaken by the |                           |       |
|   | agency or person each year  |                           |       |
|   | in both Convention and non- |                           |       |
|   | Convention cases and, for   |                           |       |
|   | each case:                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(i\) The Convention        |                           |       |
|   | country or other country    |                           |       |
|   | from which the child        |                           |       |
|   | emigrated;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(ii\) The State to which   |                           |       |
|   | the child immigrated;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iii\) The State,          |                           |       |
|   | Convention country, or      |                           |       |
|   | other country in which the  |                           |       |
|   | adoption was finalized;     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iv\) The age of the       |                           |       |
|   | child; and                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(v\) The date of the       |                           |       |
|   | child's placement for       |                           |       |
|   | adoption.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) For cases involving   |                           |       |
|   | children emigrating from    |                           |       |
|   | the United States,          |                           |       |
|   | information and reports on  |                           |       |
|   | the total number of         |                           |       |
|   | intercountry adoptions      |                           |       |
|   | undertaken by the agency or |                           |       |
|   | person each year in both    |                           |       |
|   | Convention and non-         |                           |       |
|   | Convention cases and, for   |                           |       |
|   | each case:                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(i\) The State from which  |                           |       |
|   | the child emigrated;        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(ii\) The Convention       |                           |       |
|   | country or other country to |                           |       |
|   | which the child immigrated; |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iii\) The State,          |                           |       |
|   | Convention country, or      |                           |       |
|   | other country in which the  |                           |       |
|   | adoption was finalized;     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iv\) The age of the       |                           |       |
|   | child; and                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(v\) The date of the       |                           |       |
|   | child's placement for       |                           |       |
|   | adoption.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) For each disrupted    |                           |       |
|   | placement involving a       |                           |       |
|   | Convention adoption,        |                           |       |
|   | information and reports     |                           |       |
|   | about the disruption,       |                           |       |
|   | including information on:   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(i\) The Convention        |                           |       |
|   | country from which the      |                           |       |
|   | child emigrated;            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(ii\) The State to which   |                           |       |
|   | the child immigrated;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iii\) The age of the      |                           |       |
|   | child;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iv\) The date of the      |                           |       |
|   | child's placement for       |                           |       |
|   | adoption;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(v\) The reason(s) for and |                           |       |
|   | resolution(s)of the         |                           |       |
|   | disruption of the placement |                           |       |
|   | for adoption, including     |                           |       |
|   | information on the child's  |                           |       |
|   | re-placement for adoption   |                           |       |
|   | and final legal adoption;   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(vi\) The names of the     |                           |       |
|   | agencies or persons that    |                           |       |
|   | handled the placement for   |                           |       |
|   | adoption; and               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(vii\) The plans for the   |                           |       |
|   | child.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Wherever possible,    |                           |       |
|   | for each dissolution of a   |                           |       |
|   | Convention adoption,        |                           |       |
|   | information and reports on  |                           |       |
|   | the dissolution, including  |                           |       |
|   | information on:             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(i\) The Convention        |                           |       |
|   | country from which the      |                           |       |
|   | child emigrated;            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(ii\) The State to which   |                           |       |
|   | the child immigrated;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iii\) The age of the      |                           |       |
|   | child;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(iv\) The date of the      |                           |       |
|   | child's placement for       |                           |       |
|   | adoption;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(v\) The reason(s) for and |                           |       |
|   | resolution(s) of the        |                           |       |
|   | dissolution of the          |                           |       |
|   | adoption, to the extent     |                           |       |
|   | known by the agency or      |                           |       |
|   | person;                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(vi\) The names of the     |                           |       |
|   | agencies or persons that    |                           |       |
|   | handled the placement for   |                           |       |
|   | adoption; and               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(vii\) The plans for the   |                           |       |
|   | child.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Information on the    |                           |       |
|   | shortest, country of        |                           |       |
|   | origin, calculated from the |                           |       |
|   | time the child is matched   |                           |       |
|   | with the prospective        |                           |       |
|   | adoptive parent(s) until    |                           |       |
|   | the time the adoption is    |                           |       |
|   | finalized by a court,       |                           |       |
|   | excluding any period for    |                           |       |
|   | appeal;                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Information on the    |                           |       |
|   | range of adoption fees,     |                           |       |
|   | including the lowest,       |                           |       |
|   | highest, average, and the   |                           |       |
|   | median of such fees, set    |                           |       |
|   | forth by the child's        |                           |       |
|   | country of origin, charged  |                           |       |
|   | by the agency or person for |                           |       |
|   | Convention adoptions        |                           |       |
|   | involving children          |                           |       |
|   | immigrating to the United   |                           |       |
|   | States in connection with   |                           |       |
|   | their adoption.             |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | If the agency or person     |                           |       |
|   | provides adoption services  |                           |       |
|   | in cases not subject to the |                           |       |
|   | Convention that involve a   |                           |       |
|   | child emigrating from the   |                           |       |
|   | United States for the       |                           |       |
|   | purpose of adoption or      |                           |       |
|   | after an adoption has been  |                           |       |
|   | finalized, it provides such |                           |       |
|   | information directly to the |                           |       |
|   | Secretary and as required   |                           |       |
|   | by the Secretary and        |                           |       |
|   | demonstrates to the         |                           |       |
|   | accrediting entity that it  |                           |       |
|   | has provided this           |                           |       |
|   | information.                |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        |                           |       |
|   | provides any of the         |                           |       |
|   | information described in    |                           |       |
|   | paragraphs (a) through (c)  |                           |       |
|   | of this section to the      |                           |       |
|   | accrediting entity or the   |                           |       |
|   | Secretary within thirty     |                           |       |
|   | days of request.            |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| S |                             |                           |       |
| e |                             |                           |       |
| r |                             |                           |       |
| v |                             |                           |       |
| i |                             |                           |       |
| c |                             |                           |       |
| e |                             |                           |       |
| P |                             |                           |       |
| l |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| n |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
| g |                             |                           |       |
| a |                             |                           |       |
| n |                             |                           |       |
| d |                             |                           |       |
| D |                             |                           |       |
| e |                             |                           |       |
| l |                             |                           |       |
| i |                             |                           |       |
| v |                             |                           |       |
| e |                             |                           |       |
| r |                             |                           |       |
| y |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Acting as primary provider. |                           |       |
| 6 |                             |                           |       |
| . |                             |                           |       |
| 4 |                             |                           |       |
| 4 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | When required by §          | **G9.4:** The             |       |
|   | 96.14(a), the agency or     | organization addresses    |       |
|   | person acts as primary      | the need for service      |       |
|   | provider and adheres to the | continuity and the        |       |
|   | provisions in § 96.14(b)    | coordination of services. |       |
|   | through (e). When acting as |                           |       |
|   | the primary provider, the   | **Interpretation          |       |
|   | agency or person provides,  | (G9.4):** The             |       |
|   | either directly or through  | organization must view    |       |
|   | arrangements with other     | its services as part of a |       |
|   | accredited agencies,        | continuum and ensures     |       |
|   | temporarily accredited      | that persons and families |       |
|   | agencies, approved persons, | receive service, care, or |       |
|   | supervised providers,       | treatment through an      |       |
|   | exempted providers, public  | integrated system of      |       |
|   | bodies, competent           | settings based on their   |       |
|   | authorities, or public      | individual wishes and     |       |
|   | authorities, all six        | needs. COA expects        |       |
|   | adoption services'' listed  | organizations to provide  |       |
|   | in § 96.2, and develops and | service coordination when |       |
|   | implements a service plan   | it is appropriate for the |       |
|   | for providing all six of    | organization to do so,    |       |
|   | the required adoption       | and/or when no other      |       |
|   | services.                   | organization has assumed  |       |
|   |                             | that responsibility.      |       |
|   |                             | Service coordination      |       |
|   |                             | activities may include:   |       |
|   |                             |                           |       |
|   |                             | • coordinating among      |       |
|   |                             | professionals and         |       |
|   |                             | organizations from whom   |       |
|   |                             | the person or family      |       |
|   |                             | receives services;        |       |
|   |                             |                           |       |
|   |                             | • arranging for direct    |       |
|   |                             | provision of services,    |       |
|   |                             | referrals, and transfers  |       |
|   |                             | of persons served with    |       |
|   |                             | other organizations, as   |       |
|   |                             | necessary;                |       |
|   |                             |                           |       |
|   |                             | • providing ongoing       |       |
|   |                             | communication, including  |       |
|   |                             | written agreements, as    |       |
|   |                             | necessary with other      |       |
|   |                             | involved providers; and   |       |
|   |                             |                           |       |
|   |                             | • exchanging relevant     |       |
|   |                             | information when          |       |
|   |                             | individuals are admitted, |       |
|   |                             | referred, transferred, or |       |
|   |                             | discharged.               |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person has an | **G11.9.02**: The         |       |
|   | organizational structure,   | organization periodically |       |
|   | financial and personnel     | monitors contractor       |       |
|   | resources, and policies and | progress toward           |       |
|   | procedures in place that    | fulfilling the terms of   |       |
|   | demonstrate that the agency | the contract.             |       |
|   | or person is capable of     |                           |       |
|   | acting as a primary         |                           |       |
|   | provider in any Convention  |                           |       |
|   | adoption case and, when     |                           |       |
|   | acting as the primary       |                           |       |
|   | provider, provides          |                           |       |
|   | appropriate supervision to  |                           |       |
|   | supervised providers in     |                           |       |
|   | accordance with §§ 96.45    |                           |       |
|   | and 96.46.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Using Supervised Providers  |                           |       |
| 6 | in the United States.       |                           |       |
| . |                             |                           |       |
| 4 |                             |                           |       |
| 5 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person, when  |                           |       |
|   | acting as the primary       |                           |       |
|   | provider and using          |                           |       |
|   | supervised providers in the |                           |       |
|   | United States to provide    |                           |       |
|   | adoption services, ensures  |                           |       |
|   | that each such supervised   |                           |       |
|   | provider:                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Is in compliance with | **G11.8.05 (a):** The     | Su    |
|   | applicable State licensing  | organization establishes  | ffici |
|   | and regulatory requirements | expectations that the     | ently |
|   | in all jurisdictions in     | contractors meet          | Si    |
|   | which it provides adoption  | applicable licensing      | milar |
|   | services;                   | standards.                |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Does not engage in    |                           |       |
|   | practices inconsistent with |                           |       |
|   | the Convention's principles |                           |       |
|   | of furthering the best      |                           |       |
|   | interests of the child and  |                           |       |
|   | preventing the sale,        |                           |       |
|   | abduction, exploitation, or |                           |       |
|   | trafficking of children;    |                           |       |
|   | and                         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Before entering into  |                           |       |
|   | an agreement with the       |                           |       |
|   | primary provider for the    |                           |       |
|   | provision of adoption       |                           |       |
|   | services, discloses to the  |                           |       |
|   | primary provider the        |                           |       |
|   | suitability information     |                           |       |
|   | listed in § 96.35.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person, when  | **G11.7.04:** The         |       |
|   | acting as the primary       | organization, whether as  |       |
|   | provider and using          | purchaser or vendor, uses |       |
|   | supervised providers in the | written purchase of       |       |
|   | United States to provide    | service agreements or     |       |
|   | adoption services, ensures  | written contracts that    |       |
|   | that each such supervised   | contain all significant   |       |
|   | provider operates under a   | terms and conditions in   |       |
|   | written agreement with the  | accordance with           |       |
|   | primary provider that:      | applicable law.           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Clearly identifies    | **G11.7.04 (a, b):** The  |       |
|   | the adoption service(s) to  | organization, whether as  |       |
|   | be provided by the          | purchaser or vendor, uses |       |
|   | supervised provider and     | written purchase of       |       |
|   | requires that the           | service agreements or     |       |
|   | service(s) be provided in   | written contracts that    |       |
|   | accordance with the         | contain all significant   |       |
|   | applicable service          | terms and conditions in   |       |
|   | standard(s) for             | accordance with           |       |
|   | accreditation and approval  | applicable law.           |       |
|   | (for example: home study (§ |                           |       |
|   | 96.47), parent training (§  | **Interpretation          |       |
|   | 96.48), child background    | (G11.7.04):**             |       |
|   | studies and consents (§     |                           |       |
|   | 96.53));                    | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **a.** roles and          |       |
|   |                             | responsibilities of       |       |
|   |                             | participating             |       |
|   |                             | organizations; and        |       |
|   |                             |                           |       |
|   |                             | **b.** services to be     |       |
|   |                             | provided.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Requires the          | **G11.7.04 (a):** The     |       |
|   | supervised provider to      | organization, whether as  |       |
|   | comply with the following   | purchaser or vendor, uses |       |
|   | standards regardless of the | written purchase of       |       |
|   | type of adoption services   | service agreements or     |       |
|   | it is providing: § 96.36    | written contracts that    |       |
|   | prohibition on              | contain all significant   |       |
|   | child-buying), § 96.34      | terms and conditions in   |       |
|   | compensation), §            | accordance with           |       |
|   | 96.38(employee training), § | applicable law.           |       |
|   | 96.39(d) (blanket waivers   |                           |       |
|   | of liability), and §        | **Interpretation          |       |
|   | 96.41(a) through (e)        | (G11.7.04):**             |       |
|   | complaints).                |                           |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **a.** roles and          |       |
|   |                             | responsibilities of       |       |
|   |                             | participating             |       |
|   |                             | organizations.            |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Identifies            | **G11.7.04 (a):** The     |       |
|   | specifically the lines of   | organization, whether as  |       |
|   | authority between the       | purchaser or vendor, uses |       |
|   | primary provider and the    | written purchase of       |       |
|   | supervised provider, the    | service agreements or     |       |
|   | employee of the primary     | written contracts that    |       |
|   | provider who will be        | contain all significant   |       |
|   | responsible for             | terms and conditions in   |       |
|   | supervision, and the        | accordance with           |       |
|   | employee of the supervised  | applicable law.           |       |
|   | provider who will be        |                           |       |
|   | responsible for ensuring    | **Interpretation          |       |
|   | compliance with the written | (G11.7.04):**             |       |
|   | agreement;                  |                           |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **a.** roles and          |       |
|   |                             | responsibilities of       |       |
|   |                             | participating             |       |
|   |                             | organizations.            |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Clearly states the    |                           |       |
|   | compensation arrangement    |                           |       |
|   | for the services to be      |                           |       |
|   | provided and the fees and   |                           |       |
|   | expenses to be charged by   |                           |       |
|   | the supervised provider;    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Specifies whether the | **G11.7.04 (i):** The     | Su    |
|   | supervised provider's fees  | organization, whether as  | ffici |
|   | and expenses will be billed | purchaser or vendor, uses | ently |
|   | to and paid by the          | written purchase of       | Si    |
|   | client(s) directly or       | service agreements or     | milar |
|   | billed to the client        | written contracts that    |       |
|   | through the primary         | contain all significant   |       |
|   | provider;                   | terms and conditions in   |       |
|   |                             | accordance with           |       |
|   |                             | applicable law.           |       |
|   |                             |                           |       |
|   |                             | **Interpretation          |       |
|   |                             | (G11.7.04):**             |       |
|   |                             |                           |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **i.** a plan and         |       |
|   |                             | procedure for timely      |       |
|   |                             | payment.                  |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Provides that, if     | **G11.7.04 (i):** The     |       |
|   | billing the client(s)       | organization, whether as  |       |
|   | directly for its service,   | purchaser or vendor, uses |       |
|   | the supervised provider     | written purchase of       |       |
|   | will give the client(s) an  | service agreements or     |       |
|   | itemized bill of all fees   | written contracts that    |       |
|   | and expenses to be paid,    | contain all significant   |       |
|   | with a written explanation  | terms and conditions in   |       |
|   | of how and when such fees   | accordance with           |       |
|   | and expenses will be        | applicable law.           |       |
|   | refunded if the service is  |                           |       |
|   | not completed, and will     | **Interpretation          |       |
|   | return any funds collected  | (G11.7.04):**             |       |
|   | to which the client(s) may  |                           |       |
|   | be entitled within thirty   | "Significant terms"       |       |
|   | days of the completion of   | include, but are not      |       |
|   | the delivery of services;   | limited to:               |       |
|   |                             |                           |       |
|   |                             | **i.** a plan and         |       |
|   |                             | procedure for timely      |       |
|   |                             | payment.                  |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) Requires the          |                           |       |
|   | supervised provider to meet |                           |       |
|   | the same personnel          |                           |       |
|   | qualifications as           |                           |       |
|   | accredited agencies and     |                           |       |
|   | approved persons, as        |                           |       |
|   | provided for in § 96.37;    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(8\) Provides that the     | **G11.7.04 (a):** The     |       |
|   | primary provider will       | organization, whether as  |       |
|   | retain legal responsibility | purchaser or vendor, uses |       |
|   | for each case in which      | written purchase of       |       |
|   | adoption services are       | service agreements or     |       |
|   | provided, as required by    | written contracts that    |       |
|   | paragraph (c) of this       | contain all significant   |       |
|   | section;                    | terms and conditions in   |       |
|   |                             | accordance with           |       |
|   |                             | applicable law.           |       |
|   |                             |                           |       |
|   |                             | **Interpretation          |       |
|   |                             | (G11.7.04):**             |       |
|   |                             |                           |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **a.** roles and          |       |
|   |                             | responsibilities of       |       |
|   |                             | participating             |       |
|   |                             | organizations.            |       |
+---+-----------------------------+---------------------------+-------+
|   | \(9\) Requires the          |                           |       |
|   | supervised provider to      |                           |       |
|   | protect the privacy of the  |                           |       |
|   | individuals it serves,      |                           |       |
|   | safeguard sensitive         |                           |       |
|   | information, and ensure     |                           |       |
|   | that personal data gathered |                           |       |
|   | or transmitted in           |                           |       |
|   | connection with an adoption |                           |       |
|   | is used only for the        |                           |       |
|   | purposes for which the      |                           |       |
|   | information was gathered;   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(10\) Requires the         |                           |       |
|   | supervised provider to      |                           |       |
|   | respond within a reasonable |                           |       |
|   | period of time to any       |                           |       |
|   | request for information     |                           |       |
|   | from the primary provider,  |                           |       |
|   | the Secretary, or the       |                           |       |
|   | accrediting entity that     |                           |       |
|   | issued the primary          |                           |       |
|   | provider's accreditation or |                           |       |
|   | approval;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(11\) Requires the         | **G11.7.04 (g):** The     |       |
|   | supervised provider to      | organization, whether as  |       |
|   | provide the primary         | purchaser or vendor, uses |       |
|   | provider on a timely basis  | written purchase of       |       |
|   | any data that is necessary  | service agreements or     |       |
|   | to comply with the primary  | written contracts that    |       |
|   | provider's reporting        | contain all significant   |       |
|   | requirements;               | terms and conditions in   |       |
|   |                             | accordance with           |       |
|   |                             | applicable law.           |       |
|   |                             |                           |       |
|   |                             | **Interpretation          |       |
|   |                             | (G11.7.04):**             |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **g.** policies and       |       |
|   |                             | procedures for sharing    |       |
|   |                             | information.              |       |
+---+-----------------------------+---------------------------+-------+
|   | \(12\) Requires the         |                           |       |
|   | supervised provider to      |                           |       |
|   | disclose promptly to the    |                           |       |
|   | primary provider any        |                           |       |
|   | changes in the suitability  |                           |       |
|   | information required by §   |                           |       |
|   | 96.35;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(13\) Permits suspension   | **G11.7.04 (l):** The     | Su    |
|   | or termination of the       | organization, whether as  | ffici |
|   | agreement on reasonable     | purchaser or vendor, uses | ently |
|   | notice if the primary       | written purchase of       | Si    |
|   | provider has grounds to     | service agreements or     | milar |
|   | believe that the supervised | written contracts that    |       |
|   | provider is not in          | contain all significant   |       |
|   | compliance with the         | terms and conditions in   |       |
|   | agreement or the            | accordance with           |       |
|   | requirements of this        | applicable law.           |       |
|   | section.                    |                           |       |
|   |                             | **Interpretation          |       |
|   |                             | (G11.7.04):**             |       |
|   |                             | "Significant terms"       |       |
|   |                             | include, but are not      |       |
|   |                             | limited to:               |       |
|   |                             |                           |       |
|   |                             | **l.** conditions for     |       |
|   |                             | termination.              |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person, when  |                           |       |
|   | acting as the primary       |                           |       |
|   | provider and using          |                           |       |
|   | supervised providers in the |                           |       |
|   | United States to provide    |                           |       |
|   | adoption services, does the |                           |       |
|   | following in relation to    |                           |       |
|   | risk management:            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Assumes tort,         |                           |       |
|   | contract, and other civil   |                           |       |
|   | liability to the            |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) for the           |                           |       |
|   | supervised provider's       |                           |       |
|   | provision of the contracted |                           |       |
|   | adoption services and its   |                           |       |
|   | compliance with the         |                           |       |
|   | standards in this subpart   |                           |       |
|   | F; and                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Maintains a bond,     |                           |       |
|   | escrow account, or          |                           |       |
|   | liability insurance in an   |                           |       |
|   | amount sufficient to cover  |                           |       |
|   | the risks of liability      |                           |       |
|   | arising from its work with  |                           |       |
|   | supervised providers.       |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | Nothing in this section     |                           |       |
|   | shall be construed as       |                           |       |
|   | prohibiting the primary     |                           |       |
|   | provider from obtaining     |                           |       |
|   | indemnification or from     |                           |       |
|   | seeking damages or other    |                           |       |
|   | redress from a supervised   |                           |       |
|   | provider for breach of      |                           |       |
|   | contract, or from pursuing  |                           |       |
|   | any other legal claim       |                           |       |
|   | against such supervised     |                           |       |
|   | provider arising from the   |                           |       |
|   | provision of contracted     |                           |       |
|   | adoption services.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Using supervised providers  |                           |       |
| 6 | in other convention         |                           |       |
| . | countries.                  |                           |       |
| 4 |                             |                           |       |
| 6 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person, when  |                           |       |
|   | acting as the primary       |                           |       |
|   | provider and using foreign  |                           |       |
|   | supervised providers to     |                           |       |
|   | provide adoption services   |                           |       |
|   | in other Convention         |                           |       |
|   | countries, ensures that     |                           |       |
|   | each such foreign           |                           |       |
|   | supervised provider:        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Is in compliance with |                           |       |
|   | the laws of the Convention  |                           |       |
|   | country in which it         |                           |       |
|   | operates;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Does not engage in    |                           |       |
|   | practices inconsistent with |                           |       |
|   | the Convention's principles |                           |       |
|   | of furthering the best      |                           |       |
|   | interests of the child and  |                           |       |
|   | preventing the sale,        |                           |       |
|   | abduction, exploitation, or |                           |       |
|   | trafficking of children;    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Before entering into  |                           |       |
|   | an agreement with the       |                           |       |
|   | primary provider for the    |                           |       |
|   | provision of adoption       |                           |       |
|   | services, discloses to the  |                           |       |
|   | primary provider the        |                           |       |
|   | suitability information     |                           |       |
|   | listed in § 96.35, taking   |                           |       |
|   | into account the            |                           |       |
|   | authorities in the          |                           |       |
|   | Convention country that are |                           |       |
|   | analogous to the            |                           |       |
|   | authorities identified in   |                           |       |
|   | that section; and           |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Does not have a       |                           |       |
|   | pattern of licensing        |                           |       |
|   | suspensions or other        |                           |       |
|   | sanctions and has not lost  |                           |       |
|   | the right to provide        |                           |       |
|   | adoption services in any    |                           |       |
|   | jurisdiction for reasons    |                           |       |
|   | germane to the Convention.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person, when  |                           |       |
|   | acting as the primary       |                           |       |
|   | provider and using foreign  |                           |       |
|   | supervised providers to     |                           |       |
|   | provide adoption services   |                           |       |
|   | in other Convention         |                           |       |
|   | countries, ensures that     |                           |       |
|   | each such foreign           |                           |       |
|   | supervised provider         |                           |       |
|   | operates under a written    |                           |       |
|   | agreement with the primary  |                           |       |
|   | provider that:              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Clearly identifies    |                           |       |
|   | the adoption service(s) to  |                           |       |
|   | be provided by the foreign  |                           |       |
|   | supervised provider;        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Requires the foreign  |                           |       |
|   | supervised provider, if     |                           |       |
|   | responsible for obtaining   |                           |       |
|   | medical or social           |                           |       |
|   | information on the child,   |                           |       |
|   | to comply with the          |                           |       |
|   | standards in § 96.49(d)     |                           |       |
|   | through (j).                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Requires the foreign  |                           |       |
|   | supervised provider to      |                           |       |
|   | prohibit child buying by    |                           |       |
|   | any of its employees and    |                           |       |
|   | agents; to have a written   |                           |       |
|   | policy prohibiting its      |                           |       |
|   | employees and agents from   |                           |       |
|   | giving money or other       |                           |       |
|   | consideration, directly or  |                           |       |
|   | indirectly, to a child's    |                           |       |
|   | parent(s), other            |                           |       |
|   | individual(s), or an entity |                           |       |
|   | as payment for the child or |                           |       |
|   | as an inducement to release |                           |       |
|   | the child, other than       |                           |       |
|   | reasonable or required      |                           |       |
|   | payments for activities     |                           |       |
|   | related to the adoption     |                           |       |
|   | proceedings, pre-birth and  |                           |       |
|   | birth medical costs, the    |                           |       |
|   | care of the child, or the   |                           |       |
|   | provision of child welfare  |                           |       |
|   | and child protection        |                           |       |
|   | services generally; and to  |                           |       |
|   | provide training to its     |                           |       |
|   | employees and agents on     |                           |       |
|   | this policy;                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Requires the foreign  |                           |       |
|   | supervised provider to      |                           |       |
|   | compensate its directors,   |                           |       |
|   | officers, and employees who |                           |       |
|   | provide intercountry        |                           |       |
|   | adoption services on a      |                           |       |
|   | fee-for- service, hourly    |                           |       |
|   | wage, or salary basis,      |                           |       |
|   | rather than based on        |                           |       |
|   | whether a child placed for  |                           |       |
|   | adoption or on a similar    |                           |       |
|   | contingent fee basis;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Identifies            |                           |       |
|   | specifically the lines of   |                           |       |
|   | authority between the       |                           |       |
|   | primary provider and the    |                           |       |
|   | foreign supervised          |                           |       |
|   | provider, the employee of   |                           |       |
|   | the primary provider who    |                           |       |
|   | will be responsible for     |                           |       |
|   | supervision, and the        |                           |       |
|   | employee of the supervised  |                           |       |
|   | provider who will be        |                           |       |
|   | responsible for ensuring    |                           |       |
|   | compliance with the written |                           |       |
|   | agreement;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Clearly states the    |                           |       |
|   | compensation arrangement    |                           |       |
|   | for the services to be      |                           |       |
|   | provided and the fees and   |                           |       |
|   | expenses to be charged by   |                           |       |
|   | the foreign supervised      |                           |       |
|   | provider;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) Specifies whether the |                           |       |
|   | foreign supervised          |                           |       |
|   | provider's fees and         |                           |       |
|   | expenses will be billed to  |                           |       |
|   | and paid by the client(s)   |                           |       |
|   | directly or billed to the   |                           |       |
|   | client through the primary  |                           |       |
|   | provider;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(8\) Provides that, if     |                           |       |
|   | billing the client(s)       |                           |       |
|   | directly for its service,   |                           |       |
|   | the foreign supervised      |                           |       |
|   | provider will give the      |                           |       |
|   | client(s) an itemized bill  |                           |       |
|   | of all fees and expenses to |                           |       |
|   | be paid, with a written     |                           |       |
|   | explanation of how and when |                           |       |
|   | such fees and expenses will |                           |       |
|   | be refunded if the service  |                           |       |
|   | is not completed, and will  |                           |       |
|   | return any funds collected  |                           |       |
|   | to which the client(s) may  |                           |       |
|   | be entitled within thirty   |                           |       |
|   | days of the completion of   |                           |       |
|   | the delivery of services;   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(9\) Provides that the     |                           |       |
|   | primary provider will       |                           |       |
|   | retain legal responsibility |                           |       |
|   | for each case in which      |                           |       |
|   | adoption services are       |                           |       |
|   | provided, as required by    |                           |       |
|   | paragraph (c) of this       |                           |       |
|   | section;                    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(10\) Requires the foreign |                           |       |
|   | supervised provider to      |                           |       |
|   | respond within a reasonable |                           |       |
|   | period of time to any       |                           |       |
|   | request for information     |                           |       |
|   | from the primary provider,  |                           |       |
|   | the Secretary, or the       |                           |       |
|   | accrediting entity that     |                           |       |
|   | issued the primary          |                           |       |
|   | provider's accreditation or |                           |       |
|   | approval;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(11\) Requires the foreign |                           |       |
|   | supervised provider to      |                           |       |
|   | provide the primary         |                           |       |
|   | provider on a timely basis  |                           |       |
|   | any data that is necessary  |                           |       |
|   | to comply with the primary  |                           |       |
|   | provider's reporting        |                           |       |
|   | requirements;               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(12\) Requires the foreign |                           |       |
|   | supervised provider to      |                           |       |
|   | disclose promptly to the    |                           |       |
|   | primary provider any        |                           |       |
|   | changes in the suitability  |                           |       |
|   | information required by §   |                           |       |
|   | 96.35; and                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(13\) Permits suspension   |                           |       |
|   | or termination of the       |                           |       |
|   | agreement on reasonable     |                           |       |
|   | notice if the primary       |                           |       |
|   | provider has grounds to     |                           |       |
|   | believe that the foreign    |                           |       |
|   | supervised provider is not  |                           |       |
|   | in compliance with the      |                           |       |
|   | agreement or the            |                           |       |
|   | requirements of this        |                           |       |
|   | section.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person, when  |                           |       |
|   | acting as the primary       |                           |       |
|   | provider and using foreign  |                           |       |
|   | supervised providers to     |                           |       |
|   | provide adoption services   |                           |       |
|   | in other Convention         |                           |       |
|   | countries, does the         |                           |       |
|   | following in relation to    |                           |       |
|   | risk management:            |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Assumes tort,         |                           |       |
|   | contract, and other civil   |                           |       |
|   | liability to the            |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) for the foreign   |                           |       |
|   | supervised provider's       |                           |       |
|   | provision of the contracted |                           |       |
|   | adoption services and its   |                           |       |
|   | compliance with the         |                           |       |
|   | standards in this subpart   |                           |       |
|   | F; and                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Maintains a bond,     |                           |       |
|   | escrow account, or          |                           |       |
|   | liability insurance in an   |                           |       |
|   | amount sufficient to cover  |                           |       |
|   | the risks of liability      |                           |       |
|   | arising from its work with  |                           |       |
|   | foreign supervised          |                           |       |
|   | providers.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | Nothing in this section     |                           |       |
|   | shall be construed as       |                           |       |
|   | prohibiting the primary     |                           |       |
|   | provider from obtaining     |                           |       |
|   | indemnification or from     |                           |       |
|   | seeking damages or other    |                           |       |
|   | redress from a foreign      |                           |       |
|   | supervised provider for     |                           |       |
|   | breach of contract, or from |                           |       |
|   | pursuing any other legal    |                           |       |
|   | claim against such          |                           |       |
|   | supervised provider arising |                           |       |
|   | from the provision of       |                           |       |
|   | contracted adoption         |                           |       |
|   | services.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
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| S |                             |                           |       |
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| d |                             |                           |       |
| S |                             |                           |       |
| t |                             |                           |       |
| a |                             |                           |       |
| t |                             |                           |       |
| e |                             |                           |       |
| s |                             |                           |       |
| ( |                             |                           |       |
| I |                             |                           |       |
| n |                             |                           |       |
| c |                             |                           |       |
| o |                             |                           |       |
| m |                             |                           |       |
| i |                             |                           |       |
| n |                             |                           |       |
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| e |                             |                           |       |
| s |                             |                           |       |
| ) |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Preparation of home studies |                           |       |
| 6 | in incoming cases.          |                           |       |
| . |                             |                           |       |
| 4 |                             |                           |       |
| 7 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        | **S15.4.02 (c):** Those   |       |
|   | ensures that a home study   | services addressed in     |       |
|   | on the prospective adoptive | S15.4.01 include:         |       |
|   | parent(s) is completed that | determination of the      |       |
|   | includes the following:     | ability of the adoptive   |       |
|   |                             | applicants to meet the    |       |
|   |                             | needs of an               |       |
|   |                             | internationally adopted   |       |
|   |                             | child and preparation of  |       |
|   |                             | a home study report.      |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Information about the | **S15.4.02 (c):** Those   |       |
|   | prospective adoptive        | services addressed in     |       |
|   | parent(s)' identity,        | S15.4.01 include:         |       |
|   | eligibility and suitability | determination of the      |       |
|   | to adopt, background,       | ability of the adoptive   |       |
|   | family and medical history, | applicants to meet the    |       |
|   | social environment, reasons | needs of an               |       |
|   | for adoption, ability to    | internationally adopted   |       |
|   | undertake an intercountry   | child and preparation of  |       |
|   | adoption, and the           | a home study report.      |       |
|   | characteristics of the      |                           |       |
|   | children for whom the       |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) would be          |                           |       |
|   | qualified to care           |                           |       |
|   | (specifying in particular   |                           |       |
|   | whether they are willing    |                           |       |
|   | and able to care for a      |                           |       |
|   | child with special needs);  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) A determination       | S15.4.02 (c): Those       | Su    |
|   | whether the prospective     | services addressed in     | ffici |
|   | adoptive parent(s) are      | S15.4.01 include:         | ently |
|   | eligible and suited to      | determination of the      | Si    |
|   | adopt;                      | ability of the adoptive   | milar |
|   |                             | applicants to meet the    |       |
|   |                             | needs of an               |       |
|   |                             | internationally adopted   |       |
|   |                             | child and preparation of  |       |
|   |                             | a home study report.      |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) A statement           |                           |       |
|   | describing the counseling   |                           |       |
|   | and training provided to    |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parents(s);                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) The results of a      |                           |       |
|   | criminal background check   |                           |       |
|   | on the prospective adoptive |                           |       |
|   | parent(s) and any other     |                           |       |
|   | individual for whom a check |                           |       |
|   | is required by 8 CFR        |                           |       |
|   | 204.3(e);                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) A full and complete   |                           |       |
|   | statement of all facts      |                           |       |
|   | relevant to the eligibility |                           |       |
|   | and suitability of the      |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) to adopt a child  |                           |       |
|   | under any specific          |                           |       |
|   | requirements identified to  |                           |       |
|   | the Secretary by the        |                           |       |
|   | Central Authority of the    |                           |       |
|   | child's country of origin;  |                           |       |
|   | and                         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) A statement in each   |                           |       |
|   | copy of the home study that |                           |       |
|   | it is a true and accurate   |                           |       |
|   | copy of the home study that |                           |       |
|   | was provided to the         |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) or DHS.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | ensures that the home study |                           |       |
|   | is performed in accordance  |                           |       |
|   | with 8 CFR 204.3(e), and    |                           |       |
|   | any applicable State law.   |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | Where the home study is not |                           |       |
|   | performed in the first      |                           |       |
|   | instance by an accredited   |                           |       |
|   | agency or temporarily       |                           |       |
|   | accredited agency (that is, |                           |       |
|   | it was initially prepared   |                           |       |
|   | by an approved person or an |                           |       |
|   | exempted provider), the     |                           |       |
|   | agency or person ensures    |                           |       |
|   | that the home study is      |                           |       |
|   | reviewed and approved in    |                           |       |
|   | writing by an accredited    |                           |       |
|   | agency or temporarily       |                           |       |
|   | accredited agency. The      |                           |       |
|   | written approval must       |                           |       |
|   | include a determination     |                           |       |
|   | that the home study:        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Includes all of the   | **S15.2.04:** Adoption    |       |
|   | information required by     | studies that are          |       |
|   | paragraph (a) of this       | conducted by or under the |       |
|   | section and is performed in | supervision of the        |       |
|   | accordance with CFR         | organization meet         |       |
|   | 204.3(e), and applicable    | organization requirements |       |
|   | State law; and              | and applicable state or   |       |
|   |                             | provincial standards and  |       |
|   |                             | comply with the minimum   |       |
|   |                             | standards established for |       |
|   |                             | international adoption    |       |
|   |                             | studies by the United     |       |
|   |                             | States Immigration and    |       |
|   |                             | Naturalization Service or |       |
|   |                             | Canadian equivalent.      |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Was performed by an   | **S15.2.03:** The         | Su    |
|   | individual who meets the    | organization that         | ffici |
|   | personnel qualifications in | collaborates with and/or  | ently |
|   | § 96.37(f), or, if the      | accepts home studies and  | Si    |
|   | individual is an exempted   | post-placement services   | milar |
|   | provider, ensure that the   | from other providers does |       |
|   | individual meets the        | so only with licensed     |       |
|   | requirements for home study | adoption organizations or |       |
|   | providers established by    | other appropriately       |       |
|   | CFR 204.3(b).               | credentialed individuals, |       |
|   |                             | according to applicable   |       |
|   |                             | state or provincial       |       |
|   |                             | licensing regulations.    |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure the timely           |                           |       |
|   | transmission of the same    |                           |       |
|   | home study that was         |                           |       |
|   | provided to the prospective |                           |       |
|   | adoptive parent(s) or to    |                           |       |
|   | DHS (including any          |                           |       |
|   | supplemental statement to   |                           |       |
|   | the home study) to the      |                           |       |
|   | Central Authority or other  |                           |       |
|   | competent authority of the  |                           |       |
|   | child's country of origin.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Preparation and training of |                           |       |
| 6 | prospective adoptive        |                           |       |
| . | parent(s) in incoming       |                           |       |
| 4 | cases.                      |                           |       |
| 8 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        | **S15.4.02:** Those       |       |
|   | provides prospective        | services addressed in     |       |
|   | adoptive parent(s) with at  | S15.4.01 include:         |       |
|   | least ten hours             |                           |       |
|   | (independent of the home    | **a.** orientation to     |       |
|   | study) of preparation and   | intercountry adoption,    |       |
|   | training, as described in   | the adoption process,     |       |
|   | paragraphs (b) and (c) of   | organizational            |       |
|   | this section, designed to   | procedures, and the       |       |
|   | promote a successful        | characteristics of        |       |
|   | intercountry adoption. The  | children needing          |       |
|   | agency or person provides   | adoption;                 |       |
|   | such training before the    |                           |       |
|   | prospective adoptive        | **b.** disclosure of the  |       |
|   | parent(s) travel to adopt   | general criteria by which |       |
|   | the child or the child is   | the organization          |       |
|   | placed with the prospective | determines eligibility    |       |
|   | adoptive parent(s) for      | for adoptive parenthood;  |       |
|   | adoption.                   |                           |       |
|   |                             | **c.** determination of   |       |
|   |                             | the ability of the        |       |
|   |                             | adoptive applicants to    |       |
|   |                             | meet the needs of an      |       |
|   |                             | internationally adopted   |       |
|   |                             | child and preparation of  |       |
|   |                             | a home study report; and  |       |
|   |                             |                           |       |
|   |                             | **d.** preparation for    |       |
|   |                             | parenting and placement   |       |
|   |                             | of an internationally     |       |
|   |                             | adopted child.            |       |
+---+-----------------------------+---------------------------+-------+
| b | The training provided by    |                           |       |
|   | the agency or person        |                           |       |
|   | addresses the following     |                           |       |
|   | topics:                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The intercountry      | **15.4.02 (a):** Those    |       |
|   | adoption process, the       | services addressed in     |       |
|   | general characteristics and | S15.4.01 include:         |       |
|   | needs of children awaiting  | orientation to            |       |
|   | adoption, and the incountry | intercountry adoption,    |       |
|   | conditions that affect      | the adoption process,     |       |
|   | children in the Convention  | organizational            |       |
|   | country from which the      | procedures, and the       |       |
|   | prospective adoptive        | characteristics of        |       |
|   | parent(s) plan to adopt;    | children needing          |       |
|   |                             | adoption.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The effects on        | **15.4.02 (a):** Those    |       |
|   | children of malnutrition,   | services addressed in     |       |
|   | relevant environmental      | S15.4.01 include:         |       |
|   | toxins, maternal substance  | orientation to            |       |
|   | abuse, and of any other     | intercountry adoption,    |       |
|   | known genetic, health,      | the adoption process,     |       |
|   | emotional, and              | organizational            |       |
|   | developmental risk factors  | procedures, and the       |       |
|   | associated with children    | characteristics of        |       |
|   | from the expected country   | children needing          |       |
|   | of origin;                  | adoption.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Information about the | **S15.4.02 (d):** Those   |       |
|   | impact on a child of        | services addressed in     |       |
|   | leaving familiar ties and   | S15.4.01 include:         |       |
|   | surroundings, as            | preparation for parenting |       |
|   | appropriate to the expected | and placement of an       |       |
|   | age of the child;           | internationally adopted   |       |
|   |                             | child.                    |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Data on               | **S15.4.02 (a):** Those   |       |
|   | institutionalized children  | services addressed in     |       |
|   | and the impact of           | S15.4.01 include:         |       |
|   | institutionalization on     | orientation to            |       |
|   | children, including the     | intercountry adoption,    |       |
|   | effect on children of the   | the adoption process,     |       |
|   | length of time spent in an  | organizational procedure, |       |
|   | institution and of the type | and the characteristics   |       |
|   | of care provided in the     | of children needing       |       |
|   | expected country of origin; | adoption.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Information on        |                           |       |
|   | attachment disorders and    |                           |       |
|   | other emotional problems    |                           |       |
|   | that institutionalized or   |                           |       |
|   | traumatized children and    |                           |       |
|   | children with a history of  |                           |       |
|   | multiple caregivers may     |                           |       |
|   | experience, before and      |                           |       |
|   | after their adoption;       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Information on the    | **15.4.02 (a):** Those    |       |
|   | laws and adoption processes | services addressed in     |       |
|   | of the expected country of  | S15.4.01 include:         |       |
|   | origin, including           | orientation to            |       |
|   | foreseeable delays and      | intercountry adoption,    |       |
|   | impediments to finalization | the adoption process,     |       |
|   | of an adoption;             | organizational            |       |
|   |                             | procedures, and the       |       |
|   |                             | characteristics of        |       |
|   |                             | children needing adoption |       |
+---+-----------------------------+---------------------------+-------+
|   | \(7\) Information on the    | **S15.4.07:** The         | Su    |
|   | long-term implications for  | organization provides     | ffici |
|   | a family that has become    | counseling to prospective | ently |
|   | multicultural through       | adoptive parents that     | Si    |
|   | intercountry adoption; and  | includes assistance in    | milar |
|   |                             | understanding the child's |       |
|   |                             | cultural, religious,      |       |
|   |                             | ethnic, or linguistic     |       |
|   |                             | background and the impact |       |
|   |                             | of leaving familiar ties  |       |
|   |                             | and surroundings, as      |       |
|   |                             | appropriate to the age of |       |
|   |                             | the child.                |       |
+---+-----------------------------+---------------------------+-------+
|   | \(8\) An explanation of any |                           |       |
|   | reporting requirements      |                           |       |
|   | associated with             |                           |       |
|   |                             |                           |       |
|   | Convention adoptions,       |                           |       |
|   | including any               |                           |       |
|   | post-placement or           |                           |       |
|   | post-adoption reports       |                           |       |
|   | required by the expected    |                           |       |
|   | country of origin.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person also   |                           |       |
|   | provides the prospective    |                           |       |
|   | adoptive parent(s) with     |                           |       |
|   | training that allows them   |                           |       |
|   | to be as fully prepared as  |                           |       |
|   | possible for the adoption   |                           |       |
|   | of a particular child. This |                           |       |
|   | includes counseling on:     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The child's history   | # S15.4.07:               | Su    |
|   | and cultural, racial,       |  The organization provide | ffici |
|   | religious, ethnic, and      | s counseling to prospecti | ently |
|   | linguistic background;      | ve adoptive parents that  | Si    |
|   |                             | includes assistance in un | milar |
|   |                             | derstanding the child's c |       |
|   |                             | ultural, religious, ethni |       |
|   |                             | c, or linguistic backgrou |       |
|   |                             | nd and the impact of leav |       |
|   |                             | ing familiar ties and sur |       |
|   |                             | roundings, as appropriate |       |
|   |                             |  to the age of the child. |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The known health      | **S15.4.02 (a):** Those   |       |
|   | risks in the specific       | services addressed in     |       |
|   | region or country where the | S15.4.01 include:         |       |
|   | child resides; and          | orientation to            |       |
|   |                             | intercountry adoption,    |       |
|   |                             | the adoption process,     |       |
|   |                             | organizational            |       |
|   |                             | procedures, and the       |       |
|   |                             | characteristics of        |       |
|   |                             | children needing          |       |
|   |                             | adoption.                 |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Any other medical,    | # S15.4.03                | Su    |
|   | social, and other data      | (c): Services addressed i | ffici |
|   | known about the particular  | n S15.4.01 also include:  | ently |
|   | child.                      | full disclosure of all in | Si    |
|   |                             | formation available to th | milar |
|   |                             | e organization regarding  |       |
|   |                             | the child's medical and s |       |
|   |                             | ocial history as part of  |       |
|   |                             | the referral information. |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        |                           |       |
|   | provides such training      |                           |       |
|   | through appropriate         |                           |       |
|   | methods, including:         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Collaboration among   |                           |       |
|   | agencies or persons to      |                           |       |
|   | share resources to meet the |                           |       |
|   | training needs of parents;  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Group seminars        |                           |       |
|   | offered by the agency or    |                           |       |
|   | person or other agencies or |                           |       |
|   | training entities;          |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Individual counseling |                           |       |
|   | sessions;                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Video,                |                           |       |
|   | computer-assisted, or       |                           |       |
|   | distance learning methods   |                           |       |
|   | using standardized          |                           |       |
|   | curricula;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) In cases where        |                           |       |
|   | training cannot otherwise   |                           |       |
|   | be provided, an extended    |                           |       |
|   | home study process, with a  |                           |       |
|   | system for evaluating the   |                           |       |
|   | thoroughness with which the |                           |       |
|   | topics have been covered.   |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person        |                           |       |
|   | provides additional         |                           |       |
|   | in-person, individualized   |                           |       |
|   | counseling and preparation, |                           |       |
|   | as needed, to meet the      |                           |       |
|   | needs of the parent(s) in   |                           |       |
|   | light of the particular     |                           |       |
|   | child(ren) to be adopted    |                           |       |
|   | and his or her special      |                           |       |
|   | needs, and any other        |                           |       |
|   | training or counseling      |                           |       |
|   | needed in light of the      |                           |       |
|   | child background study or   |                           |       |
|   | the home study.             |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person        |                           |       |
|   | provides the prospective    |                           |       |
|   | adoptive parent(s) with     |                           |       |
|   | information about print,    |                           |       |
|   | internet, and other         |                           |       |
|   | resources available for     |                           |       |
|   | continuing to acquire       |                           |       |
|   | information about common    |                           |       |
|   | behavioral, medical, and    |                           |       |
|   | other issues; connecting    |                           |       |
|   | with parent support groups, |                           |       |
|   | adoption clinics and        |                           |       |
|   | experts; and seeking        |                           |       |
|   | appropriate help when       |                           |       |
|   | needed.                     |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person        |                           |       |
|   | exempts prospective         |                           |       |
|   | adoptive parent(s) from all |                           |       |
|   | or part of the training and |                           |       |
|   | preparation that would      |                           |       |
|   | normally be required for a  |                           |       |
|   | specific adoption only      |                           |       |
|   | where the parent(s) have    |                           |       |
|   | received adequate prior     |                           |       |
|   | training or have prior      |                           |       |
|   | experience as parent(s) of  |                           |       |
|   | children adopted from       |                           |       |
|   | abroad.                     |                           |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person        |                           |       |
|   | records the nature and      |                           |       |
|   | extent of the training and  |                           |       |
|   | preparation provided to the |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) in the adoption   |                           |       |
|   | record.                     |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Provision of medical and    |                           |       |
| 6 | social information in       |                           |       |
| . | incoming cases.             |                           |       |
| 4 |                             |                           |       |
| 9 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person        | **S15.4.03 (c):**         |       |
|   | provides a copy of the      | Services addressed in     |       |
|   | child's medical records to  | S15.4.01 also include:    |       |
|   | the prospective adoptive    | full disclosure of all    |       |
|   | parent(s) at least two      | information available to  |       |
|   | weeks before either the     | the organization          |       |
|   | adoption or placement for   | regarding the child's     |       |
|   | adoption, or the date on    | medical and social        |       |
|   | which the prospective       | history as part of the    |       |
|   | adoptive parent(s) travel   | referral information.     |       |
|   | to the other Convention     |                           |       |
|   | country to complete all     |                           |       |
|   | procedures in such country  |                           |       |
|   | relating to the adoption or |                           |       |
|   | placement for adoption,     |                           |       |
|   | whichever is earlier.       |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | To the fullest extent       |                           |       |
|   | practicable, the agency or  |                           |       |
|   | person provides the         |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) with a correct    |                           |       |
|   | and complete                |                           |       |
|   | English-language            |                           |       |
|   | translation of the records  |                           |       |
|   | and, where the medical      |                           |       |
|   | records provided pursuant   |                           |       |
|   | to paragraph (a) of this    |                           |       |
|   | section are a summary or    |                           |       |
|   | compilation of other        |                           |       |
|   | medical records, the agency |                           |       |
|   | or person provides a copy   |                           |       |
|   | of the original medical     |                           |       |
|   | records used to create that |                           |       |
|   | summary or compilation if   |                           |       |
|   | the original medical        |                           |       |
|   | records are available.      |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person        |                           |       |
|   | provides the prospective    |                           |       |
|   | adoptive parent(s) with an  |                           |       |
|   | opportunity to arrange      |                           |       |
|   | another translation of the  |                           |       |
|   | records, including a        |                           |       |
|   | translation into a language |                           |       |
|   | other than English, if      |                           |       |
|   | needed.                     |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person itself |                           |       |
|   | uses reasonable efforts, or |                           |       |
|   | requires its supervised     |                           |       |
|   | provider or agent in the    |                           |       |
|   | child's country of origin   |                           |       |
|   | who is responsible for      |                           |       |
|   | obtaining medical           |                           |       |
|   | information about the child |                           |       |
|   | on behalf of the agency or  |                           |       |
|   | person to use reasonable    |                           |       |
|   | efforts, to obtain          |                           |       |
|   | available information,      |                           |       |
|   | including in particular:    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The date that the     |                           |       |
|   | Convention country or other |                           |       |
|   | child welfare authority     |                           |       |
|   | assumed custody of the      |                           |       |
|   | child and the child's       |                           |       |
|   | condition at that time;     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) History of any        |                           |       |
|   | significant illnesses,      |                           |       |
|   | hospitalizations, and       |                           |       |
|   | changes in the child's      |                           |       |
|   | condition since the         |                           |       |
|   | Convention country or other |                           |       |
|   | child welfare authority     |                           |       |
|   | assumed custody of the      |                           |       |
|   | child;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Growth data and       |                           |       |
|   | developmental status at the |                           |       |
|   | time of the child's         |                           |       |
|   | referral for adoption; and  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Specific information  |                           |       |
|   | on the known health risks   |                           |       |
|   | in the specific region or   |                           |       |
|   | country where the child     |                           |       |
|   | resides.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | If the agency or person     |                           |       |
|   | provides medical            |                           |       |
|   | information to the          |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) from an           |                           |       |
|   | examination by a physician  |                           |       |
|   | or from an observation the  |                           |       |
|   | child by someone who is not |                           |       |
|   | a physician, the            |                           |       |
|   | information includes:       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The name and          |                           |       |
|   | credentials of the          |                           |       |
|   | physician who performed the |                           |       |
|   | examination or the          |                           |       |
|   | individual who observed the |                           |       |
|   | child;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The date of the       |                           |       |
|   | examination or observation; |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) If the medical        |                           |       |
|   | information includes        |                           |       |
|   | references, descriptions,   |                           |       |
|   | or observations made by any |                           |       |
|   | individual other than the   |                           |       |
|   | physician who performed the |                           |       |
|   | examination or the          |                           |       |
|   | individual who performed    |                           |       |
|   | the observation, the        |                           |       |
|   | identity of that            |                           |       |
|   | individual, the             |                           |       |
|   | individual's training, and  |                           |       |
|   | information on whether the  |                           |       |
|   | individual relied on        |                           |       |
|   | objective data or           |                           |       |
|   | subjective perceptions in   |                           |       |
|   | drawing or her conclusions; |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) A review of           |                           |       |
|   | hospitalizations,           |                           |       |
|   | significant illnesses, and  |                           |       |
|   | other significant medical   |                           |       |
|   | events, and the reasons for |                           |       |
|   | them;                       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Information about the |                           |       |
|   | full range of any tests     |                           |       |
|   | performed on the child,     |                           |       |
|   | including tests addressing  |                           |       |
|   | known risk factors in the   |                           |       |
|   | child's country of origin;  |                           |       |
|   | and                         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) Current health        |                           |       |
|   | information.                |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | \(f\) The agency or person  |                           |       |
|   | itself uses reasonable      |                           |       |
|   | efforts, or requires its    |                           |       |
|   | supervised provider or      |                           |       |
|   | agent in the child's        |                           |       |
|   | country of origin who is    |                           |       |
|   | responsible for obtaining   |                           |       |
|   | social information about    |                           |       |
|   | the child on behalf of the  |                           |       |
|   | agency or person to use     |                           |       |
|   | reasonable efforts, to      |                           |       |
|   | obtain available            |                           |       |
|   | information, including in   |                           |       |
|   | particular:                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Information about the | **S15.4.03 (c):**         |       |
|   | child's history and         | Services addressed in     |       |
|   | cultural, racial,           | S15.4.01 also include:    |       |
|   | religious, ethnic, and      | full disclosure of all    |       |
|   | linguistic background; and  | information available to  |       |
|   |                             | the organization          |       |
|   |                             | regarding the child's     |       |
|   |                             | medical and social        |       |
|   |                             | history as part of the    |       |
|   |                             | referral information.     |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Information about all | **S15.4.03 (c):**         |       |
|   | of the child's past and     | Services addressed in     |       |
|   | current placements prior to | S15.4.01 also include:    |       |
|   | adoption, including         | full disclosure of all    |       |
|   | information on who assumed  | information available to  |       |
|   | custody and provided care   | the organization          |       |
|   | for the child.              | regarding the child's     |       |
|   |                             | medical and social        |       |
|   |                             | history as part of the    |       |
|   |                             | referral information.     |       |
+---+-----------------------------+---------------------------+-------+
| g | Where any of the            |                           |       |
|   | information listed in       |                           |       |
|   | paragraphs (d) and (f) of   |                           |       |
|   | this section cannot be      |                           |       |
|   | obtained, the agency or     |                           |       |
|   | person documents in the     |                           |       |
|   | adoption record the efforts |                           |       |
|   | made to obtain the          |                           |       |
|   | information and why it was  |                           |       |
|   | not obtainable.             |                           |       |
+---+-----------------------------+---------------------------+-------+
| h | Where available, the agency |                           |       |
|   | or person provides          |                           |       |
|   | information for contacting  |                           |       |
|   | the examining physician or  |                           |       |
|   | the individual who made the |                           |       |
|   | observations to any         |                           |       |
|   | physician engaged by the    |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s), upon request.    |                           |       |
+---+-----------------------------+---------------------------+-------+
| i | The agency or person        |                           |       |
|   | ensures that videotapes and |                           |       |
|   | photographs of the child    |                           |       |
|   | are identified by the date  |                           |       |
|   | on which the videotape or   |                           |       |
|   | photograph was recorded or  |                           |       |
|   | taken.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
| j | Neither the agency or       |                           |       |
|   | person nor its agents       |                           |       |
|   | withhold from or            |                           |       |
|   | misrepresent to the         |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) any medical,      |                           |       |
|   | social, or other pertinent  |                           |       |
|   | information concerning the  |                           |       |
|   | child.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
| k | The agency or person does   | **S15.4.06:** The         |       |
|   | not withdraw a referral     | organization provides     |       |
|   | until the prospective       | prospective adoptive      |       |
|   | adoptive parent(s) have had | parents appropriate time  |       |
|   | at least a week (unless     | and support to consider a |       |
|   | extenuating circumstances   | child's referral.         |       |
|   | involving the child's best  |                           |       |
|   | interests require a more    |                           |       |
|   | expedited decision) to      |                           |       |
|   | consider the needs of the   |                           |       |
|   | child and their ability to  |                           |       |
|   | meet those needs, and to    |                           |       |
|   | obtain physician review of  |                           |       |
|   | medical information and     |                           |       |
|   | other descriptive           |                           |       |
|   | information, including      |                           |       |
|   | videotapes of the child.    |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Placement and               |                           |       |
| 6 | post-placement monitoring   |                           |       |
| . | until final adoption in     |                           |       |
| 5 | incoming cases.             |                           |       |
| 0 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure that the transfer of |                           |       |
|   | the child takes place in    |                           |       |
|   | secure and appropriate      |                           |       |
|   | circumstances, with         |                           |       |
|   | properly trained and        |                           |       |
|   | qualified escorts, if used, |                           |       |
|   | and, if possible, in the    |                           |       |
|   | company of the prospective  |                           |       |
|   | adoptive parent(s).         |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | After the child is placed   | **S15.5.02 (a):**         |       |
|   | with the prospective        | Post-placement services   |       |
|   | adoptive parent(s) prior to | include: providing        |       |
|   | the adoption, the agency or | post-placement reports on |       |
|   | person monitors and         | the child's progress,     |       |
|   | supervises the child's      | when requested by the     |       |
|   | placement to ensure that    | country of origin and     |       |
|   | the placement remains in    | when not in conflict with |       |
|   | the best interests of the   | the law or public policy  |       |
|   | child, and ensures that at  | of the United States or   |       |
|   | least the number of home    | Canada, as applicable, or |       |
|   | visits required by State    | of the state or province  |       |
|   | law or by the child's       | of official residence of  |       |
|   | country of origin are       | the adoptive parents or   |       |
|   | performed, whichever is     | parent.                   |       |
|   | greater.                    |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | When a placement for        | **S15.5.02 (b):**         | Su    |
|   | adoption is in crisis, the  | Post-placement services   | ffici |
|   | agency or person makes an   | include: counseling or    | ently |
|   | effort to provide or        | referral to counseling    | Si    |
|   | arrange for counseling by   | for adoptive parents and  | milar |
|   | an individual with          | the adoptee, when an      |       |
|   | appropriate skills to       | adoptive placement is in  |       |
|   | assist the family in        | crisis.                   |       |
|   | dealing with the problems   |                           |       |
|   | that have arisen.           |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | When counseling in a        | **S15.5.02 (c):**         |       |
|   | placement for adoption that | Post-placement services   |       |
|   | is in crisis does not       | include: re-placement of  |       |
|   | succeed in resolving the    | the child if the adoptive |       |
|   | crisis and the placement is | placement is disrupted    |       |
|   | disrupted, the agency or    | before finalization.      |       |
|   | person assuming custody of  |                           |       |
|   | the child assumes           |                           |       |
|   | responsibility for making   |                           |       |
|   | another placement of the    |                           |       |
|   | child.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person acts   |                           |       |
|   | promptly and in accord with |                           |       |
|   | any applicable legal        |                           |       |
|   | requirements to remove the  |                           |       |
|   | child when the placement    |                           |       |
|   | may no longer be in the     |                           |       |
|   | child's best interests, to  |                           |       |
|   | provide temporary care, to  |                           |       |
|   | find an eventual adoptive   |                           |       |
|   | placement for the child,    |                           |       |
|   | and, in consultation with   |                           |       |
|   | the Secretary, to inform    |                           |       |
|   | the Central Authority of    |                           |       |
|   | the child's country of      |                           |       |
|   | origin about any new        |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s).                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) In all cases where    |                           |       |
|   | removal of a child from a   |                           |       |
|   | placement is considered,    |                           |       |
|   | the agency or person        |                           |       |
|   | considers the child's views |                           |       |
|   | when appropriate in light   |                           |       |
|   | of the child's age and      |                           |       |
|   | maturity and, when required |                           |       |
|   | by State law, obtains the   |                           |       |
|   | consent of the child prior  |                           |       |
|   | to removal.                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) The agency or person  |                           |       |
|   | does not return from the    |                           |       |
|   | United States a child       |                           |       |
|   | placed for adoption in the  |                           |       |
|   | United States unless the    |                           |       |
|   | Central Authority of the    |                           |       |
|   | country of origin and the   |                           |       |
|   | Secretary have approved the |                           |       |
|   | return in writing.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person        |                           |       |
|   | includes in the written     |                           |       |
|   | adoption contract with the  |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) a plan describing |                           |       |
|   | the agency's or person's    |                           |       |
|   | responsibilities if a       |                           |       |
|   | placement for adoption is   |                           |       |
|   | disrupted. This plan        |                           |       |
|   | addresses:                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Who will have legal   |                           |       |
|   | and financial               |                           |       |
|   | responsibility for transfer |                           |       |
|   | of custody in an emergency  |                           |       |
|   | or in the case of impending |                           |       |
|   | disruption and for the care |                           |       |
|   | of the child;               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) If the disruption     |                           |       |
|   | takes place after the child |                           |       |
|   | has arrived in the United   |                           |       |
|   | States, under what          |                           |       |
|   | circumstances the child     |                           |       |
|   | will, as a last resort, be  |                           |       |
|   | returned to the child's     |                           |       |
|   | country of origin, if that  |                           |       |
|   | is determined to be in the  |                           |       |
|   | child's best interests;     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) How the child's       |                           |       |
|   | wishes, age, length of time |                           |       |
|   | in the United States, and   |                           |       |
|   | other pertinent factors     |                           |       |
|   | will be taken into account; |                           |       |
|   | and                         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) How the Central       |                           |       |
|   | Authority of the child's    |                           |       |
|   | country of origin and the   |                           |       |
|   | Secretary will be notified. |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person        | **S15.5.02 (a):**         | Su    |
|   | provides post-placement     | Post-placement services   | ffici |
|   | reports until final         | include: providing        | ently |
|   | adoption on a child to the  | post-placement reports on | Si    |
|   | other Convention country    | the child's progress,     | milar |
|   | when required by the other  | when requested by the     |       |
|   | Convention country. Where   | country of origin and     |       |
|   | such reports are required,  | when not in conflict with |       |
|   | the agency or person:       | the law or public policy  |       |
|   |                             | of the United States or   |       |
|   |                             | Canada, as applicable, or |       |
|   |                             | of the state or province  |       |
|   |                             | of official residence of  |       |
|   |                             | the adoptive parents or   |       |
|   |                             | parent.                   |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Informs the           | **G1.1:** The             |       |
|   | prospective adoptive        | organization informs all  |       |
|   | parent(s) of the            | persons served of their   |       |
|   | requirement prior to the    | rights and                |       |
|   | referral of the child for   | responsibilities and      |       |
|   | adoption;                   | provides sufficient       |       |
|   |                             | information for them to   |       |
|   |                             | make an informed choice   |       |
|   |                             | about using the           |       |
|   |                             | organization's services.  |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Informs the           | **G1.1:** The             |       |
|   | prospective adoptive        | organization informs all  |       |
|   | parent(s) that they will be | persons served of their   |       |
|   | required to provide all     | rights and                |       |
|   | necessary information for   | responsibilities and      |       |
|   | the report(s); and          | provides sufficient       |       |
|   |                             | information for them to   |       |
|   |                             | make an informed choice   |       |
|   |                             | about using the           |       |
|   |                             | organization's services.  |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Discloses who will    | **S15.3.02 (b):** Prior   |       |
|   | prepare the reports and the | to or at the time of      |       |
|   | fees that will be charged.  | service delivery, the     |       |
|   |                             | organization establishes  |       |
|   |                             | in the case record and    |       |
|   |                             | informs each person       |       |
|   |                             | served in writing of the  |       |
|   |                             | following: a schedule of  |       |
|   |                             | fees.                     |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person takes  |                           |       |
|   | steps to:                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Ensure that an order  | **S15.4.03 (d):**         |       |
|   | declaring the adoption as   | Services addressed in     |       |
|   | final is sought by the      | S15.4.01 also include:    |       |
|   | prospective adoptive        | assurance that the        |       |
|   | parent(s), and entered in   | adoption of the child is  |       |
|   | compliance with section     | completed.                |       |
|   | 301(c) of the IAA (Pub. L.  |                           |       |
|   | 106--279, section 301(c),   |                           |       |
|   | 42 U.S.C. 14931(c)); and    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Notify the Secretary  |                           |       |
|   | of the finalization of the  |                           |       |
|   | adoption within thirty days |                           |       |
|   | of the entry of the order.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Post-adoption services in   |                           |       |
| 6 | incoming cases.             |                           |       |
| . |                             |                           |       |
| 5 |                             |                           |       |
| 1 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure that the transfer of |                           |       |
|   | the child takes place in    |                           |       |
|   | secure and appropriate      |                           |       |
|   | circumstances, with         |                           |       |
|   | properly trained and        |                           |       |
|   | qualified escorts, if used, |                           |       |
|   | and, if possible, in the    |                           |       |
|   | company of the adoptive     |                           |       |
|   | parent(s).                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person either |                           |       |
|   | informs the prospective     |                           |       |
|   | adoptive parent(s) in the   |                           |       |
|   | written adoption contract   |                           |       |
|   | that the agency or person   |                           |       |
|   | will not provide services   |                           |       |
|   | if an adoption is dissolved |                           |       |
|   | or provides a plan          |                           |       |
|   | describing the agency's or  |                           |       |
|   | person's responsibilities,  |                           |       |
|   | if any, if an adoption is   |                           |       |
|   | dissolved.                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | When post-adoption reports  | **S15.5.03 (c):** The     |       |
|   | are required by the child's | organization provides     |       |
|   | country of origin, the      | post-adoption services as |       |
|   | agency or person includes a | appropriate under the     |       |
|   | requirement for such        | laws of the child's       |       |
|   | reports in the adoption     | country of origin and the |       |
|   | contract and makes          | United States or Canada,  |       |
|   | good-faith efforts to       | as applicable, upon       |       |
|   | encourage adoptive          | request by members of the |       |
|   | parent(s) to provide such   | adoption triad that       |       |
|   | reports.                    | include: c. post-adoption |       |
|   |                             | reports on the progress   |       |
|   |                             | of the child when         |       |
|   |                             | requested by the child's  |       |
|   |                             | country of origin and     |       |
|   |                             | when not in conflict with |       |
|   |                             | law or public policy of   |       |
|   |                             | the United States or      |       |
|   |                             | Canada, as applicable, or |       |
|   |                             | of the state or province  |       |
|   |                             | of official residence of  |       |
|   |                             | the adoptive parents or   |       |
|   |                             | parent                    |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person does   |                           |       |
|   | not return from the United  |                           |       |
|   | States an adopted child     |                           |       |
|   | whose adoption has been     |                           |       |
|   | dissolved unless the        |                           |       |
|   | Central Authority of the    |                           |       |
|   | country of origin and the   |                           |       |
|   | Secretary have approved the |                           |       |
|   | return in writing.          |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | If the agency or person     | **S15.5.03 (a)**: The     |       |
|   | voluntarily provides        | organization provides     |       |
|   | post-adoption services, it  | post-adoption services as |       |
|   | ensures that the individual | appropriate under the     |       |
|   | providing such services has | laws of the child's       |       |
|   | knowledge of post adoption  | country of origin and the |       |
|   | issues and, if possible, of | United States or Canada,  |       |
|   | the legal, social,          | as applicable, upon       |       |
|   | cultural, and emotional     | request by members of the |       |
|   | issues pertinent to the     | adoption triad that       |       |
|   | particular adoption case in | include: delivery of      |       |
|   | which it is involved.       | services by qualified     |       |
|   |                             | personnel who have prior  |       |
|   |                             | experience in             |       |
|   |                             | post-adoption service and |       |
|   |                             | knowledge about the       |       |
|   |                             | legal, social, cultural,  |       |
|   |                             | and emotional issues      |       |
|   |                             | pertinent to adoption.    |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Performance of Hague        |                           |       |
| 6 | Convention communication    |                           |       |
| . | and coordination functions  |                           |       |
| 5 | in incoming case.           |                           |       |
| 2 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | The agency or person keeps  |                           |       |
| a | the Central Authority of    |                           |       |
|   | the other Convention        |                           |       |
|   | country and the Secretary   |                           |       |
|   | informed about the adoption |                           |       |
|   | process and the measures    |                           |       |
|   | taken to complete it, as    |                           |       |
|   | well as about the progress  |                           |       |
|   | of the placement if a       |                           |       |
|   | probationary period is      |                           |       |
|   | required.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person takes  |                           |       |
|   | all appropriate measures,   |                           |       |
|   | consistent with the         |                           |       |
|   | procedures of the other     |                           |       |
|   | Convention country, to:     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Transmit on a timely  |                           |       |
|   | basis the home study to the |                           |       |
|   | Central Authority or other  |                           |       |
|   | competent authority of the  |                           |       |
|   | child's country of origin;  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Obtain the child      | **S15.4.03:** Services    |       |
|   | background study, proof     | addressed in S15.4.01     |       |
|   | that the necessary consents | also include:             |       |
|   | to the child's adoption     |                           |       |
|   | have been obtained, and the | a\. obtaining assurances  |       |
|   | necessary determination     | that, at placement, the   |       |
|   | that the prospective        | child is legally free for |       |
|   | placement is in the child's | international adoption at |       |
|   | best interests, from the    | the time of placement;    |       |
|   | Central Authority or other  |                           |       |
|   | competent authority in the  | b\. following standard    |       |
|   | child's country of origin;  | procedures to obtain      |       |
|   |                             | assurance that the child  |       |
|   |                             | is or will be authorized  |       |
|   |                             | to enter and reside       |       |
|   |                             | permanently in the United |       |
|   |                             | States or Canada, as      |       |
|   |                             | applicable;               |       |
|   |                             |                           |       |
|   |                             | **c.** full disclosure of |       |
|   |                             | all information available |       |
|   |                             | to the organization       |       |
|   |                             | regarding the child's     |       |
|   |                             | medical and social        |       |
|   |                             | history as part of the    |       |
|   |                             | referral information; and |       |
|   |                             |                           |       |
|   |                             | **d.** assurance that the |       |
|   |                             | adoption of the child is  |       |
|   |                             | completed.                |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Provide confirmation  | **S15.4.03 (a) :**        |       |
|   | that the prospective        | Services addressed in     |       |
|   | adoptive parent(s) agree to | S15.4.01 also include:    |       |
|   | the adoption to the Central | obtaining assurances      |       |
|   | Authority or other          | that, at placement, the   |       |
|   | competent authority in the  | child is legally free for |       |
|   | child's country of origin;  | international adoption at |       |
|   | and                         | the time of placement.    |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Transmit the          | **S15.4.03 (b):**         |       |
|   | determination that the      | Services addressed in     |       |
|   | child is or will be         | S15.4.01 also include:    |       |
|   | authorized to enter and     | following standard        |       |
|   | reside permanently in the   | procedures to obtain      |       |
|   | United States to the        | assurance that the child  |       |
|   | Central Authority or other  | is or will be authorized  |       |
|   | competent authority in the  | to enter and reside       |       |
|   | child's country of origin.  | permanently in the United |       |
|   |                             | States or Canada, as      |       |
|   |                             | applicable.               |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person takes  | **S15.4.03 (a, b):**      |       |
|   | all necessary and           | Services addressed in     |       |
|   | appropriate measures,       | S15.4.01 also include:    |       |
|   | consistent with the         |                           |       |
|   | procedures of the other     | a\. obtaining assurances  |       |
|   | Convention country, to      | that, at placement, the   |       |
|   | obtain permission for the   | child is legally free for |       |
|   | child to leave his or her   | international adoption at |       |
|   | country of origin and to    | the time of placement;    |       |
|   | enter and reside            | and                       |       |
|   | permanently in the United   |                           |       |
|   | States.                     | b\. following standard    |       |
|   |                             | procedures to obtain      |       |
|   |                             | assurance that the child  |       |
|   |                             | is or will be authorized  |       |
|   |                             | to enter and reside       |       |
|   |                             | permanently in the United |       |
|   |                             | States or Canada, as      |       |
|   |                             | applicable.               |       |
+---+-----------------------------+---------------------------+-------+
| d | Where the transfer of the   |                           |       |
|   | child does not take place,  |                           |       |
|   | the agency or person        |                           |       |
|   | returns the home study on   |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s) and/or the child  |                           |       |
|   | background study to the     |                           |       |
|   | authorities that forwarded  |                           |       |
|   | them.                       |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person takes  |                           |       |
|   | all necessary and           |                           |       |
|   | appropriate measures to     |                           |       |
|   | perform any tasks in a      |                           |       |
|   | Convention adoption case    |                           |       |
|   | that the Secretary          |                           |       |
|   | identifies are required to  |                           |       |
|   | comply with the Convention, |                           |       |
|   | the IAA, or any regulations |                           |       |
|   | implementing the IAA.       |                           |       |
+---+-----------------------------+---------------------------+-------+
| * |                             |                           |       |
| * |                             |                           |       |
| S |                             |                           |       |
| t |                             |                           |       |
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| d |                             |                           |       |
| S |                             |                           |       |
| t |                             |                           |       |
| a |                             |                           |       |
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| e |                             |                           |       |
| s |                             |                           |       |
| ( |                             |                           |       |
| O |                             |                           |       |
| u |                             |                           |       |
| t |                             |                           |       |
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| o |                             |                           |       |
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| g |                             |                           |       |
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| e |                             |                           |       |
| s |                             |                           |       |
| ) |                             |                           |       |
| * |                             |                           |       |
| * |                             |                           |       |
|   |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Background studies on the   |                           |       |
| 6 | child and consents in       |                           |       |
| . | outgoing cases.             |                           |       |
| 5 |                             |                           |       |
| 3 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure that a child         |                           |       |
|   | background study is         |                           |       |
|   | performed that includes     |                           |       |
|   | information about the       |                           |       |
|   | child's identity,           |                           |       |
|   | adoptability, background,   |                           |       |
|   | social environment, family  |                           |       |
|   | history, medical history    |                           |       |
|   | (including that of the      |                           |       |
|   | child's family), and any    |                           |       |
|   | special needs of the child. |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | Where the child background  |                           |       |
|   | study is not prepared in    |                           |       |
|   | the first instance by an    |                           |       |
|   | accredited agency or        |                           |       |
|   | temporarily accredited      |                           |       |
|   | agency (that is, it was     |                           |       |
|   | initially prepared by an    |                           |       |
|   | approved person or exempted |                           |       |
|   | provider), it ensures that  |                           |       |
|   | the background study is     |                           |       |
|   | reviewed and approved in    |                           |       |
|   | writing by an accredited    |                           |       |
|   | agency or temporarily       |                           |       |
|   | accredited agency. The      |                           |       |
|   | written approval must       |                           |       |
|   | include a determination     |                           |       |
|   | that the background study:  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Includes all the      |                           |       |
|   | information required by     |                           |       |
|   | paragraph (a) of this       |                           |       |
|   | section;                    |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Evidences that        |                           |       |
|   | consents were obtained in   |                           |       |
|   | accordance with paragraph   |                           |       |
|   | (c) of this section;        |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Reflects              |                           |       |
|   | consideration of the        |                           |       |
|   | child's wishes and opinions |                           |       |
|   | in accordance with          |                           |       |
|   | paragraph (d) of this       |                           |       |
|   | section; and                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Was prepared either   |                           |       |
|   | by an exempted provider or  |                           |       |
|   | by an individual who meets  |                           |       |
|   | the personnel               |                           |       |
|   | qualifications set forth in |                           |       |
|   | § 96.37(g).                 |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure that consents have   |                           |       |
|   | been obtained as follows:   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) The persons,          |                           |       |
|   | institutions, and           |                           |       |
|   | authorities whose consent   |                           |       |
|   | is necessary for adoption   |                           |       |
|   | have been counseled as      |                           |       |
|   | necessary and duly informed |                           |       |
|   | of the effects of their     |                           |       |
|   | consent, in particular      |                           |       |
|   | whether or not an adoption  |                           |       |
|   | will result in the          |                           |       |
|   | termination of the legal    |                           |       |
|   | relationship between the    |                           |       |
|   | child and his or her family |                           |       |
|   | of origin;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) All such persons,     |                           |       |
|   | institutions, and           |                           |       |
|   | authorities have given      |                           |       |
|   | their consents;             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) The consents have     |                           |       |
|   | been expressed or evidenced |                           |       |
|   | in writing in the required  |                           |       |
|   | legal form, have been given |                           |       |
|   | freely, were not induced by |                           |       |
|   | payments or compensation of |                           |       |
|   | any kind, and have not been |                           |       |
|   | withdrawn;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) The consent of the    |                           |       |
|   | mother, where required, was |                           |       |
|   | executed after the birth of |                           |       |
|   | the child;                  |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) The child, as         |                           |       |
|   | appropriate in light of his |                           |       |
|   | or her age and maturity,    |                           |       |
|   | has been counseled and duly |                           |       |
|   | informed of the effects of  |                           |       |
|   | the adoption and of his or  |                           |       |
|   | her consent to the          |                           |       |
|   | adoption, including that it |                           |       |
|   | will result in the child    |                           |       |
|   | living in another country;  |                           |       |
|   | and                         |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(6\) The child's consent,  |                           |       |
|   | where required, has been    |                           |       |
|   | given freely, in the        |                           |       |
|   | required legal form, and    |                           |       |
|   | expressed or evidenced in   |                           |       |
|   | writing and not induced by  |                           |       |
|   | payment or compensation of  |                           |       |
|   | any kind.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | If the child is ten years   |                           |       |
|   | of age or older, or as      |                           |       |
|   | otherwise provided by State |                           |       |
|   | law, the agency or person   |                           |       |
|   | gives due consideration to  |                           |       |
|   | the child's wishes or       |                           |       |
|   | opinions before determining |                           |       |
|   | that an intercountry        |                           |       |
|   | placement is in the child's |                           |       |
|   | best interests.             |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | transmit to the Central     |                           |       |
|   | Authority or other          |                           |       |
|   | competent authority of the  |                           |       |
|   | other Convention country    |                           |       |
|   | the child background study, |                           |       |
|   | proof that the necessary    |                           |       |
|   | consents have been          |                           |       |
|   | obtained, and the reasons   |                           |       |
|   | for its determination that  |                           |       |
|   | the placement is in the     |                           |       |
|   | child's best interests. In  |                           |       |
|   | doing so, the agency or     |                           |       |
|   | person, as required by      |                           |       |
|   | Article 16(2) of the        |                           |       |
|   | Convention, does not reveal |                           |       |
|   | the identity of the mother  |                           |       |
|   | or the father if these      |                           |       |
|   | identities may not be       |                           |       |
|   | disclosed under State law.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Placement standards in      |                           |       |
| 6 | outgoing cases.             |                           |       |
| . |                             |                           |       |
| 5 |                             |                           |       |
| 4 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | Except in the case of       |                           |       |
|   | adoption by relatives or in |                           |       |
|   | the case in which the birth |                           |       |
|   | parent(s) have identified   |                           |       |
|   | specific prospective        |                           |       |
|   | adoptive parent(s) or in    |                           |       |
|   | other special circumstances |                           |       |
|   | accepted the State court    |                           |       |
|   | with jurisdiction over      |                           |       |
|   | case, the agency or person  |                           |       |
|   | makes reasonable efforts to |                           |       |
|   | find a timely adoptive      |                           |       |
|   | placement for the child in  |                           |       |
|   | the United States by:       |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Disseminating         |                           |       |
|   | information on the child    |                           |       |
|   | and his or her availability |                           |       |
|   | for adoption through print, |                           |       |
|   | media, and internet         |                           |       |
|   | resources designed to       |                           |       |
|   | communicate with potential  |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) in the United     |                           |       |
|   | States;                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Listing information   |                           |       |
|   | about the child on a        |                           |       |
|   | national or State adoption  |                           |       |
|   | exchange or registry for at |                           |       |
|   | least thirty calendar days  |                           |       |
|   | after the birth of the      |                           |       |
|   | child;                      |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Responding to         |                           |       |
|   | inquiries about adoption of |                           |       |
|   | the child; and              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Providing a copy of   |                           |       |
|   | the child background study  |                           |       |
|   | to potential prospective    |                           |       |
|   | adoptive parent(s).         |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | demonstrates to the         |                           |       |
|   | satisfaction of the State   |                           |       |
|   | court with jurisdiction     |                           |       |
|   | over the adoption that      |                           |       |
|   | sufficient reasonable       |                           |       |
|   | efforts to find a timely    |                           |       |
|   | adoptive placement for the  |                           |       |
|   | child in the United States  |                           |       |
|   | were made, or that making   |                           |       |
|   | such reasonable efforts was |                           |       |
|   | not in the best interests   |                           |       |
|   | of the child.               |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | In placing the child for    |                           |       |
|   | adoption, the agency or     |                           |       |
|   | person:                     |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) To the extent         |                           |       |
|   | consistent with State or    |                           |       |
|   | Federal law, gives          |                           |       |
|   | significant weight to the   |                           |       |
|   | placement preferences       |                           |       |
|   | expressed by the birth      |                           |       |
|   | parent(s) in all voluntary  |                           |       |
|   | placements;                 |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Makes diligent        |                           |       |
|   | efforts to place siblings   |                           |       |
|   | together for adoption and,  |                           |       |
|   | where placement together is |                           |       |
|   | not possible, to arrange    |                           |       |
|   | for contact between         |                           |       |
|   | separated siblings, unless  |                           |       |
|   | it is in the best interests |                           |       |
|   | of one of the siblings that |                           |       |
|   | such efforts or contact not |                           |       |
|   | take place; and             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Complies with all     |                           |       |
|   | applicable requirements of  |                           |       |
|   | the Indian Child Welfare    |                           |       |
|   | Act.                        |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | If and as required by State |                           |       |
|   | law, the agency or person   |                           |       |
|   | provides the birth          |                           |       |
|   | parent(s) with independent  |                           |       |
|   | legal counsel at the        |                           |       |
|   | expense of the agency or    |                           |       |
|   | person or the prospective   |                           |       |
|   | adoptive parent(s), and     |                           |       |
|   | fully discloses to the      |                           |       |
|   | birth parent(s) that the    |                           |       |
|   | child is to be adopted by   |                           |       |
|   | parent(s) who reside        |                           |       |
|   | outside the United States.  |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | give due consideration to   |                           |       |
|   | the child's upbringing and  |                           |       |
|   | to his or her ethnic,       |                           |       |
|   | religious, and cultural     |                           |       |
|   | background.                 |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | When particular prospective |                           |       |
|   | adoptive parent(s) in       |                           |       |
|   | another Convention country  |                           |       |
|   | have been identified, the   |                           |       |
|   | agency or person takes all  |                           |       |
|   | appropriate measures to     |                           |       |
|   | determine whether the       |                           |       |
|   | envisaged placement is in   |                           |       |
|   | the best interests of the   |                           |       |
|   | child, on the basis of the  |                           |       |
|   | child background study and  |                           |       |
|   | the home study on the       |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s).                  |                           |       |
+---+-----------------------------+---------------------------+-------+
| g | The agency or person        |                           |       |
|   | thoroughly prepares the     |                           |       |
|   | child for the transition to |                           |       |
|   | the other Convention        |                           |       |
|   | country, using              |                           |       |
|   | age-appropriate services    |                           |       |
|   | that address child's likely |                           |       |
|   | feelings of separation,     |                           |       |
|   | grief, and loss and         |                           |       |
|   | difficulties in making any  |                           |       |
|   | cultural, religious,        |                           |       |
|   | racial, ethnic, linguistic  |                           |       |
|   | adjustment.                 |                           |       |
+---+-----------------------------+---------------------------+-------+
| h | The agency or person takes  |                           |       |
|   | all appropriate measures to |                           |       |
|   | ensure that transfer of the |                           |       |
|   | child takes place in secure |                           |       |
|   | and appropriate             |                           |       |
|   | circumstances, with         |                           |       |
|   | properly trained and        |                           |       |
|   | qualified escorts, if used, |                           |       |
|   | and, if possible, in the    |                           |       |
|   | company of the adoptive     |                           |       |
|   | parent(s) or prospective    |                           |       |
|   | adoptive parent(s);         |                           |       |
+---+-----------------------------+---------------------------+-------+
| i | Before the placement for    |                           |       |
|   | adoption proceeds, the      |                           |       |
|   | agency or person identifies |                           |       |
|   | the entity in the receiving |                           |       |
|   | country that will provide   |                           |       |
|   | postplacement supervision   |                           |       |
|   | and reports, if required by |                           |       |
|   | State law, and ensures that |                           |       |
|   | the child's adoption record |                           |       |
|   | contains information        |                           |       |
|   | necessary for contacting    |                           |       |
|   | that entity.                |                           |       |
+---+-----------------------------+---------------------------+-------+
| j | The agency or person        |                           |       |
|   | ensures that the child's    |                           |       |
|   | adoption record includes    |                           |       |
|   | order granting the adoption |                           |       |
|   | or legal custody for the    |                           |       |
|   | purpose of adoption the     |                           |       |
|   | Convention country.         |                           |       |
+---+-----------------------------+---------------------------+-------+
| k | The agency or person        |                           |       |
|   | consults with the Secretary |                           |       |
|   | before arranging for the    |                           |       |
|   | return to the United States |                           |       |
|   | of any child who has        |                           |       |
|   | emigrated to a Convention   |                           |       |
|   | country in connection with  |                           |       |
|   | the child's adoption.       |                           |       |
+---+-----------------------------+---------------------------+-------+
| 9 | Performance of Hague        |                           |       |
| 6 | Convention communication    |                           |       |
| . | and coordination functions  |                           |       |
| 5 | on outgoing cases.          |                           |       |
| 5 |                             |                           |       |
+---+-----------------------------+---------------------------+-------+
| a | The agency or person keeps  |                           |       |
|   | the Central Authority of    |                           |       |
|   | the other                   |                           |       |
|   |                             |                           |       |
|   | Convention country and the  |                           |       |
|   | Secretary informed about    |                           |       |
|   | the adoption process and    |                           |       |
|   | the measures taken to       |                           |       |
|   | complete it, as well as     |                           |       |
|   | about the progress of the   |                           |       |
|   | placement if a probationary |                           |       |
|   | period is required.         |                           |       |
+---+-----------------------------+---------------------------+-------+
| b | The agency or person        |                           |       |
|   | ensures that:               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Copies of all         |                           |       |
|   | documents from the State    |                           |       |
|   | court proceedings,          |                           |       |
|   | including the order         |                           |       |
|   | granting the adoption or    |                           |       |
|   | legal custody, are provided |                           |       |
|   | to the Secretary;           |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) Any additional        |                           |       |
|   | information on the adoption |                           |       |
|   | is transmitted to the       |                           |       |
|   | Secretary promptly upon     |                           |       |
|   | request; and                |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) It otherwise          |                           |       |
|   | facilitates, as requested,  |                           |       |
|   | the Secretary's ability to  |                           |       |
|   | provide the certification   |                           |       |
|   | that the child has been     |                           |       |
|   | adopted or that custody has |                           |       |
|   | been granted for the        |                           |       |
|   | purpose of adoption, in     |                           |       |
|   | accordance with the         |                           |       |
|   | Convention and the IAA.     |                           |       |
+---+-----------------------------+---------------------------+-------+
| c | Where the transfer of the   |                           |       |
|   | child does not take place,  |                           |       |
|   | the agency or person        |                           |       |
|   | returns the home study on   |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s) and/or the child  |                           |       |
|   | background study to the     |                           |       |
|   | authorities that forwarded  |                           |       |
|   | them.                       |                           |       |
+---+-----------------------------+---------------------------+-------+
| d | The agency or person        |                           |       |
|   | provides to the State court |                           |       |
|   | with jurisdiction over the  |                           |       |
|   | adoption:                   |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(1\) Proof that consents   |                           |       |
|   | have been given as required |                           |       |
|   | in § 96.53(c);              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(2\) An English copy or    |                           |       |
|   | certified English           |                           |       |
|   | translation of the home     |                           |       |
|   | study on the prospective    |                           |       |
|   | adoptive parent(s) in the   |                           |       |
|   | other Convention country,   |                           |       |
|   | and the determination by    |                           |       |
|   | the agency or person that   |                           |       |
|   | the placement with the      |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) is in the child's |                           |       |
|   | best interests;             |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(3\) Evidence that the     |                           |       |
|   | prospective adoptive        |                           |       |
|   | parent(s) in the other      |                           |       |
|   | Convention country agree to |                           |       |
|   | the adoption;               |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(4\) Evidence that the     |                           |       |
|   | child will be authorized to |                           |       |
|   | enter and reside            |                           |       |
|   | permanently in the          |                           |       |
|   | Convention country or on    |                           |       |
|   | the same basis as that of   |                           |       |
|   | the prospective adoptive    |                           |       |
|   | parent(s); and              |                           |       |
+---+-----------------------------+---------------------------+-------+
|   | \(5\) Evidence that the     |                           |       |
|   | Central Authority of the    |                           |       |
|   | other Convention country    |                           |       |
|   | has agreed to the adoption, |                           |       |
|   | if such consent is          |                           |       |
|   | necessary under its laws    |                           |       |
|   | for the adoption to become  |                           |       |
|   | final.                      |                           |       |
+---+-----------------------------+---------------------------+-------+
| e | The agency or person makes  |                           |       |
|   | the showing required by §   |                           |       |
|   | 96.54(b) to the State court |                           |       |
|   | with jurisdiction over the  |                           |       |
|   | adoption.                   |                           |       |
+---+-----------------------------+---------------------------+-------+
| f | The agency or person takes  |                           |       |
|   | all necessary and           |                           |       |
|   | appropriate measures to     |                           |       |
|   | perform any tasks in a      |                           |       |
|   | Convention adoption case    |                           |       |
|   | that the Secretary          |                           |       |
|   | identifies are required to  |                           |       |
|   | comply with the Convention, |                           |       |
|   | the IAA, or any regulations |                           |       |
|   | implementing the IAA.       |                           |       |
+---+-----------------------------+---------------------------+-------+

October 14, 2003

Mr. David Rosteker

Office of Management & Budget

Attn: Desk Officer for the Department of State

Office of Information and Regulatory Affairs

Room 10202

New Executive Office Building

Washington, DC 20503

***STATE/AR/01/96***

Dear Mr. Rosteker,

The Council on Accreditation (COA) has advised the appropriate personnel
at the Department of State of its intention to apply for designation as
an accrediting body pursuant to the Hague Convention on Protection of
Children and Co-operation in Respect of Intercountry Adoption (the
Convention) and the Intercountry Adoption Act of 2000 (IAA).

In connection therewith, COA understands that if it is designated as an
accrediting entity it must comply with the Burden and Estimate of the
Total of Public Burden Per Year Associated with the Collection and
Dissemination of information required Sections 96.91 and 96.92.

COA respectfully questions the accuracy thereof for the following
reasons and requests that these concerns be duly noted:

a.  The specific duties of an accrediting entity is contingent on
    determining the following:

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i.  Whether the proposed Regulations, Subpart N, pertaining to Temporary
    Accreditation, are amended, deleted or remain as set forth;

ii. The magnitude of the universe (accredited agencies, temporarily
    accredited agencies {if any} and approved persons) to be the subject
    of information collection and dissemination is impossible to
    ascertain pending the final Regulations; and,

iii. Organizations such as COA that have indicated an intention to be
     named an "accrediting entity" may not have decided whether they
     wish to seek to be an accrediting entity for "persons".

     a.  Complaints - either substantiated or unsubstantiated - may well
         form a substantial part of the information to be reported as.
         Given the ease with which they can be lodged and communicated
         to other interested parties (and potential complainants) via
         the internet, there is no way for COA or any accrediting entity
         to determine the volume of complaints that may be received.

     b.  Absent a better understanding of each of the above, an accurate
         estimate of the burden in terms of manpower, time and money
         cannot be made.

In consequence of the above, *COA respectfully suggests that the final
Regulations be revised to substantially increase the estimate of the
Burden and Estimate of the Total of Public Burden.*

Finally, it must be noted that the provisions regarding the collection
and dissemination of information will impact the cost of accreditation.
Whether this will in turn have a chilling effect on agencies seeking
accreditation and ultimately the number of children who will be the
subject of adoption from Convention countries are issues that should be
considered.

We welcome the opportunity to discuss these concerns and this comment
with OMB and the Department of State.

Sincerely,

Richard Klarberg

President & CEO

CC: Dept. of State