1

Code of Federal Regulations

Title 22 - Foreign Relations

Volume: 1

Date: 2014-7-X

Original Date: 2006-02-15

Title: PART 96 -– INTERCOUNTRY ADOPTION ACCREDITATION OF AGENCIES AND APPROVAL 

OF PERSONS UNDER THE INTERCOUNTRY ADOPTION ACT OF 2000 (IAA)

Context: Title 22 - Foreign Relations. 

CHAPTER I - DEPARTMENT OF STATE. SUBCHAPTER J - LEGAL AND RELATED SERVICES.

PART 96—INTERCOUNTRY ADOPTION ACCREDITATION OF AGENCIES AND APPROVAL OF 

PERSONS UNDER THE INTERCOUNTRY ADOPTION ACT OF 2000 (IAA).

Subpart A—General Provisions Sec.

96.1 Purpose.

96.2 Definitions.

96.3 [Reserved]

Subpart B—Selection, Designation, and Duties of Accrediting Entities

96.4 Designation of accrediting entities by the Secretary.

96.5 Requirement that accrediting entity be a nonprofit or public entity.

96.6 Performance criteria for designation as an accrediting entity.

96.7 Authorities and responsibilities of an accrediting entity.

96.8 Fees charged by accrediting entities.

96.9 Agreement between the Secretary and the accrediting entity.

96.10 Suspension or cancellation of the designation of an accrediting entity by the Secretary.

96.11 [Reserved]

Subpart C—Accreditation and Approval Requirements for the Provision of Adoption Services

96.12 Authorized adoption service providers.

96.13 Circumstances in which accreditation, approval, or supervision is not required.

96.14 Providing adoption services using other providers.

96.15 Examples.

96.16 Public domestic authorities.
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96.17 Effective date of accreditation and approval requirements.

Subpart D—Application Procedures for Accreditation and Approval

96.18 Scope.

96.19 Special provision for agencies and persons seeking to be accredited or approved as of the time 

the Convention enters into force for the United States.

96.2019 First-time application procedures for accreditation and approval.

96.210 Choosing an accrediting entity.

96.221- 96.22 [Reserved]

Subpart E—Evaluation of Applicants for Accreditation and Approval

96.23 Scope.

96.24 Procedures for evaluating applicants for accreditation or approval.

96.25 Access to information and documents requested by the accrediting entity.

96.26 Protection of information and documents by the accrediting entity.

96.27 Substantive criteria for evaluating applicants for accreditation or approval.

96.28 [Reserved]

Subpart F—Standards for Convention Intercountry Adoption Accreditation and Approval

96.29 Scope.

Licensing and Corporate Governance

96.30 State licensing.

96.31 Corporate structure.

96.32 Internal structure and oversight.

Financial and Risk Management

96.33 Budget, audit, insurance, and risk assessment requirements.

96.34 Compensation.

Ethical Practices and Responsibilities
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96.35 Suitability of agencies and persons to provide adoption services consistent with the Convention.

96.36 Prohibition on child buying.

Professional Qualifications and Training for Employees

96.37 Education and experience requirements for social service personnel.

96.38 Training requirements for social service personnel.

Information Disclosure, Fee Practices, and Quality Control Policies and Practices

96.39 Information disclosure and quality control practices.

96.40 Fee policies and procedures.

Responding to Complaints and Records and Reports Management

96.41 Procedures for responding to complaints and improving service delivery.

96.42 Retention, preservation, and disclosure of adoption records.

96.43 Case tracking, data management, and reporting.

Service Planning and Delivery

96.44 Acting as primary provider.

96.45 Using supervised providers in the United States.

96.46 Using providers in Convention foreign countries.

Standards for Cases in Which a Child Is Immigrating to the United States (Incoming Cases)

96.47 Preparation of home studies in incoming cases

96.48 Preparation and training of prospective adoptive parent(s) in incoming cases.

96.49 Provision of medical and social information in incoming cases.

96.50 Placement and post-placement monitoring until final adoption in incoming cases.

96.51 Post-adoption services in incoming cases.

96.52 Performance of Convention communication and coordination functions in incoming cases.

Standards for Convention Cases in Which a Child Is Emigrating From the United States (Outgoing 

Convention Cases)
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96.53 Background studies on the child and consents in outgoing Convention cases.

96.54 Placement standards in outgoing Convention cases.

96.55 Performance of Convention communication and coordination functions in outgoing Convention

cases.

96.56 [Reserved]

Subpart G—Decisions on Applications for Accreditation or Approval

96.57 Scope.

96.58 Notification of accreditation and approval decisions.

96.59 Review of decisions to deny accreditation or approval.

96.60 Length of accreditation or approval period.

96.61 [Reserved]

Subpart H—Renewal of Accreditation or Approval

96.62 Scope.

96.63 Renewal of accreditation or approval.

96.64 [Reserved]

Subpart I—Routine Oversight by Accrediting Entities

96.65 Scope.

96.66 Oversight of accredited agencies and approved persons by the accrediting entity.

96.67 [Reserved]

Subpart J—Oversight Through Review of Complaints

96.68 Scope.

96.69 Filing of complaints against accredited agencies and approved persons.

96.70 Operation of the Complaint Registry.

96.71 Review by the accrediting entity of complaints against accredited agencies and approved 

persons.

96.72 Referral of complaints to the Secretary and other authorities.

96.73 [Reserved]

Subpart K—Adverse Action by the Accrediting Entity
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96.74 Scope.

96.75 Adverse action against accredited agencies or approved persons not in substantial compliance.

96.76 Procedures governing adverse action by the accrediting entity.

96.77 Responsibilities of the accredited agency, approved person, and accrediting entity following 

adverse action by the accrediting entity.

96.78 Accrediting entity procedures to terminate adverse action.

96.79 Administrative or judicial review of adverse action by the accrediting entity.

96.80 [Reserved]

Subpart L—Oversight of Accredited Agencies and Approved Persons by the Secretary

96.81 Scope.

96.82 The Secretary's response to actions by the accrediting entity.

96.83 Suspension or cancellation of accreditation or approval by the Secretary.

96.84 Reinstatement of accreditation or approval after suspension or cancellation by the Secretary.

96.85 Temporary and permanent debarment by the Secretary.

96.86 Length of debarment period and reapplication after temporary debarment.

96.87 Responsibilities of the accredited agency, approved person, and accrediting entity following 

suspension, cancellation, or debarment by the Secretary.

96.88 Review of suspension, cancellation, or debarment by the Secretary.

96.89 [Reserved]

Subpart M—Dissemination and Reporting of Information by Accrediting Entities

96.90 Scope.

96.91 Dissemination of information to the public about accreditation and approval status.

96.92 Dissemination of information to the public about complaints against accredited agencies and 

approved persons.

96.93 Reports to the Secretary about accredited agencies and approved persons and their activities.

96.94 [Reserved]

Subpart N—Temporary Accreditation

96.95Scope.

96.96Eligibility requirements for temporary accreditation.

96.97Application procedures for temporary accreditation.

96.98Length of temporary accreditation period.
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96.99Converting an application for temporary accreditation to an application for full accreditation.

96.100Procedures for evaluating applicants for temporary accreditation.

96.101Notification of temporary accreditation decisions.

96.102Review of temporary accreditation decisions.

96.103Oversight by accrediting entities.

96.104Performance standards for temporary accreditation.

96.105Adverse action against a temporarily accredited agency by an accrediting entity.

96.106Review of the withdrawal of temporary accreditation by an accrediting entity.

96.107Adverse action against a temporarily accredited agency by the Secretary.

96.108Review of the withdrawal of temporary accreditation by the Secretary.

96.109Effect of the withdrawal of temporary accreditation by the accrediting entity or the Secretary.

96.110Dissemination and reporting of information about temporarily accredited agencies.

96.111Fees charged for temporary accreditation.

The Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption (done at 

the Hague, May 29, 1993), S. Treaty Doc. 105-51 (1998), 1870 U.N.T.S. 167 (Reg. No. 31922 (1993)); 

The Intercountry Adoption Act of 2000, 42 U.S.C. 14901-14954; The Intercountry Adoption Universal 

Accreditation Act of 2012, Pub. L. 112-276, 42 U.S.C. 14925.

Source: 71 FR 8131, Feb. 15, 2006, unless otherwise noted.

Subpart A—General Provisions

§ 96.1 Purpose.

This part provides for the accreditation and approval of agencies and persons pursuant to the Intercountry 

Adoption Act of 2000 (Pub. L. 106-279, 42 U.S.C. 14901-14954) and the Intercountry Adoption Universal 

Accreditation Act of 2012 (Pub. L. 112-276, 42 U.S.C. 14925). Subpart B of this part establishes the 

procedures for the selection and designation of accrediting entities to perform the accreditation and 

approval functions. Subparts C through H establish the general procedures and standards for 

accreditation and approval of agencies and persons (including renewal of accreditation or approval). 

Subparts I through M address the oversight of accredited or approved agencies and persons. Subpart N 

establishes special rules relating to small agencies that wish to seek temporary accreditation.

§ 96.2 Definitions.

As used in this part, the term:
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Accredited agency means an agency that has been accredited by an accrediting entity, in accordance 

with the standards in subpart F of this part, to provide adoption services in the United States in 

intercountry adoption cases subject to the Convention. It does not include a temporarily accredited 

agency.

Accrediting entity means an entity that has been designated by the Secretary to accredit agencies 

(including temporarily accredit) and/or to approve persons for purposes of providing adoption services in 

the United States in intercountry adoption cases subject to the Convention.

Adoption means the judicial or administrative act that establishes a permanent legal parent-child 

relationship between a minor and an adult who is not already the minor's legal parent and terminates the 

legal parent-child relationship between the adoptive child and any former parent(s).

Adoption record means any record, information, or item related to a specific intercountry Convention 

adoption of a child received or maintained by an agency, person, or public domestic authority, including, 

but not limited to, photographs, videos, correspondence, personal effects, medical and social information, 

and any other information about the child. An adoption record does not include a record generated by an 

agency, person, or a public domestic authority to comply with the requirement to file information with the 

Case Registry on adoptions not subject to the Convention pursuant to section 303(d) of the IAA (42 

U.S.C. 14932(d)).

Adoption service means any one of the following six services:

(1) Identifying a child for adoption and arranging an adoption;

(2) Securing the necessary consent to termination of parental rights and to adoption;

(3) Performing a background study on a child or a home study on a prospective adoptive parent(s), and 

reporting on such a study;

(4) Making non-judicial determinations of the best interests of a child and the appropriateness of an 

adoptive placement for the child;

(5) Monitoring a case after a child has been placed with prospective adoptive parent(s) until final 

adoption; or

(6) When necessary because of a disruption before final adoption, assuming custody and providing 

(including facilitating the provision of) child care or any other social service pending an alternative 

placement.

Agency means a private, nonprofit organization licensed to provide adoption services in at least one 

State. (For-profit entities and individuals that provide adoption services are considered “persons” as 

defined in this section.)
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Approved home study means a review of the home environment of the child's prospective adoptive 

parent(s) that has been:

(1) Completed by an accredited agency or temporarily accredited agency; or

(2) Approved by an accredited agency or temporarily accredited agency.

Approved person means a person that has been approved, in accordance with the standards in subpart F 

of this part, by an accrediting entity to provide adoption services in the United States in cases subject to 

the Conventionintercountry adoption cases.

Best interests of the child shall have the meaning given to it by the law of the State with jurisdiction to 

decide whether a particular adoption or adoption-related action is in a child's best interests.

Case Registry means the tracking system jointly established by the Secretary and DHS to comply with 

section 102(e) of the IAA (42 U.S.C. 14912).

Central Authority means the entity designated as such under Article 6(1) of the Convention by any 

Convention country, or, in the case of the United States, the United States Department of State. In 

countries that are not Convention countries, Central Authority means the relevant competent authority as

defined in this section.

Central Authority function means any duty required under the Convention to be carried out, directly or 

indirectly, by a Central Authority.

Child welfare services means services, other than those defined as “adoption services” in this section, 

that are designed to promote and protect the well-being of a family or child. Such services include, but are 

not limited to, recruiting and identifying adoptive parent(s) in cases of disruption (but not assuming 

custody of the child), arranging or providing temporary foster care for a child in connection with an

intercountry Convention adoption or providing educational, social, cultural, medical, psychological 

assessment, mental health, or other health-related services for a child or family in an Convention 

intercountry adoption case.

Competent authority means a court or governmental authority of a foreign country that has jurisdiction 

and authority to make decisions in matters of child welfare, including adoption.

Complaint Registry means the system created by the Secretary pursuant to § 96.70 to receive, distribute, 

and monitor complaints relevant to the accreditation or approval status of agencies and persons.
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Convention means the Convention on Protection of Children and Co-operation in Respect of Intercountry 

Adoption done at The Hague on May 29, 1993.

Convention adoption means the adoption of a child resident in a Convention country by a United States 

citizen, or an adoption of a child resident in the United States by an individual or individuals residing in a 

Convention country, when, in connection with the adoption, the child has moved or will move between the 

United States and the Convention country.

Convention country means a country that is a party to the Convention and with which the Convention is in 

force for the United States.

Country of origin means the country in which a child is a resident and from which a child is emigrating in 

connection with his or her adoption.

Debarment means the loss of accreditation or approval by an agency or person as a result of an order of 

the Secretary under which the agency or person is temporarily or permanently barred from accreditation 

or approval.

DHS means the Department of Homeland Security and encompasses the former Immigration and 

Naturalization Service (INS) or any successor entity designated by the Secretary of Homeland Security to 

assume the functions vested in the Attorney General by the IAA relating to the INS's responsibilities.

Disruption means the interruption of a placement for adoption during the post-placement period.

Dissolution means the termination of the adoptive parent(s)' parental rights after an adoption.

Exempted provider means a social work professional or organization that performs a home study on 

prospective adoptive parent(s) or a child background study (or both) in the United States in connection 

with an Convention adoptionintercountry adoption (including any reports or updates), but that is not 

currently providing and has not previously provided any other adoption service in the case.

IAA means the Intercountry Adoption Act of 2000, Public Law 106-279 (2000) (42 U.S.C. 14901-14954), 

as amended from time to time.

INA means the Immigration and Nationality Act (8 U.S.C. 1101 et seq.), as amended from time to time.
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Intercountry adoption means a Convention adoption or the adoption of a child described in INA

§101(b)(1)(F).

Legal custody means having legal responsibility for a child under the order of a court of law, a public 

domestic authority, competent authority, public foreign authority, or by operation of law.

Legal services means services, other than those defined in this section as “adoption services,” that relate 

to the provision of legal advice and information and to the drafting of legal instruments. Such services 

include, but are not limited to, drawing up contracts, powers of attorney, and other legal instruments; 

providing advice and counsel to adoptive parent(s) on completing DHS or Central Authority forms; and 

providing advice and counsel to accredited agencies, temporarily accredited agencies, approved persons, 

or prospective adoptive parent(s) on how to comply with the Convention, the IAA, the UAA, and the 

regulations implementing the IAA or UAA.

Person means an individual or a private, for-profit entity (including a corporation, company, association, 

firm, partnership, society, or joint stock company) providing adoption services. It does not include public 

domestic authorities or public foreign authorities.

Post-adoption means after an adoption; in cases in which an adoption occurs in a Convention foreign 

country and is followed by a re-adoption in the United States, it means after the adoption in the 

Convention foreign country.

Post-placement means after a grant of legal custody or guardianship of the child to the prospective 

adoptive parent(s), or to a custodian for the purpose of escorting the child to the identified prospective 

adoptive parent(s), and before an adoption.

Primary provider means the accredited agency , temporarily accredited agency, or approved person that 

is identified pursuant to § 96.14 as responsible for ensuring that all six adoption services are provided and 

for supervising and being responsible for supervised providers where used.

Public domestic authority means an authority operated by a State, local, or tribal government within the 

United States.

Public foreign authority means an authority operated by a national or subnational government of a 

Convention foreign country.
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Secretary means the Secretary of State, the Assistant Secretary of State for Consular Affairs, or any other 

Department of State official exercising the Secretary of State's authority under the Convention, the IAA, 

the UAA, or any regulations implementing the IAA or UAA, pursuant to a delegation of authority.

State means the fifty States, the District of Columbia, the Commonwealth of Puerto Rico, the 

Commonwealth of the Northern Mariana Islands, Guam, and the U.S. Virgin Islands.

Supervised provider means any agency, person, or other non-governmental entity, including any foreign 

entity, regardless of whether it is called a facilitator, agent, attorney, or by any other name, that is 

providing one or more adoption services in an intercountry adoption Convention case under the 

supervision and responsibility of an accredited agency, temporarily accredited agency, or approved 

person that is acting as the primary provider in the case.

Temporarily accredited agency means an agency that has been accredited on a temporary basis by an 

accrediting entity, in accordance with the standards in subpart N of this part, to provide adoption services 

in the United States in cases subject to the Convention. It does not include an accredited agency.

UAA means the Intercountry Adoption Universal Accreditation Act of 2012, (Pub. L. 112-276 (2012), 42 

U.S.C. 14925). 

§ 96.3 [Reserved]

Subpart B—Selection, Designation, and Duties of Accrediting Entities

§ 96.4 Designation of accrediting entities by the Secretary.

(a) The Secretary, in the Secretary's discretion, will designate one or more entities that meet the criteria 

set forth in § 96.5 to perform the accreditation (including temporary accreditation) and/or approval 

functions. Each accrediting entity's designation will be set forth in an agreement between the Secretary 

and the accrediting entity. The agreement will govern the accrediting entity's operations. The agreements 

will be published in the Federal Register.

(b) The Secretary's designation may authorize an accrediting entity to accredit (including temporarily 

accredit) agencies, to approve persons, or to both accredit agencies and approve persons. The 

designation may also limit the accrediting entity's geographic jurisdiction or impose other limits on the 

entity's jurisdiction.

(c) A public entity may only be designated to accredit agencies and approve persons that are located in 

the public entity's State.

§ 96.5 Requirement that accrediting entity be a nonprofit or public entity.
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An accrediting entity must qualify as either:

(a) An organization described in section 501(c)(3) of the Internal Revenue Code of 1986, as amended, 

that has expertise in developing and administering standards for entities providing child welfare services; 

or

(b) A public entity (other than a Federal entity), including, but not limited to, any State or local government 

or governmental unit or any political subdivision, agency, or instrumentality thereof, that is responsible for 

licensing adoption agencies in a State and that has expertise in developing and administering standards 

for entities providing child welfare services.

§ 96.6 Performance criteria for designation as an accrediting entity.

An entity that seeks to be designated as an accrediting entity must demonstrate to the Secretary:

(a) That it has a governing structure, the human and financial resources, and systems of control adequate 

to ensure its reliability;

(b) That it is capable of performing the accreditation or approval functions or both on a timely basis and of 

administering any renewal cycle authorized under § 96.60;

(c) That it can monitor the performance of agencies it has accredited or temporarily accredited and 

persons it has approved (including their use of any supervised providers) to ensure their continued 

compliance with the Convention, the IAA, the UAA, and the regulations implementing the IAA or UAA;

(d) That it has the capacity to take appropriate adverse actions against agencies it has accredited or 

temporarily accredited and persons it has approved;

(e) That it can perform the required data collection, reporting, and other similar functions;

(f) Except in the case of a public entity, that it operates independently of any agency or person that 

provides adoption services, and of any membership organization that includes agencies or persons that 

provide adoption services;

(g) That it has the capacity to conduct its accreditation , temporary accreditation, and approval functions 

fairly and impartially;

(h) That it can comply with any conflict-of-interest prohibitions set by the Secretary in its agreement;

(i) That it prohibits conflicts of interest with agencies or persons or with any membership organization that 

includes agencies or persons that provide adoption services; and

(j) That it prohibits its employees or other individuals acting as site evaluators, including, but not limited to, 

volunteer site evaluators, from becoming employees or supervised providers of an agency or person for 

at least one year after they have evaluated such agency or person for accreditation , temporary 

accreditation, or approval.

§ 96.7 Authorities and responsibilities of an accrediting entity.

(a) An accrediting entity may be authorized by the Secretary to perform some or all of the following 

functions:
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(1) Determining whether agencies are eligible for accreditation and/or temporary accreditation;

(2) Determining whether persons are eligible for approval;

(3) Overseeing accredited agencies, temporarily accredited agencies, and/or approved persons by 

monitoring their compliance with applicable requirements;

(4) Investigating and responding to complaints about accredited agencies , temporarily accredited 

agencies, and approved persons (including their use of supervised providers);

(5) Taking adverse action against an accredited agency , temporarily accredited agency, or approved 

person, and/or referring an accredited agency, temporarily accredited agency, or approved person for 

possible action by the Secretary;

(6) Determining whether accredited agencies and approved persons are eligible for renewal of their 

accreditation or approval on a cycle consistent with § 96.60;

(7) Collecting data from accredited agencies, temporarily accredited agencies, and approved persons, 

maintaining records, and reporting information to the Secretary, State courts, and other entities; and

(8) Assisting the Secretary in taking appropriate action to help an agency or person in transferring its 

Convention intercountry adoption cases and adoption records.

(b) The Secretary may require the accrediting entity:

(1) To utilize the Complaint Registry as provided in subpart J of this part; and

(2) To fund a portion of the costs of operating the Complaint Registry with fees collected by the 

accrediting entity pursuant to the schedule of fees approved by the Secretary as provided in § 96.8.

(c) An accrediting entity must perform all responsibilities in accordance with the Convention, the IAA, the 

UAA, the regulations implementing the IAA or UAA, and its agreement with the Secretary.

§ 96.8 Fees charged by accrediting entities.

(a) An accrediting entity may charge fees for accreditation or approval services under this part only in 

accordance with a schedule of fees approved by the Secretary. Before approving a schedule of fees 

proposed by an accrediting entity, or subsequent proposed changes to an approved schedule, the 

Secretary will require the accrediting entity to demonstrate:

(1) That its proposed schedule of fees reflects appropriate consideration of the relative size and 

geographic location and volume of Convention intercountry adoption cases of the agencies or persons it 

expects to serve;

(2) That the total fees the accrediting entity expects to collect under the schedule of fees will not exceed 

the full costs of accreditation or approval under this part (including, but not limited to, costs for completing 

the accreditation or approval process, complaint review and investigation, routine oversight and 

enforcement, and other data collection and reporting activities).

(b) The schedule of fees must:

(1) Establish separate non-refundable fees for Convention accreditation and Convention approval;
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(2) Include in each fee for full Convention accreditation or approval the costs of all activities associated 

with the accreditation or approval cycle, including but not limited to, costs for completing the accreditation

or approval process, complaint review and investigation, routine oversight and enforcement, and other 

data collection and reporting activities, except that separate fees based on actual costs incurred may be 

charged for the travel and maintenance of evaluators,; and

(3) If the accrediting entity provides temporary accreditation services, include fees as required by § 

96.111 for agencies seeking temporary accreditation under subpart N of this part.

(c) An accrediting entity must make its approved schedule of fees available to the public, including 

prospective applicants for accreditation or approval, upon request. At the time of application, the 

accrediting entity must specify the fees to be charged to the applicant in a contract between the parties 

and must provide notice to the applicant that no portion of the fee will be refunded if the applicant fails to 

become accredited or approved.

(d) Nothing in this section shall be construed to provide a private right of action to challenge any fee 

charged by an accrediting entity pursuant to a schedule of fees approved by the Secretary.

§ 96.9 Agreement between the Secretary and the accrediting entity.

An accrediting entity must perform its functions pursuant to a written agreement with the Secretary that 

will be published in the Federal Register. The agreement will address:

(a) The responsibilities and duties of the accrediting entity;

(b) The method by which the costs of delivering the accreditation, temporary accreditation, or approval 

services may be recovered through the collection of fees from those seeking accreditation, temporary 

accreditation, or approval, and how the entity's schedule of fees will be approved;

(c) How the accrediting entity will address complaints about accredited agencies, temporarily accredited 

agencies, and approved persons (including their use of supervised providers) and complaints about the 

accrediting entity itself;

(d) Data collection requirements;

(e) Matters of communication and accountability between both the accrediting entity and the applicant(s) 

and between the accrediting entity and the Secretary; and

(f) Other matters upon which the parties have agreed.

§ 96.10 Suspension or cancellation of the designation of an accrediting entity by the 

Secretary.

(a) The Secretary will suspend or cancel the designation of an accrediting entity if the Secretary 

concludes that it is substantially out of compliance with the Convention, the IAA, the UAA, the regulations 

implementing the IAA or UAA, other applicable laws, or the agreement with the Secretary. Complaints 

regarding the performance of the accrediting entity may be submitted to the Department of State, Bureau 
15

of Consular Affairs. The Secretary will consider complaints in determining whether an accrediting entity's 

designation should be suspended or canceled.

(b) The Secretary will notify an accrediting entity in writing of any deficiencies in the accrediting entity's 

performance that could lead to the suspension or cancellation of its designation, and will provide the 

accrediting entity with an opportunity to demonstrate that suspension or cancellation is unwarranted, in 

accordance with procedures established in the agreement entered into pursuant to § 96.9.

(c) An accrediting entity may be considered substantially out of compliance under circumstances that 

include, but are not limited to:

(1) Failing to act in a timely manner when presented with evidence that an accredited agency or approved 

person is substantially out of compliance with the standards in subpart F of this part or a temporarily 

accredited agency is substantially out of compliance with the standards in § 96.104;

(2) Accrediting or approving significant numbers of agencies or persons whose performance results in 

intervention of the Secretary for the purpose of suspension, cancellation, or debarment;

(3) Failing to perform its responsibilities fairly and objectively;

(4) Violating prohibitions on conflicts of interest;

(5) Failing to meet its reporting requirements;

(6) Failing to protect information or documents that it receives in the course of performing its 

responsibilities; and

(7) Failing to monitor frequently and carefully the compliance of accredited agencies, temporarily 

accredited agencies, and approved persons with the home study requirements of the Convention, section 

203(b)(1)(A)(ii) of the IAA (42 U.S.C. 14923(b)(1)(A)(ii)), and § 96.47.

(d) An accrediting entity that is subject to a final action of suspension or cancellation may petition the 

United States District Court for the District of Columbia or the United States district court in the judicial 

district in which the accrediting entity is located to set aside the action as provided in section 204(d) of the 

IAA (42 U.S.C. 14924(d)).

§ 96.11 [Reserved]

Subpart C—Accreditation and Approval Requirements for the Provision of Adoption Services

§ 96.12 Authorized adoption service providers.

(a) Once the Convention has entered into force for the United States, eExcept as provided in section 

505(b) of the IAA (relating to transitional cases), and once the UAA becomes effective, except as 

provided in section 2(c) of the UAA (relating to transitional cases), an agency or person may not offer, 

provide, or facilitate the provision of any adoption service in the United States in connection with an

Convention adoptionintercountry adoption unless it is:

(1) An accredited agency, a temporarily accredited agency, or an approved person;
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(2) A supervised provider; or

(3) An exempted provider, if the exempted provider's home study or child background study will be 

reviewed and approved by an accredited agency or temporarily accredited agency pursuant to § 96.47(c) 

or § 96.53(b).

(b) A public domestic authority may also offer, provide, or facilitate the provision of any such adoption 

service.

(c) Neither conferral nor maintenance of accreditation, temporary accreditation, or approval, nor status as 

an exempted or supervised provider, nor status as a public domestic authority shall be construed to imply, 

warrant, or establish that, in any specific case, an adoption service has been provided consistently with 

the Convention, the IAA, the UAA, or the regulations implementing the IAA or UAA. Conferral and 

maintenance of accreditation, temporary accreditation, or approval under this part establishes only that 

the accrediting entity has concluded, in accordance with the standards and procedures of this part, that 

the agency or person conducts adoption services in substantial compliance with the applicable standards 

set forth in this part; it is not a guarantee that in any specific case the accredited agency , temporarily 

accredited agency, or approved person is providing adoption services consistently with the Convention, 

the IAA, the UAA, the regulations implementing the IAA or UAA, or any other applicable law, whether 

Federal, State, or foreign. Neither the Secretary nor any accrediting entity shall be responsible for any 

acts of an accredited agency, temporarily accredited agency, approved person, exempted provider, 

supervised provider, or other entity providing services in connection with an intercountryConvention

adoption.

§ 96.13 Circumstances in which accreditation, approval, or supervision is not required.

(a) Home studies and child background studies. Home studies and child background studies, when 

performed by exempted providers, may be performed without accreditation,, temporary accreditation,

approval, or supervision; provided, however, that an exempted provider's home study must be approved 

by an accredited agency or temporarily accredited agency in accordance with § 96.47(c), and an 

exempted provider's child background study must be approved by an accredited agency or temporarily 

accredited agency in accordance with § 96.53(b).

(b) Child welfare services. An agency or person does not need to be accredited, temporarily accredited,

approved, or operate as a supervised provider if it is providing only child welfare services, and not 

providing any adoption services, in connection with a Conventionn intercountry adoption. If the agency or 

person provides both a child welfare service and any adoption service in the United States in an

Convention intercountry adoption case, it must be accredited, temporarily accredited, or approved, or 

operate as a supervised provider unless the only adoption service provided is preparation of a home 

study and/or a child background study.

(c) Legal services. An agency or person does not need to be accredited, temporarily accredited, 

approved, or to operate as a supervised provider if it is providing only legal services, and not providing 
17

any adoption services, in connection with an intercountry Convention adoption. If the agency or person 

provides both a legal service and any adoption service in the United States in an Conventionan 

intercountry adoption case, it must be accredited, temporarily accredited, or approved, or operate as a 

supervised provider unless the only adoption service provided is preparation of a home study and/or a 

child background study. Nothing in this part shall be construed:

(1) To permit an attorney to provide both legal services and adoption services in an adoption case where 

doing so is prohibited by State law; or

(2) To require any attorney who is providing one or more adoption services as part of his or her 

employment by a public domestic authority to be accredited or approved or operate as a supervised 

provider.

(d) Prospective adoptive parent(s) acting on own behalf. Prospective adoptive parent(s) may act on their 

own behalf without being accredited , temporarily accredited, or approved unless so acting is prohibited 

by State law or the law of the Convention foreign country. In the case of a child immigrating to the United 

States in connection with his or her adoption, such conduct must be permissible under the laws of the 

State in which the prospective adoptive parent(s) reside and the laws of the Convention foreign country 

from which the parent(s) seek to adopt. In the case of a child emigrating from the United States in 

connection with his or her adoption, such conduct must be permissible under the laws of the State where 

the child resides and the laws of the Convention country in which the parent(s) reside.

§ 96.14 Providing adoption services using other providers.

(a) Accreditation, temporary accreditation, and approval under this part require that, in each Convention 

adoptionintercountry adoption case, an accredited agency, a temporarily accredited agency, or an 

approved person will be identified and act as the primary provider. If one accredited agency, temporarily 

accredited agency, or approved person is providing all adoption services by itself, it must act as the 

primary provider. If just one accredited agency, temporarily accredited agency, or approved person is 

involved in providing adoption services, the sole accredited agency, temporarily accredited agency, or 

approved person must act as the primary provider. If adoption services in the Convention intercountry 

adoption case are being provided by more than one accredited agency , temporarily accredited agency, 

or approved person, the agency or person that has child placement responsibility, as evidenced by the 

following, must act as the primary provider throughout the case:

(1) Entering into placement contracts with prospective adoptive parent(s) to provide child referral and 

placement;

(2) Accepting custody from a birth parent or other legal custodian in a Convention foreign country for the 

purpose of placement for adoption;

(3) Assuming responsibility for liaison with a Convention foreign country's Central Authority or its 

designees with regard to arranging an adoption; or
18

(4) Receiving from or sending to a Convention foreign country information about a child that is under 

consideration for adoption, unless acting as a local service provider that conveys such information to 

parent(s) on behalf of the primary provider.

(b) Pursuant to § 96.44, in the case of accredited agencies or approved persons, and § 96.104(g), in the 

case of temporarily accredited agencies, the primary provider may only use the following to provide 

adoption services in the United States:

(1) A supervised provider, including an accredited agency, temporarily accredited agency, or approved 

person;

(2) An exempted provider, if the exempted provider's home study or child background study will be 

reviewed and approved by an accredited agency or temporarily accredited agency pursuant to § 96.47(c) 

or § 96.53(b); or

(3) A public domestic authority.

(c) Pursuant to § 96.44 of subpart F, in the case of accredited agencies or approved persons , and § 

96.104(g) of subpart N, in the case of temporarily accredited agencies, the primary provider may only use 

the following to provide adoption services in a Convention foreign country:

(1) A Central Authority, competent authority, or a public foreign authority;

(2) A foreign supervised provider, including a provider accredited by the Convention foreign country; or

(3) A foreign provider (agency, person, or other non-governmental entity) who

(i) Has secured or is securing the necessary consent to termination of parental rights and to adoption, if 

the primary provider verifies consent pursuant to § 96.46(c); or

(ii) Has prepared or is preparing a background study on a child in a case involving immigration to the 

United States (incoming case) or a home study on prospective adoptive parent(s) in a case involving 

emigration from the United States (outgoing case), and a report on the results of such a study, if the 

primary provider verifies the study and report pursuant to § 96.46(c).

(d) The primary provider is not required to provide supervision or to assume responsibility for:

(1) Public domestic authorities; or

(2) Central Authorities, competent authorities, and public foreign authorities.

(e) The primary provider must adhere to the standards contained in § 96.45 (Using supervised providers 

in the United States) when using supervised providers in the United States and the applicable standards 

contained in § 96.46 (Using providers in Convention foreign countries) when using providers outside the 

United States.

§ 96.15 Examples.

The following examples illustrate the rules of §§ 96.12 to 96.14:

Example 1.
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Identifying a child for adoption and arranging an adoption. Agency X identifies children eligible for 

adoption in the United States on a TV program in an effort to recruit prospective adoptive parent(s). A 

couple in a Convention countryforeign country calls Agency X about one of the children. Agency X refers 

them to an agency or person in the United States who arranges intercountry adoptions. Agency X does 

not require accreditation, temporarily accreditation, approval, or supervision because it is not both 

identifying and arranging the adoption. In contrast, Agency Y, located in the United States, provides 

information about children eligible for adoption in a Convention countryforeign country on a website and 

then arranges for interested U.S. parents to adopt those children. Agency Y must be accredited, 

temporarily accredited, approved, or supervised because, in addition to identifying children eligible for 

adoption, it is also helping to arrange the adoption.

Example 2.

Child welfare services exemption. Doctor X evaluates the medical records and a video of Child Y. The 

evaluation will be used in an Convention adoptionintercountry adoption as part of the placement of Child 

Y and is the only service that Doctor X provides in the United States with regard to Child Y's adoption. 

Doctor X (not employed with an accredited agency or approved person) does not need to be approved or 

supervised because she is not providing an adoption service as defined in § 96.2.

Example 3.

Home study exemption. Social Worker X, in the United States, (not employed with an accredited agency 

or approved person) interviews Prospective Adoptive Parent Y, obtains a criminal background study, and 

checks the references of Prospective Adoptive Parent Y, then composes a report and submits the report 

to an accredited agency for use in an intercountry Convention adoption. Social Worker X does not provide 

any other services to Prospective Adoptive Parent Y. Social Worker X qualifies as an exempted provider 

and therefore need not be approved or operate as supervised provider. In contrast, Social Worker Z, in 

the United States, (not employed with an accredited agency or approved person) prepares a home study 

report for Prospective Adoptive Parent(s) W, and in addition re-enters the house after Child V has been 

placed with Prospective Adoptive Parent(s) W to assess how V and W are adjusting to life as a family. 

This assessment is post-placement monitoring, which is an adoption service. Therefore, Social Worker Z 

would need to become approved before providing this assessment for this Convention 

adoptionintercountry adoption or else operate as a supervised provider. If an agency or person provides 

an adoption service in addition to a home study or child background study, the agency or person needs to 

become accredited, temporarily accredited, approved, or supervised before providing that adoption 

service.

Example 4.
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Child background study exemption. An employee of Agency X interviews Child Y in the United States and 

compiles a report concerning Child Y's social and developmental history for use in an Convention 

adoptionintercountry adoption. Agency X provides no other adoption services on behalf of Child Y. 

Agency X does not need to be accredited, temporarily accredited, approved, or supervised. Agency X is 

only conducting and creating a child background study, and therefore is an exempted provider. In 

contrast, an employee of Agency Z interviews Child W in the United States and creates a child 

background study for use in an Convention adoptionintercountry adoption. Agency Z subsequently 

identifies prospective adoptive parent(s) and arranges a new adoption when Child W's previous adoption 

becomes disrupted. Agency Z needs to be accredited, temporarily accredited, approved, or supervised 

before providing this service. If an agency or person provides an adoption service in addition to a child 

background study or home study, the agency or person needs to be accredited, temporarily accredited, 

approved, or supervised before providing the additional service.

Example 5.

Home study and child welfare services exemptions. Agency X interviews Prospective Adoptive Parent Y, 

obtains a criminal background check, checks the references of Prospective Adoptive Parent Y, then 

composes a home study and submits it to an accredited agency for use in an intercountry Convention 

adoption in the United States. Parent Y later joins a post-adoption support group for adoptive parents 

sponsored by Agency X. If Agency X performs no other adoption services, Agency X does not need to be 

accredited, temporarily accredited, approved, or supervised. If an agency or person provides a home 

study or child background study as well as other services in the United States that do not require 

accreditation,, temporary accreditation, approval, or supervision, and no other adoption services, the 

agency or person is an exempted provider.

Example 6.

Exempted provider. Agency X interviews Prospective Adoptive Parent(s) Y, obtains a criminal 

background check, checks the references of Prospective Adoptive Parent(s) Y, and then composes a 

home study and submits the report to an accredited agency. In addition, Agency X interviews Child Z and 

compiles a report concerning Child Z's social and developmental history. All of Agency X's work is done in 

the United States. Both reports will be used in an Convention adoptionintercountry adoption. If Agency X 

performs no other adoption services, Agency X does not need to be accredited, temporarily accredited, 

approved, or supervised. If an agency or person provides a home study and child background study as 

well as other services that do not require accreditation,, temporary accreditation, approval or supervision, 

and no other adoption services, the agency or person is an exempted provider.

Example 7.
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Legal services exemption. Attorney X (not employed with an accredited agency or approved person) 

provides advice and counsel to Prospective Adoptive Parent(s) Y on filling out DHS paperwork required 

for an Convention adoptionintercountry adoption. Among other papers, Attorney X prepares an affidavit of 

consent to termination of parental rights and to adoption of Child W to be signed by the birth mother in the 

United States. Attorney X must be approved or supervised because securing consent to termination of 

parental rights is an adoption service. In contrast, Attorney Z (not employed with an accredited agency or 

approved person) assists Adoptive Parent(s) T to complete an adoption in the State in which they reside, 

after they have been granted an adoption in Child V's Convention countryforeign country of origin. 

Attorney Z is exempt from approval or supervision because she is providing legal services, but no 

adoption services.

Example 8.

Post-placement monitoring. A court in a Convention countryforeign country has granted custody of Child 

W to Prospective Adoptive Parent(s) Y pending the completion of W's adoption. Agency X interviews both 

Prospective Adoptive Parent(s) Y and Child W in their home in the United States. Agency X gathers 

information on the adjustment of Child W as a member of the family and inquires into the social and 

educational progress of Child W. Agency X must be accredited, temporarily accredited, approved, or 

supervised. Agency X's activities constitute post-placement monitoring, which is an adoption service. In 

contrast, if Person Z provided counseling for Prospective Adoptive Parent(s) Y and/or Child W, but 

provided no adoption services in the United States to the family, Person Z would not need to be approved 

or supervised. Post-placement counseling is different than post-placement monitoring because it does not 

relate to evaluating the adoption placement. Post-placement counseling is not an adoption service and 

does not trigger the accreditation/approval requirements of the IAA or the UAA and this part.

Example 9. 

Post-adoption services. Convention CountryForeign Country H requires that post-adoption reports be 

completed and sent to its Central Authority every year until adopted children reach the age of 18. Agency 

X provides support groups and a newsletter for U.S. parents that have adopted children from Country H 

and encourages parents to complete their post-adoption reports annually. Agency X does not need to be 

accredited, temporarily accredited, approved, or supervised because it is providing only post-adoption 

services. Post-adoption services are not included in the definition of adoption services, and therefore, do 

not trigger accreditation/approval requirements of the IAA or the UAA and this part.

Example 10. 

Assuming custody and providing services after a disruption. Agency X provides counseling for 

Prospective Adoptive Parent(s) Y and for Child W pending the completion of Child W's Convention 

adoptionintercountry adoption. The adoption is eventually disrupteds. Agency X helps recruit and identify 
22

new prospective adoptive parent(s) for Child W, but it is Agency P that assumes custody of Child W and 

places him in foster care until an alternative adoptive placement can be found. Agency X is not required 

to be accredited, temporarily accredited, approved, or supervised because it is not providing an adoption 

service in the United States as defined in § 96.2. Agency P, on the other hand, is providing an adoption 

service and would have to be accredited, temporarily accredited, approved, or supervised.

Example 11. 

Making non-judicial determinations of best interest of child and appropriateness of adoptive placement of 

child. Agency X receives information about and a videotape of Child W from the institution where Child W 

lives in a Convention countryforeign country. Based on the age, sex, and health problems of Child W, 

Agency X matches Prospective Adoptive Parent(s) Y with Child W. Prospective Adoptive Parent(s) Y 

receive a referral from Agency X and agree to accept the referral and proceed with the adoption of Child 

W. Agency X determines that Prospective Adoptive Parent(s) Y are a good placement for Child W and 

notifies the competent authority in W's country of origin that it has found a match for Child W and will start 

preparing adoption paperwork. All of Agency X's services are provided in the United States. Agency X is 

performing an adoption service and must be accredited, temporarily accredited, approved, or supervised.

Example 12.

Securing necessary consent to termination of parental rights and to adoption. Facilitator Y is accredited 

by Convention Foreign CCountry Z. He has contacts at several orphanages in Convention Foreign 

Country Z and helps Agency X match children eligible for adoption with prospective adoptive parent(s) in 

the United States. Facilitator Y works with the institution that is the legal guardian of Child W in order to 

get the documents showing the institution's legal consent to the adoption of Child W. Agency X is the only 

U.S. agency providing adoption services in the case. Agency X must be accredited, temporarily 

accredited, or approved and must either treat Facilitator Y as a foreign supervised provider in accordance 

with § 96.46(a) and (b) or verify the consents Facilitator Y secured, in accordance with § 96.46(c).

§ 96.16 Public domestic authorities.

Public domestic authorities are not required to become accredited to be able to provide adoption services 

in Convention adoptionintercountry adoption cases, but must comply with the Convention, the IAA, the 

UAA, and other applicable law when providing services in a Conventionan intercountry adoption case.

§ 96.17 Effective date of accreditation and approval requirements. 

On December 18, 2007, tThe Secretary will published a document Notice in the Federal 

Register announcing that the date on which tThe Convention will would entered into force for the United 

States on April 1, 2008. As of that date, the regulations in subpart C of this part will govern Convention 

adoptions between the United States and Convention countries, and require agencies or persons 
23

providing adoption services on behalf of prospective adoptive parent(s) must to comply with § 96.12 and 

applicable Federal regulations. The Secretary will maintains for the public a current listing of Convention 

countries. The effective date of the UAA is July 14, 2014. As of that date, consistent with the UAA, the 

regulations in subpart C of this part will govern adoptions of children described in INA §101(b)(1)(F), and 

will require agencies or persons providing adoption services in connection with a child described in 

section 101(b)(1)(F) to comply with § 96.12 and applicable Federal regulations.

Subpart D—Application Procedures for Accreditation and Approval

§ 96.18 Scope.

(a) Agencies are eligible to apply for “accreditation.” or “temporary accreditation.” Persons are eligible to 

apply for “approval.” Temporary accreditation is governed by the provisions in subpart N of this part. 

Unless otherwise provided in subpart N, the provisions of this subpart do not apply to agencies seeking 

temporary accreditation. Applications for full accreditation rather than temporary accreditationorand

approval will be processed in accordance with §§ 96.2019 and 96.2120.

(b) An agency or person seeking to be accredited or approved as of the time the Convention enters into 

force for the United States, and to be included on the initial list of accredited agencies and approved 

persons that the Secretary will deposit with the Permanent Bureau of the Hague Conference on Private 

International Law, must follow the special provision contained in § 96.19.

(cb) If an agency or person is reapplying for accreditation or approval following cancellation of its 

accreditation or approval by an accrediting entity or refusal by an accrediting entity to renew its 

accreditation or approval, it must comply with the procedures in § 96.78.

(dc) If an agency or person that has been accredited or approved is seeking renewal, it must comply with 

the procedures in § 96.63.

§ 96.19 Special provision for agencies and persons seeking to be accredited or approved as of 

the time the Convention enters into force for the United States.

(a) The Secretary will establish and announce, by public notice in the Federal Register, a transitional 

application deadline. An agency or person seeking to be accredited or approved as of the time the 

Convention enters into force for the United States must submit an application to an accrediting entity with 

jurisdiction to evaluate its application, with the required fee(s), by the transitional application deadline. 

The Secretary will subsequently establish and announce a date by which such agencies and persons 

must complete the accreditation or approval process in time to be accredited or approved at the time the

Convention enters into force for the United States (deadline for initial accreditation or approval).

(b) The accrediting entity must use its best efforts to provide a reasonable opportunity for an agency or 

person that applies by the transitional application deadline to complete the accreditation or approval 

process by the deadline for initial accreditation or approval. Only those agencies and persons that are 
24

accredited or approved by the deadline for initial accreditation or approval will be included on the initial list 

of accredited agencies and approved persons that the Secretary will deposit with the Permanent Bureau 

of the Hague Conference on Private International Law.

(c) The accrediting entity may, in its discretion, permit an agency or person that fails to submit an 

application by the transitional application deadline to attempt to complete the accreditation or approval 

process in time to be included on the initial list; however, such an agency or person is not assured an 

opportunity to complete the accreditation or approval process in time to be included on the initial list. The 

accrediting entity must give priority to applicants that filed by the transitional application deadline. If such 

an agency or person succeeds in completing the accreditation or approval process in time to be included 

on the initial list, it will be treated as an agency or person that applied by the transitional application 

deadline for the purposes of § 96.58 and § 96.60(b).

§ 96.2019 First-time application procedures for accreditation and approval.

(a) Agencies or persons seeking accreditation or approval for the first time may submit an application at 

any time, with the required fee(s), to an accrediting entity with jurisdiction to evaluate the application. If an 

agency or person seeks to be accredited or approved by the deadline for initial accreditation or approval, 

an agency or person must comply with the procedures in § 96.19.

(b) The accrediting entity must establish and follow uniform application procedures and must make 

information about those procedures available to agencies and persons that are considering whether to 

apply for accreditation or approval. An accrediting entity must evaluate the applicant for accreditation or 

approval in a timely fashion.

§ 96.210 Choosing an accrediting entity.

(a) An agency that seeks to become accredited must apply to an accrediting entity that is designated to 

provide accreditation services and that has jurisdiction over its application. A person that seeks to 

become approved must apply to an accrediting entity that is designated to provide approval services and 

that has jurisdiction over its application. The agency or person may apply to only one accrediting entity at 

a time.

(b)(1) If the agency or person is applying for accreditation or approval pursuant to this part for the first 

time, it may apply to any accrediting entity with jurisdiction over its application. However, the agency or 

person must apply to the same accrediting entity that handled its prior application when it next applies for 

accreditation or approval, if the agency or person:

(i) Has been denied accreditation or approval;

(ii) Has withdrawn its application in anticipation of denial;

(iii) Has had its accreditation or approval cancelled by an accrediting entity or the Secretary;

(iv) Has been temporarily debarred by the Secretary; or

(v) Has been refused renewal of its accreditation or approval by an accrediting entity.
25

(2) If the prior accrediting entity is no longer providing accreditation or approval services, the agency or 

person may apply to any accrediting entity with jurisdiction over its application.

§ 96.221 – 96,22 [Reserved]

Subpart E—Evaluation of Applicants for Accreditation and Approval

§ 96.23 Scope.

The provisions in this subpart govern the evaluation of agencies and persons for accreditation or 

approval. Temporary accreditation is governed by the provisions in subpart N of this part. Unless 

otherwise provided in subpart N, the provisions of this subpart do not apply to agencies seeking 

temporary accreditation.

§ 96.24 Procedures for evaluating applicants for accreditation or approval.

(a) The accrediting entity must designate at least two evaluators to evaluate an agency or person for 

accreditation or approval. The accrediting entity's evaluators must have expertise in intercountry adoption, 

standards evaluation, or experience with the management or oversight of child welfare organizations and 

must also meet any additional qualifications required by the Secretary in the agreement with the 

accrediting entity.

(b) To evaluate the agency's or person's eligibility for accreditation or approval, the accrediting entity 

must:

(1) Review the agency's or person's written application and supporting documentation;

(2) Verify the information provided by the agency or person by examining underlying documentation;

(3) Consider any complaints received by the accrediting entity pursuant to subpart J of this part; and

(4) Conduct site visit(s).

(c) The site visit(s) may include, but need not be limited to, interviews with birth parents, adoptive 

parent(s), prospective adoptive parent(s), and adult adoptee(s) served by the agency or person, 

interviews with the agency's or person's employees, and interviews with other individuals knowledgeable 

about the agency's or person's provision of adoption services. It may also include a review of on-site 

documents. The accrediting entity must, to the extent practicable, advise the agency or person in 

advance of the type of documents it wishes to review during the site visit. The accrediting entity must 

require at least one of the evaluators to participate in each site visit. The accrediting entity must 

determine the number of evaluators that participate in a site visit in light of factors such as:

(1) The agency's or person's size;

(2) The number of adoption cases it handles;

(3) The number of sites the accrediting entity decides to visit; and

(4) The number of individuals working at each site.
26

(d) Before deciding whether to accredit an agency or approve a person, the accrediting entity may, in its 

discretion, advise the agency or person of any deficiencies that may hinder or prevent its accreditation or 

approval and defer a decision to allow the agency or person to correct the deficiencies.

§ 96.25 Access to information and documents requested by the accrediting entity.

(a) The agency or person must give the accrediting entity access to information and documents, including 

adoption case files and proprietary information, that it requires or requests to evaluate an agency or 

person for accreditation or approval and to perform its oversight, enforcement, renewal, data collection, 

and other functions. The agency or person must also cooperate with the accrediting entity by making 

employees available for interviews upon request.

(b) Accrediting entity review of adoption case files pursuant to paragraph (a) shall be limited to 

Convention adoption case files and cases subject to the UAA, except that, in the case of first-time 

applicants for accreditation or approval, the accrediting entity may review adoption case files related to 

other non-Convention cases for purposes of assessing the agency's or person's capacity to comply with 

record-keeping and data-management standards in subpart F of this part. The accrediting entity shall 

permit the agency or person to redact names and other information that identifies birth parent(s), 

prospective adoptive parent(s), and adoptee(s) from such non-Convention adoption case files not subject 

to the UAA prior to their inspection by the accrediting entity.

(c) If an agency or person fails to provide requested documents or information, or to make employees 

available as requested, the accrediting entity may deny accreditation or approval or, in the case of an 

accredited agency, temporarily accredited agency, or approved person, take appropriate adverse action 

against the agency or person solely on that basis.

§ 96.26 Protection of information and documents by the accrediting entity.

(a) The accrediting entity must protect from unauthorized use and disclosure all documents and 

information about the agency or person it receives including, but not limited to, documents and proprietary 

information about the agency's or person's finances, management, and professional practices received in 

connection with the performance of its accreditation or approval, oversight, enforcement, renewal, data 

collection, or other functions under its agreement with the Secretary and this part.

(b) The documents and information received may not be disclosed to the public and may be used only for 

the purpose of performing the accrediting entity's accreditation or approval functions and related tasks 

under its agreement with Secretary and this part, or to provide information to the Secretary, the Complaint 

Registry, or an appropriate Federal, State, or local authority, including, but not limited to, a public 

domestic authority or local law enforcement authority unless:

(1) Otherwise authorized by the agency or person in writing;

(2) Otherwise required under Federal or State laws; or

(3) Required pursuant to subpart M of this part.
27

(c) Unless the names and other information that identifies the birth parent(s), prospective adoptive 

parent(s), and adoptee(s) are requested by the accrediting entity for an articulated reason, the agency or 

person may withhold from the accrediting entity such information and substitute individually assigned 

codes in the documents it provides. The accrediting entity must have appropriate safeguards to protect 

from unauthorized use and disclosure of any information in its files that identifies birth parent(s), 

prospective adoptive parent(s), and adoptee(s). The accrediting entity must ensure that its officers, 

employees, contractors, and evaluators who have access to information or documents provided by the 

agency or person have signed a non-disclosure agreement reflecting the requirements of § 96.26(a) and 

(b). The accrediting entity must maintain an accurate record of the agency's or person's application, the 

supporting documentation, and the basis for its decision.

§ 96.27 Substantive criteria for evaluating applicants for accreditation or approval.

(a) The accrediting entity may not grant an agency accreditation or a person approval, or permit an 

agency's or person's accreditation or approval to be maintained, unless the agency or person 

demonstrates to the satisfaction of the accrediting entity that it is in substantial compliance with the 

standards in subpart F of this part.

(b) When the agency or person makes its initial application for accreditation or approval under the 

standards contained in subpart F of this part, the accrediting entity may measure the capacity of the 

agency or person to achieve substantial compliance with these standards where relevant evidence of its 

actual performance is not yet available. Once the agency or person has been accredited or approved 

pursuant to this part, the accrediting entity must, for the purposes of monitoring, renewal, enforcement, 

and reapplication after adverse action, consider the agency's or person's actual performance in deciding 

whether the agency or person is in substantial compliance with the standards contained in subpart F of 

this part, unless the accrediting entity determines that it is still necessary to measure capacity because 

adequate evidence of actual performance is not available.

(c) The standards contained in subpart F of this part apply during all the stages of accreditation and 

approval, including, but not limited to, when the accrediting entity is evaluating an applicant for 

accreditation or approval, when it is determining whether to renew an agency's or person's accreditation 

or approval, when it is monitoring the performance of an accredited agency or approved person, and 

when it is taking adverse action against an accredited agency or approved person. Except as provided in 

§ 96.25 and paragraphs (e) and (f) of this section, the accrediting entity may only use the standards 

contained in subpart F of this part when determining whether an agency or person may be granted or 

permitted to maintain Convention accreditation or approval.

(d) The Secretary will ensure that each accrediting entity performs its accreditation and approval functions 

using only a method approved by the Secretary that is substantially the same as the method approved for 

use by each other accrediting entity. Each such method will include: an assigned value for each standard 

(or element of a standard); a method of rating an agency's or person's compliance with each applicable 
28

standard; and a method of evaluating whether an agency's or person's overall compliance with all 

applicable standards establishes that the agency or person is in substantial compliance with the 

standards and can be accredited, temporarily accredited, or approved. The Secretary will ensure that the 

value assigned to each standard reflects the relative importance of that standard to compliance with the 

Convention, and the IAA, and the UAA and is consistent with the value assigned to the standard by other 

accrediting entities. The accrediting entity must advise applicants of the value assigned to each standard 

(or elements of each standard) at the time it provides applicants with the application materials.

(e) If an agency or person has previously been denied accreditation or approval, has withdrawn its 

application in anticipation of denial, has had its temporary accreditation withdrawn, or is reapplying for 

accreditation or approval after cancellation, refusal to renew, or temporary debarment, the accrediting 

entity may take the reasons underlying such actions into account when evaluating the agency or person 

for accreditation or approval, and may deny accreditation or approval on the basis of the previous action.

(f) If an agency or person that has an ownership or control interest in the applicant, as that term is defined 

in section 1124 of the Social Security Act (42 U.S.C. 1320a-3), has been debarred pursuant to § 96.85, 

the accrediting entity may take into account the reasons underlying the debarment when evaluating the 

agency or person for accreditation or approval, and may deny accreditation or approval or refuse to 

renew accreditation or approval on the basis of the debarment.

(g) The standards contained in subpart F of this part do not eliminate the need for an agency or person to 

comply fully with the laws of the jurisdictions in which it operates. An agency or person must provide 

adoption services in Convention intercountry adoption cases consistent with the laws of any State in 

which it operates, and with the Convention, and the IAA, and the UAA. Persons that are approved to 

provide adoption services may only provide such services in States that do not prohibit persons from 

providing adoption services. Nothing in the application of subparts E and F should be construed to require 

a State to allow persons to provide adoption services if State law does not permit them to do so.

§ 96.28 [Reserved]

Subpart F—Standards for Convention Intercountry Adoption Accreditation and Approval

§ 96.29 Scope.

The provisions in this subpart provide the standards for accrediting agencies and approving persons. 

Temporary accreditation is governed by the provisions in subpart N of this part. Unless otherwise 

provided in subpart N of this part, the provisions in this subpart do not apply to agencies seeking 

temporary accreditation.

Licensing and Corporate Governance

§ 96.30 State licensing.
29

(a) The agency or person is properly licensed or otherwise authorized by State law to provide adoption 

services in at least one State.

(b) The agency or person follows applicable State licensing and regulatory requirements in all jurisdictions 

in which it provides adoption services.

(c) If it provides adoption services in a State in which it is not itself licensed or authorized to provide such 

services, the agency or person does so only:

(1) Through agencies or persons that are licensed or authorized by State law to provide adoption services 

in that State and that are exempted providers or acting as supervised providers; or

(2) Through public domestic authorities.

(d) In the case of a person, the individual or for-profit entity is not prohibited by State law from providing 

adoption services in any State where it is providing adoption services, and does not provide adoption 

services in Convention foreign countries that prohibit individuals or for-profit entities from providing 

adoption services.

§ 96.31 Corporate structure.

(a) The agency qualifies for nonprofit tax treatment under section 501(c)(3) of the Internal Revenue Code 

of 1986, as amended, or qualifies for nonprofit status under the laws of any State.

(b) The person is an individual or is a for-profit entity organized as a corporation, company, association, 

firm, partnership, society, or joint stock company, or other legal entity under the laws of any State.

§ 96.32 Internal structure and oversight.

(a) The agency or person has (or, in the case of an individual, is) a chief executive officer or equivalent 

official who is qualified by education, adoption service experience, and management credentials to 

ensure effective use of resources and coordinated delivery of the services provided by the agency or 

person, and has authority and responsibility for management and oversight of the staff and any 

supervised providers in carrying out the adoption-related functions of the organization.

(b) The agency or person has a board of directors or a similar governing body that establishes and 

approves its mission, policies, budget, and programs; provides leadership to secure the resources 

needed to support its programs; includes one or more individuals with experience in adoption, including 

but not limited to, adoptees, birth parents, prospective adoptive parent(s), and adoptive parents; and 

appoints and oversees the performance of its chief executive officer or equivalent official. This standard 

does not apply where the person is an individual practitioner.

(c) The agency or person keeps permanent records of the meetings and deliberations of its governing 

body and of its major decisions affecting the delivery of adoption services.

(d) The agency or person has in place procedures and standards, pursuant to § 96.45 and § 96.46, for 

the selection, monitoring, and oversight of supervised providers.

(e) The agency or person discloses to the accrediting entity the following information:
30

(1) Any other names by which the agency or person is or has been known, under either its current or any 

former form of organization, and the addresses and phone numbers used when such names were used;

(2) The name, address, and phone number of each current director, manager, and employee of the 

agency or person, and, for any such individual who previously served as a director, manager, or 

employee of another provider of adoption services, the name, address, and phone number of such other 

provider; and

(3) The name, address, and phone number of any entity it uses or intends to use as a supervised 

provider.

Financial and Risk Management

§ 96.33 Budget, audit, insurance, and risk assessment requirements.

(a) The agency or person operates under a budget approved by its governing body, if applicable, for 

management of its funds. The budget discloses all remuneration (including perquisites) paid to the 

agency's or person's board of directors, managers, employees, and supervised providers.

(b) The agency's or person's finances are subject to annual internal review and oversight and are subject 

to independent audits every four years. The agency or person submits copies of internal financial review 

reports for inspection by the accrediting entity each year.

(c) The agency or person submits copies of each audit, as well as any accompanying management letter 

or qualified opinion letter, for inspection by the accrediting entity.

(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 

maintains on average sufficient cash reserves, assets, or other financial resources to meet its operating 

expenses for two months, taking into account its projected volume of cases and its size, scope, and 

financial commitments. The agency or person has a plan to transfer its Convention casesintercountry 

adoption cases if it ceases to provide or is no longer permitted to provide adoption services in Convention 

casesintercountry adoption cases. The plan includes provisions for an organized closure and 

reimbursement to clients of funds paid for services not yet rendered.

(f) If it accepts charitable donations, the agency or person has safeguards in place to ensure that such 

donations do not influence child placement decisions in any way.

(g) The agency or person assesses the risks it assumes, including by reviewing information on the 

availability of insurance coverage for Convention-relatedintercountry adoption-related activities. The 

agency or person uses the assessment to meet the requirements in paragraph (h) of this section and as 

the basis for determining the type and amount of professional, general, directors' and officers', errors and 

omissions, and other liability insurance to carry.
31

(h) The agency or person maintains professional liability insurance in amounts reasonably related to its 

exposure to risk, but in no case in an amount less than $1,000,000 in the aggregate.

(i) The agency's or person's chief executive officer, chief financial officer, and other officers or employees 

with direct responsibility for financial transactions or financial management of the agency or person are 

bonded.

§ 96.34 Compensation.

(a) The agency or person does not compensate any individual who provides intercountry adoption 

services with an incentive fee or contingent fee for each child located or placed for adoption.

(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 a fee-for-service, 

hourly wage, or salary basis rather than a contingent fee basis.

(c) The agency or person does not make any payments, promise payment, or give other consideration to 

any individual directly or indirectly involved in provision of adoption services in a particular case, except 

for salaries or fees for services actually rendered and reimbursement for costs incurred. This does not 

prohibit an agency or person from providing in-kind or other donations not intended to influence or affect a 

particular adoption.

(d) The fees, wages, or salaries paid to the directors, officers, employees, and supervised providers of the 

agency or person are not unreasonably high in relation to the services actually rendered, taking into 

account the country in which the adoption services are provided and norms for compensation within the 

intercountry adoption community in that country, to the extent that such norms are known to the 

accrediting entity; the location, number, and qualifications of staff; workload requirements; budget; and 

size of the agency or person.

(e) Any other compensation paid to the agency's or person's directors or members of its governing body 

is not unreasonably high in relation to the services rendered, taking into account the same factors listed in 

paragraph (d) of this section and its for-profit or nonprofit status.

(f) The agency or person identifies all vendors to whom clients are referred for non-adoption services and 

discloses to the accrediting entity any corporate or financial arrangements and any family relationships 

with such vendors.

Ethical Practices and Responsibilities

§ 96.35 Suitability of agencies and persons to provide adoption services consistent with the 

Convention.

(a) The agency or person provides adoption services ethically and in accordance with the Convention's 

principles of:

(1) Ensuring that intercountry adoptions take place in the best interests of children; and
32

(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 related to the agency or person, under its current or any former name:

(1) Any instances in which the agency or person has lost the right to provide adoption services in any 

State or 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 in any State or country, 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) related to the provision of adoption-related 

services, including the basis and disposition of such complaints, against the agency or person filed with 

any State or Federal or foreign regulatory body and of which the agency or person was notified;

(6) For the prior ten-year period, any known past or pending investigation(s) (by Federal authorities or by 

public domestic authorities), criminal charge(s), child abuse charge(s), or lawsuit(s) against the agency or 

person, related to the provision of child welfare or adoption-related services, and the basis and disposition 

of such action(s).

(7) Any instances where the agency or person has been found guilty of any crime under Federal, State, or 

foreign law or has been found to have committed any civil or administrative violation involving financial 

irregularities under Federal, State, or foreign law;

(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 have been or are currently carried out by the agency or person, affiliate organizations, or by any 

organization in which the agency or person has an ownership or controlling 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 (for its current or any former names) 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 to the provision of adoptionrelated services that was subject to external disciplinary proceeding(s);

(2) Any convictions or current investigations of any such individual who is in a senior management 

position for acts involving financial irregularities;

(3) The results of a State criminal background check and a child abuse clearance for any such individual 

in the United States in a senior management position or who works directly with parent(s) and/or children 

(unless such checks have been included in the State licensing process); and
33

(4) A completed FBI Form FD-258 for each such individual in the United States in a senior management 

position or 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 known to have been or are currently carried out by current 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:

(1) Provides the results of a State criminal background check and a child abuse clearance to the 

accrediting entity;

(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;

(3) If 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 and immediately reports to the accrediting entity any disciplinary action 

considered by a State bar association, regardless of whether the action relates to intercountry adoption; 

and

(4) If a social worker, for every jurisdiction in which he or she has been licensed, 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) 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.

§ 96.36 Prohibition on child buying.

(a) The agency or person prohibits 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. If permitted or required by the child's country of origin, an agency or 

person may remit reasonable payments for activities related to the adoption proceedings, pre-birth and 

birth medical costs, the care of the child, the care of the birth mother while pregnant and immediately 

following birth of the child, or the provision of child welfare and child protection services generally. 

Permitted or required contributions shall not be remitted as payment for the child or as an inducement to 

release the child.

(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.
34

Professional Qualifications and Training for Employees

§ 96.37 Education and experience requirements for social service personnel.

(a) The agency or person only uses employees with appropriate qualifications and credentials to perform, 

in connection with an Convention adoptionintercountry adoption, 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 employees meet any State licensing or regulatory requirements for the 

services they are providing.

(c) The agency's or person's executive director, the supervisor overseeing a case, or the social service 

employee providing adoption-related social services that require the application of clinical skills and 

judgment (home studies, child background studies, counseling, parent preparation, post-placement, and 

other similar services) has experience in the professional delivery of intercountry adoption services.

(d) Supervisors. The agency's or person's social work supervisors have prior experience in family and 

children's services, adoption, or intercountry adoption and either:

(1) A master's degree from an accredited program of social work;

(2) 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; 

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 have either:

(1) A master's degree from an accredited program of social work or in another human service field; or

(2) A bachelor's degree from an accredited program of social work; or a combination of a bachelor's 

degree in any field and prior experience in family and children's services, adoption, or intercountry 

adoption; and

(3) Are supervised by an employee of the agency or 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) Are authorized or licensed to complete a home study under the laws of the States in which they 

practice;

(2) Meet the INA requirements for home study preparers in 8 CFR 204.301(b); and
35

(3) Are supervised by an employee of the agency or person who meets the requirements in paragraph (d) 

of this section.

(g) Child background studies. The agency's or person's employees who prepare child background 

studies:(1) Are authorized or licensed to complete a child background study under the laws of the States 

in which they practice; and(2) Are supervised by an employee of the agency or person who meets the 

requirements in paragraph (d) of this section.

§ 96.38 Training requirements for social service personnel.

(a) The agency or person provides newly hired employees who have adoption-related responsibilities 

involving the application of clinical skills and judgment (home studies, child background studies, 

counseling services, parent preparation, post-placement and other similar services) with a comprehensive 

orientation to intercountry adoption that includes training on:

(1) The requirements of the Convention, the IAA, the UAA, the regulations implementing the IAA or UAA, 

and other applicable Federal regulations;

(2) The INA regulations applicable to the immigration of children adopted described in from a Convention 

countryINA 101(b)(1)(F) and 101(b)(1)(G);

(3) The adoption laws of any Convention countryforeign country where the agency or person provides 

adoption services;

(4) Relevant State laws;

(5) Ethical considerations in intercountry adoption and prohibitions on child-buying;

(6) The agency's or person's goals, ethical and professional guidelines, organizational lines of 

accountability, policies, and procedures; and

(7) The cultural diversity of the population(s) served by the agency or person.

(b) In addition to the orientation training required under paragraph (a) of this section, the agency or 

person provides initial training to newly hired or current employees whose responsibilities include 

providing adoption-related social services that involve the application of clinical skills and judgment (home 

studies, child background studies, counseling services, parent preparation, post-placement and other 

similar services) that addresses:

(1) The factors in the countries of origin that lead to children needing adoptive families;

(2) Feelings of separation, grief, and loss experienced by the child with respect to the family of origin;

(3) Attachment and post-traumatic stress disorders;

(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 benefits of permanent family 

placements over other forms of government care;
36

(7) The most frequent medical and psychological problems experienced by children from the countries of 

origin served by the agency or person;

(8) The process of developing emotional ties to an adoptive family;

(9) Acculturation and assimilation issues, including those arising from factors such as race, ethnicity, 

religion, and culture and the impact of having been adopted internationally; and

(10) Child, adolescent, and adult development as affected by adoption.

(c) The agency or person ensures that 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, 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 thirty hours 

of training every two years, or more if required by State law, on current and emerging adoption practice 

issues through participation in seminars, conferences, documented distance learning courses, and other 

similar programs. Continuing education hours required under State law may count toward the thirty hours 

of training as long as the training is related to current and emerging adoption practice issues.

(d) The agency or person exempts newly hired and current employees from elements of the orientation 

and initial training required in paragraphs (a) and (b) of this section only where the employee has 

demonstrated experience with intercountry adoption and knowledge of the Convention, and the IAA, and 

the UAA.

Information Disclosure, Fee Practices, and Quality Control Policies and Practices

§ 96.39 Information disclosure and quality control practices.

(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 and fees;

(2) The supervised providers with whom the prospective client(s) can expect to work in the United States 

and in the child's country of origin and the usual costs associated with their services; and

(3) A sample written adoption services contract substantially like the one that the prospective client(s) will 

be expected to sign should they proceed.

(b) The agency or person discloses to client(s) and prospective client(s) that the following information is 

available upon request and makes such information available when requested:

(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
37

(3) The number of children eligible for adoption and awaiting an adoptive placement referral via the 

agency or person.

(c) The agency or person does not give preferential treatment to its board members, contributors, 

volunteers, employees, agents, consultants, or independent contractors with respect to the placement of 

children for adoption and has a written policy to this effect.

(d) The agency or person requires a client to sign a waiver of liability as part of the adoption service 

contract only where that waiver complies with applicable State law. Any waiver required is limited and 

specific, based on risks that have been discussed and explained to the client in the adoption services 

contract.

(e) The agency or person cooperates with reviews, inspections, and audits by the accrediting entity or the 

Secretary.

(f) The agency or person uses the internet in the placement of individual children eligible for adoption only 

where:

(1) Such use is not prohibited by applicable State or Federal law or by the laws of the child's country of 

origin;

(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 of 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 to the child, the prospective adoptive parent(s), and/or the birth parent(s).

§ 96.40 Fee policies and procedures.

(a) The agency or person provides to all applicants, prior to application, a written schedule of expected 

total fees and estimated expenses and an explanation of the conditions under which fees or expenses 

may be charged, waived, reduced, or refunded and of when and how the fees and expenses must be 

paid.

(b) Before providing any adoption service to prospective adoptive parent(s), the agency or person 

itemizes and discloses in writing the following information for each separate category of fees and 

estimated expenses that the prospective adoptive parent(s) will be charged in connection with an

Convention adoptionintercountry adoption:

(1) Home study. The expected total fees and estimated expenses for home study preparation and 

approval, whether the home study is to be prepared directly by the agency or person itself, or prepared by 

a supervised provider, exempted provider, or approved person and approved as required under § 96.47;

(2) Adoption expenses in the United States. The expected total fees and estimated expenses for all 

adoption services other than the home study that will be provided in the United States. This category 
38

includes, but is not limited to, personnel costs, administrative overhead, operational costs, training and 

education, communications and publications costs, and any other costs related to providing adoption 

services in the United States;

(3) Foreign country program expenses. The expected total fees and estimated expenses for all adoption 

services that will be provided in the child's Convention country country of origin. This category includes, 

but is not limited to, costs for personnel, administrative overhead, training, education, legal services, and 

communications, and any other costs related to providing adoption services in the child's Convention 

countrycountry of origin;

(4) Care of the child. The expected total fees and estimated expenses charged to prospective adoptive 

parent(s) for the care of the child in the country of origin prior to adoption, including, but not limited to, 

costs for food, clothing, shelter and medical care; foster care services; orphanage care; and any other 

services provided directly to the child;

(5) Translation and document expenses. The expected total fees and estimated expenses for obtaining 

any necessary documents and for any translation of documents related to the adoption, along with 

information on whether the prospective adoptive parent(s) will be expected to pay such costs directly or to 

third parties, either in the United States or in the child's Convention countrycountry of origin, or through 

the agency or person. This category includes, but is not limited to, costs for obtaining, translating, 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;

(6) Contributions. Any fixed contribution amount or percentage that the prospective adoptive parent(s) will 

be expected or required to make to child protection or child welfare service programs in the child's 

Convention countrycountry of origin or in the United States, along with an explanation of the intended 

use of the contribution and the manner in which the transaction will be recorded and accounted for; and

(7) Post-placement and post-adoption reports. The expected total fees and estimated expenses for any 

post-placement or post-adoption reports that the agency or person or parent(s) must prepare in light of 

any requirements of the expected country of origin.

(c) If the following fees and estimated expenses were not disclosed as part of the categories identified in 

paragraph (b) of this section, the agency or person itemizes and discloses in writing any:

(1) Third party fees. The expected total fees and estimated expenses for services that the prospective 

adoptive parent(s) will be responsible to pay directly to a third party. Such third party fees include, but are 

not limited to, fees to competent authorities for services rendered or Central Authority processing fees; 

and

(2) Travel and accommodation expenses. The expected total fees and estimated expenses for any travel, 

transportation, and accommodation services arranged by the agency or person for the prospective 

adoptive parent(s).
39

(d) The agency or person also specifies in its adoption services contract when and how funds advanced 

to cover fees or expenses will be refunded if adoption services are not provided.

(e) 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) a general 

description of the programs supported by such funds.

(f) The agency or person has mechanisms in place for transferring funds to Convention foreign countries 

when the financial institutions of the Convention countryforeign 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 Convention countryforeign country are minimized or unnecessary.

(g) The agency or person does not customarily charge additional fees and expenses beyond those 

disclosed in the adoption services contract and has a written policy to this effect. In the event that 

unforeseen additional fees and expenses are incurred in the Convention countryforeign country, the 

agency or person charges such 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 to expending any funds in 

excess of $1000 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 directly by 

the agency or person in the Convention countryforeign country and retains copies of such receipts.

(h) The agency or person returns any funds to which the prospective adoptive parent(s) may be entitled 

within sixty days of the completion of the delivery of services.

Responding to Complaints and Records and Reports Management

§ 96.41 Procedures for responding to complaints and improving service delivery.

(a) The agency or person has written complaint policies and procedures that incorporate the standards in 

paragraphs (b) through (h) of this section and provides a copy of such policies and procedures, including 

contact information for the Complaint Registry, to client(s) at the time the adoption services contract is 

signed.

(b) The agency or person permits any birth parent, prospective adoptive parent or adoptive parent, or 

adoptee to lodge directly with the agency or person signed and dated complaints about any of the 

services or activities of the agency or person (including its use of supervised providers) that he or she 

believes raise an issue of compliance with the Convention, the IAA, the UAA, or the regulations 
40

implementing the IAA or UAA, and advises such individuals of the additional procedures available to them 

if they are dissatisfied with the agency's or person's response to their complaint.

(c) The agency or person responds in writing to complaints received pursuant to paragraph (b) of this 

section within thirty days of receipt, and provides expedited review of such complaints that are timesensitive or that involve allegations of fraud.

(d) The agency or person maintains a written record of each complaint received pursuant to paragraph (b) 

of this section and the steps taken to investigate and respond to it and makes this record available to the 

accrediting entity or the Secretary upon request.

(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; providing 

information in writing or interviews to an accrediting entity on the agency's or person's performance; or 

questioning the conduct of or expressing an opinion about the performance of an agency or person.

(f) The agency or person provides to the accrediting entity and the Secretary, on a semi-annual basis, a 

summary of all complaints received pursuant to paragraph (b) of this section during the preceding six 

months (including the number of complaints received and how each complaint was resolved) and an 

assessment of any discernible patterns in complaints received against the agency or person pursuant to 

paragraph (b) of this section, along with information about what systemic changes, if any, were made or 

are planned by the agency or person in response to such patterns.

(g) The agency or person provides any information about complaints received pursuant to paragraph (b) 

of this section as may be requested by the accrediting entity or the Secretary.

(h) The agency or person has a quality improvement program appropriate to its size and circumstances 

through which it makes systematic efforts to improve its adoption services as needed. The agency or 

person uses quality improvement methods such as reviewing complaint data, using client satisfaction 

surveys, or comparing the agency's or person's practices and performance against the data contained in 

the Secretary's annual reports to Congress on intercountry adoptions.

§ 96.42 Retention, preservation, and disclosure of adoption records.

(a) The agency or person retains or archives adoption records in a safe, secure, and retrievable manner 

for the period of time required by applicable State law.

(b) The agency or person makes readily available to the adoptee and the adoptive parent(s) upon request 

all non-identifying information in its custody about the adoptee's health history or background.

(c) The agency or person ensures that personal data gathered or transmitted in connection with an 

adoption is used only for the purposes for which the information was gathered and safeguards sensitive

individual information.

(d) The agency or person has a plan that is consistent with the provisions of this section, the plan 

required under § 96.33, 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 
41

those adoption records, in the event that the agency or person ceases to provide or is no longer permitted 

to provide adoption services in intercountry adoption cases under the Convention.

(e) 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.

§ 96.43 Case tracking, data management, and reporting.

(a) When acting as the primary 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 routinely generates and maintains reports 

as follows:

(1) For cases involving children immigrating to the United States, information and reports on the total 

number of Convention and non-Conventionintercountry adoptions undertaken by the agency or person 

each year in both Convention and non-Convention cases and, for each case:

(i) The foreign 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 foreign 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 Convention and non-Convention 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 otherforeign country to which the child immigrated;

(iii) The State, Convention country, or other or foreign 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 an Convention adoptionintercountry adoption, information and 

reports about the disruption, including information on:

(i) The Convention countryforeign 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
42

(vii) The plans for the child.

(4) Wherever possible, for each dissolution of an Convention adoptionintercountry adoption, information 

and reports on the dissolution, including information on:

(i) The Convention countryforeign 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, longest, and average length of time it takes to complete an Convention 

adoptionintercountry adoption, set forth by the child's 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 

adoptionintercountry 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 as required by the Secretary directly to 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.

Service Planning and Delivery

§ 96.44 Acting as primary provider.

(a) When required by § 96.14(a), the agency or person acts as primary provider and adheres to the 

provisions in § 96.14(b) through (e). When acting as the primary provider, the agency or person develops 

and implements a service plan for providing all adoption services and provides all such services, either 

directly or through arrangements with supervised providers, exempted providers, public domestic 

authorities, competent authorities, Central Authorities, public foreign authorities, or, to the extent 

permitted by § 96.14(c), other foreign providers (agencies, persons, or other non-governmental entities).

(b) The agency or person has an organizational structure, financial and personnel resources, and policies 

and procedures in place that demonstrate that the agency or person is capable of acting as a primary 
43

provider in any Convention adoptionintercountry adoption case and, when acting as the primary provider, 

provides appropriate supervision to supervised providers and verifies the work of other foreign providers 

in accordance with §§ 96.45 and 96.46.

§ 96.45 Using supervised providers in the United States.

(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 applicable State licensing and regulatory requirements in all jurisdictions in 

which it provides adoption services;

(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 acting as the primary provider and using supervised providers in the 

United States to provide adoption services, ensures that each such supervised provider operates under a 

written agreement with the primary provider that:

(1) Identifies clearly the adoption service(s) to be provided by the supervised provider and requires that 

the service(s) be provided in accordance with the applicable service standard(s) for accreditation and 

approval (for example: home study (§ 96.47); parent training (§ 96.48); child background studies and 

consent (§ 96.53));

(2) Requires the supervised provider to comply with the following standards regardless of the type of 

adoption services it is providing: § 96.36 (prohibition on child-buying), § 96.34 (compensation), § 96.38 

(employee training), § 96.39(d) (waivers of liability), and § 96.41(b) through (e) (complaints);

(3) Identifies specifically the lines of authority between the primary provider and the 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;

(4) States clearly 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 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;

(6) Provides that, if billing the client(s) directly for its service, the 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 sixty days of the completion of the delivery of services;

(7) Requires the supervised provider to meet the same personnel qualifications as accredited agencies 

and approved persons, as provided for in § 96.37, except that, for purposes of §§ 96.37(e)(3), (f)(3), and 
44

(g)(2), the work of the employee must be supervised by an employee of an accredited agency or 

approved person;

(8) Requires the supervised provider to limit the use of and safeguard personal data gathered or 

transmitted in connection with an adoption, as provided for in § 96.42;

(9) 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;

(10) Requires the 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;

(11) Requires the supervised provider to disclose promptly to the primary provider any changes in the 

suitability information required by § 96.35;

(12) Permits suspension or termination of the agreement on reasonable notice if the primary provider has 

grounds to believe that the supervised provider is not in compliance with the agreement or the 

requirements of this section.

§ 96.46 Using providers in Convention countriesforeign countries.

(a) The agency or person, when acting as the primary provider and using foreign supervised providers to 

provide adoption services in Convention foreign countries, ensures that each such foreign supervised 

provider:

(1) Is in compliance with the laws of the Convention countryforeign 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 countryforeign country that are analogous to the authorities identified in that 

section;

(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 or the Convention’s 

principles of ensuring that intercountry adoptions take place in the best interests of children and 

preventing the abduction, exploitation, sale, or trafficking of children; and

(5) Is accredited in the Convention countryforeign country in which it operates, if such accreditation is 

required by the laws of that Convention countryforeign country to perform the adoption services it is 

providing.

(b) The agency or person, when acting as the primary provider and using foreign supervised providers to 

provide adoption services in Convention foreign countries, ensures that each such foreign supervised 

provider operates under a written agreement with the primary provider that:

(1) Identifies clearly the adoption service(s) to be provided by the foreign supervised provider;
45

(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 adhere to the standard in § 96.36(a) prohibiting child 

buying; and has written policies and procedures in place reflecting the prohibitions in § 96.36(a) and 

reinforces them in training programs for its employees and agents;

(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 is placed for adoption, located for an adoptive placement, 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) States clearly 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 sixty days of the completion of the delivery of 

services;

(9) 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;

(10) 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;

(11) Requires the foreign supervised provider to disclose promptly to the primary provider any changes in 

the suitability information required by § 96.35; and

(12) 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, in accordance with § 96.14, using 

foreign providers that are not under its supervision, verifies, through review of the relevant documentation 

and other appropriate steps, that:

(1) Any necessary consent to termination of parental rights or to adoption obtained by the foreign provider 

was obtained in accordance with applicable foreign law and Article 4 of the Convention;
46

(2) Any background study and report on a child in a case involving immigration to the United States (an 

incoming case) performed by the foreign provider was performed in accordance with applicable foreign 

law and Article 16 of the Convention.

(3) Any home study and report on prospective adoptive parent(s) in a case involving emigration from the 

United States (an outgoing case) performed by the foreign provider was performed in accordance with 

applicable foreign law and Article 15 of the Convention.

Standards for Cases in Which a Child Is Immigrating to the United States (Incoming Cases)

§ 96.47 Preparation of home studies in incoming cases.

(a) The agency or person ensures that a home study on the prospective adoptive parent(s) (which for 

purposes of this section includes the initial report and any supplemental statement submitted to DHS) is 

completed that includes the following:

(1) Information about the prospective adoptive parent(s)' identity, eligibility and suitability to adopt, 

background, family and medical history, social environment, reasons for adoption, ability to undertake an 

intercountry adoption, and the 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 whether the prospective adoptive parent(s) are eligible and suited to adopt;

(3) A statement describing the counseling and training provided to the prospective adoptive parent(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 204.311(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 

204.311(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, 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 information required by paragraph (a) of this section and is performed in 

accordance with 8 CFR 204.311(e), and applicable State law; and
47

(2) Was performed by an individual who meets the requirements in § 96.37(f), or, if the individual is an 

exempted provider, ensures that the individual meets the requirements for home study providers 

established by 8 CFR 204.301(b).

(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 to the Central Authority of 

the child's country of origin (or to an alternative authority designated by that Central Authority).

§ 96.48 Preparation and training of prospective adoptive parent(s) in incoming cases.

(a) The agency or person provides prospective adoptive parent(s) with at least ten hours (independent of 

the home study) of preparation and training, as described in paragraphs (b) and (c) of this section, 

designed to promote a successful intercountry adoption. The agency or person provides such training 

before the prospective adoptive parent(s) travel to adopt the child or the child is placed with the 

prospective adoptive parent(s) for adoption.

(b) The training provided by the agency or person addresses the following topics:

(1) The intercountry adoption process, the general characteristics and needs of children awaiting 

adoption, and the in-country conditions that affect children in the Convention countryforeign country from 

which the prospective adoptive parent(s) plan to adopt;

(2) The effects on children of malnutrition, relevant environmental toxins, maternal substance abuse, and 

of any other known genetic, health, emotional, and developmental risk factors associated with children 

from the expected country of origin;

(3) Information about the impact on a child of leaving familiar ties and surroundings, as appropriate to the 

expected age of the child;

(4) Data on institutionalized children and the impact of institutionalization on children, including the effect 

on children of the length of time spent in an institution and of the type of care provided in the expected 

country of origin;

(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 laws and adoption processes of the expected country of origin, including 

foreseeable delays and impediments to finalization of an adoption;

(7) Information on the long-term implications for a family that has become multicultural through 

intercountry adoption; and

(8) An explanation of any reporting requirements associated with Convention adoptionintercountry 

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 and cultural, racial, religious, ethnic, and linguistic background;
48

(2) The known health risks in the specific region or country where the child resides; and

(3) Any other medical, social, background, birth history, educational data, developmental history, or any 

other data known about the particular child.

(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 

prospective adoptive 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; or

(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 prospective adoptive parent(s) in light of the particular child 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 when the agency or person 

determines that the prospective adoptive 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.

§ 96.49 Provision of medical and social information in incoming cases.

(a) The agency or person provides a copy of the child's medical records (including, to the fullest extent 

practicable, a correct and complete English-language translation of such records) to the prospective 

adoptive parent(s) as early as possible, but no later than two weeks before either the adoption or 

placement for adoption, or the date on which the prospective adoptive parent(s) travel to the Convention 

countryforeign country to complete all procedures in such country relating to the adoption or placement 

for adoption, whichever is earlier.

(b) Where any medical record provided pursuant to paragraph (a) of this section is a summary or 

compilation of other medical records, the agency or person includes those underlying medical records in 

the medical records provided pursuant to paragraph (a) if they are available.
49

(c) The agency or person provides the prospective adoptive parent(s) with any untranslated medical 

reports or videotapes or other reports and provides an opportunity for the client(s) to arrange for their own 

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 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 countryforeign 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, special needs, and changes in the child's 

condition since the Convention countryforeign country or other child welfare authority assumed custody of 

the child;

(3) Growth data, including prenatal and birth history, and developmental status over time and current 

developmental data 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, other than the information provided by public 

foreign authorities, to the prospective adoptive parent(s) from an examination by a physician or from an 

observation of the child by someone who is not a physician, the agency or person uses reasonable efforts 

to include the following:

(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; how the report's information was retained and verified; 

and if anyone directly responsible for the child's care has reviewed the report;

(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 what data and perceptions the 

individual used to draw his 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) The agency or person itself uses reasonable efforts, or requires its supervised provider 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 child's birth family and prenatal history and cultural, racial, religious, ethnic, and 

linguistic background;
50

(2) Information about all of the child's past and current placements prior to adoption, including, but not 

limited to any social work or court reports on the child and any information on who assumed custody and 

provided care for the child; and

(3) Information about any birth siblings whose existence is known to the agency or person, or its 

supervised provider, including information about such siblings' whereabouts.

(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. The agency or person continues to use reasonable efforts to secure those medical or 

social records that could not be obtained up until the adoption is finalized.

(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 and that they were made in compliance with 

the laws in the country where recorded or taken.

(j) The agency or person does not withhold from or misrepresent to the prospective adoptive parent(s) 

any available medical, social, or other pertinent information concerning the child.

(k) The agency or person does not withdraw a referral until the prospective adoptive parent(s) have had 

two weeks (unless extenuating circumstances 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 if 

available.

§ 96.50 Placement and post-placement monitoring until final adoption in incoming cases.

(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) In the post-placement phase, the agency or person monitors and supervises the child's placement to 

ensure that the placement remains in the best interests of the child, and ensures that at least the number 

of home visits required by State law or by the child's country of origin are performed, whichever is greater.

(c) When a placement for adoption is in crisis in the post-placement phase, the agency or person makes 

an effort to provide or arrange for counseling by an individual with appropriate skills to assist the family in 

dealing with the problems that have arisen.

(d) If counseling does not succeed in resolving the crisis and the placement is disrupted, the agency or 

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 
51

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 adoption services 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 provides post-placement reports until final adoption of a child to the Convention 

countryforeign country when required by the Convention countryforeign country. Where such reports are 

required, the agency or person:

(1) Informs the prospective adoptive parent(s) in the adoption services contract of the requirement prior to 

the referral of the child for adoption;

(2) Informs the prospective adoptive parent(s) that they will be required to provide all necessary 

information for the report(s); and

(3) Discloses who will prepare the reports and the fees that will be charged.

(h) The agency or person takes steps to:

(1) Ensure that an order declaring the adoption as final is sought by the prospective adoptive parent(s), 

and in Convention adoptions is entered in compliance with section 301(c) of the IAA (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.

§ 96.51 Post-adoption services in incoming cases.

(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).
52

(b) The agency or person informs the prospective adoptive parent(s) in the adoption services contract 

whether the agency or person will or will not provide any post-adoption services. The agency or person 

also informs the prospective adoptive parent(s) in the adoption services contract whether it will provide 

services if an adoption is dissolved, and, if it indicates it will, it provides a plan describing the agency's or 

person's responsibilities.

(c) When post-adoption reports are required by the child's country of origin, the agency or person includes 

a requirement for such reports in the adoption services contract and makes good-faith efforts to 

encourage adoptive parent(s) to provide such reports.

(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.

§ 96.52 Performance of Convention communication and coordination functions in incoming 

cases.

(a) The agency or person keeps the Central Authority of the Convention countryforeign country and the 

Secretary informed as necessary 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 U.S. 

Central Authority and of the Convention countryforeign 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 background study, proof that the necessary consents to the child's adoption have 

been obtained, and the necessary determination that the prospective placement is in the child's best 

interests, from the Central Authority or other competent authority in the child's country of origin;

(3) Provide confirmation that the prospective adoptive parent(s) agree to the adoption to the Central 

Authority or other competent authority in the child's country of origin; and

(4) Transmit the determination that the child is or will be authorized to enter and reside permanently in the 

United States to the Central Authority or other competent authority in the child's country of origin.

(c) The agency or person takes all necessary and appropriate measures, consistent with the procedures 

of the Convention countryforeign country, to obtain permission for the child to leave his or her country of 

origin and to enter and reside permanently in the United States.

(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 an 

intercountry Convention adoption case that the Secretary identifies are required to comply with the 

Convention, the IAA, the UAA, or any regulations implementing the IAA or UAA.
53

Standards for Convention Cases in Which a Child Is Emigrating From the United States (Outgoing 

Convention Cases)

§ 96.53 Background studies on the child and consents in outgoing Convention cases.

(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. The child background study must include the following:

(1) Information that demonstrates that consents were obtained in accordance with paragraph (c) of this 

section;

(2) Information that demonstrates consideration of the child's wishes and opinions in accordance with 

paragraph (d) of this section and;

(3) Information that confirms that the child background study was prepared either by an exempted 

provider or by an individual who meets the requirements set forth in § 96.37(g).

(b) Where the child background study is not prepared in the first instance by an accredited agency or 

temporarily accredited agency, the agency or person ensures that the child 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 includes all the information required by 

paragraph (a) of this section.

(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; 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 twelve 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.
54

(e) The agency or person prior to the child's adoption takes all appropriate measures to transmit to the 

Central Authority or other competent authority or accredited bodies of the 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.

§ 96.54 Placement standards in outgoing Convention cases.

(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 by the State court with 

jurisdiction over the 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 

sixty 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 U.S. 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 (including no efforts, when in the best interests of the child) to 

find a timely and qualified adoptive placement for the child in the United States were made.

(c) In placing the child for adoption, the agency or person:

(1) To the extent consistent with State law, gives significant weight to the placement preferences 

expressed by the birth parent(s) in all voluntary placements;

(2) To the extent consistent with State law, 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) The agency or person complies with any State law requirements pertaining to the provision and 

payment of independent legal counsel for birth parents. If State law requires full disclosure to the birth 

parent(s) that the child is to be adopted by parent(s) who reside outside the United States, the agency or 

person provides such disclosure.

(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 a Convention country have been identified, the 

agency or person takes all appropriate measures to determine whether the envisaged placement is in the 
55

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 Convention country, using 

age-appropriate services that address the child's likely feelings of separation, grief, and loss and 

difficulties in making any cultural, religious, racial, ethnic, or linguistic adjustment.

(h) 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) or the 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 post-placement supervision and reports, if required by State law, and ensures 

that the child's adoption record contains the information necessary for contacting that entity.

(j) The agency or person ensures that the child's adoption record includes the order granting the adoption 

or legal custody for the purpose of adoption in 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.

§ 96.55 Performance of Convention communication and coordination functions in outgoing 

Convention cases.

(a) The agency or person keeps the Central Authority of the Convention country and the Secretary 

informed as necessary 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 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 Convention country agree to the adoption;
56

(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 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.

§ 96.56 [Reserved]

Subpart G—Decisions on Applications for Accreditation or Approval

§ 96.57 Scope.

The provisions in this subpart establish the procedures for when the accrediting entity issues decisions on 

applications for accreditation or approval. Temporary accreditation is governed by the provisions in 

subpart N of this part. Unless otherwise provided in subpart N of this part, the provisions in this subpart 

do not apply to agencies seeking temporary accreditation.

§ 96.58 Notification of accreditation and approval decisions.

(a) The accrediting entity must routinely inform applicants in writing of its accreditation and approval 

decisions -- whether an application has been granted or denied -- as those decisions are finalized. The 

accrediting entity must routinely provide this information to the Secretary in writing.The accrediting entity 

must notify agencies and persons that applied by the transitional application deadline of its accreditation 

and approval decisions on a uniform notification date to be established by the Secretary. On that date, 

tThe accrediting entity must inform each applicant and the Secretary in writing whether the agency's or 

person's application has been granted or denied. or remains pending.

The accrediting entity may not provide any information about its accreditation or approval decisions to any 

agency or person or to the public until the uniform notification date. If the Secretary requests information 

on the interim or final status of an applicant prior to the uniform notification date, the accrediting entity 

must provide such information to the Secretary.

(b) Notwithstanding the provisions in paragraph (a) of this section, tThe accrediting entity may, in its 

discretion, communicate with agencies and persons that have applied for accreditation or approval by the 

transitional application date about the status of their pending applications for the sole purpose of to 

affording them an opportunity to correct deficiencies that may hinder or prevent accreditation or approval.
57

(c) The accrediting entity must routinely inform applicants that applied after the transitional application 

date in writing of its accreditation and approval decisions, as those decisions are finalized, but may not do 

so earlier than the uniform notification date referenced in paragraph (a) of this section. The accrediting 

entity must routinely provide this information to the Secretary in writing.

§ 96.59 Review of decisions to deny accreditation or approval.

(a) There is no administrative or judicial review of an accrediting entity's decision to deny an application 

for accreditation or approval. As provided in § 96.79, a decision to deny for these purposes includes:

(1) A denial of the agency's or person's initial application for accreditation or approval;

(2) A denial of an application made after cancellation or refusal to renew by the accrediting entity; and

(3) A denial of an application made after cancellation or debarment by the Secretary.

(b) The agency or person may petition the accrediting entity for reconsideration of a denial. The 

accrediting entity must establish internal review procedures that provide an opportunity for an agency or 

person to petition for reconsideration of the denial.

§ 96.60 Length of accreditation or approval period.

(a) Except as provided in paragraph (b) of this section, tThe accrediting entity will accredit or approve an 

agency or person for a period of four years. The accreditation or approval period will commence either on 

the date the Convention enters into force for the United States (if the agency or person is accredited or 

approved before that date) or on the date that the agency or person is granted accreditation or approval.

(b) In order to stagger the renewal requests from agencies and persons that applied for accreditation or 

approval by the transitional application deadline, to prevent renewal requests from coming due at the 

same time, the accrediting entity may accredit or approve some agencies and persons that applied by the 

transitional application date for a period of between three and five years for their first accreditation or 

approval cycle. The accrediting entity must establish criteria, to be approved by the Secretary, for 

choosing which agencies and persons it will accredit or approve for a period of other than four years.

§ 96.61 [Reserved]

Subpart H—Renewal of Accreditation or Approval

§ 96.62 Scope.

The provisions in this subpart establish the procedures for renewal of an agency's accreditation or a 

person's approval. Temporary accreditation may not be renewed, and the provisions in this subpart do not 

apply to temporarily accredited agencies.
58

§ 96.63 Renewal of accreditation or approval.

(a) The accrediting entity must advise accredited agencies and approved persons that it monitors of the 

date by which they should seek renewal of their accreditation or approval so that the renewal process can 

reasonably be completed prior to the expiration of the agency's or person's current accreditation or 

approval. If the accredited agency or approved person does not wish to renew its accreditation or 

approval, it must immediately notify the accrediting entity and take all necessary steps to complete its 

Convention casesintercountry adoption cases and to transfer its pending Convention casesintercountry 

adoption cases and adoption records to other accredited agencies, approved persons, or a State archive, 

as appropriate, under the oversight of the accrediting entity, before its accreditation or approval expires.

(b) The accredited agency or approved person may seek renewal from a different accrediting entity than 

the one that handled its prior application. If it changes accrediting entities, the accredited agency or 

approved person must so notify the accrediting entity that handled its prior application by the date on 

which the agency or person must (pursuant to paragraph (a) of this section) seek renewal of its status. 

The accredited agency or approved person must follow the new accrediting entity's instructions when 

submitting a request for renewal and preparing documents and other information for the new accrediting 

entity to review in connection with the renewal request.

(c) The accrediting entity must process the request for renewal in a timely fashion. Before deciding 

whether to renew the accreditation or approval of an agency or person, the accrediting entity may, in its 

discretion, advise the agency or person of any deficiencies that may hinder or prevent its renewal and 

defer a decision to allow the agency or person to correct the deficiencies. The accrediting entity must 

notify the accredited agency, approved person, and the Secretary in writing when it renews or refuses to 

renew an agency's or person's accreditation or approval.

(d) Sections 96.24, 96.25, and 96.26, which relate to evaluation procedures and to requests for and use 

of information, and § 96.27, which relates to the substantive criteria for evaluating applicants for 

accreditation or approval, other than § 96.27(e), will govern determinations about whether to renew 

accreditation or approval. In lieu of § 96.27(e), if the agency or person has been suspended by an 

accrediting entity or the Secretary during its most current accreditation or approval cycle, the accrediting 

entity may take the reasons underlying the suspension into account when determining whether to renew 

accreditation or approval and may refuse to renew accreditation or approval based on the prior 

suspension.

§ 96.64 [Reserved]

Subpart I—Routine Oversight by Accrediting Entities

§ 96.65 Scope.
59

The provisions in this subpart establish the procedures for routine oversight of accredited agencies and 

approved persons. Temporary accreditation is governed by the provisions of subpart N of this part. 

Unless otherwise provided in subpart N of this part, the provisions in this subpart do not apply to 

temporarily accredited agencies

§ 96.66 Oversight of accredited agencies and approved persons by the accrediting entity.

(a) The accrediting entity must monitor agencies it has accredited and persons it has approved at least 

annually to ensure that they are in substantial compliance with the standards in subpart F of this part, as 

determined using a method approved by the Secretary in accordance with § 96.27(d). The accrediting 

entity must investigate complaints about accredited agencies and approved persons, as provided in 

subpart J of this part.

(b) An accrediting entity may, on its own initiative, conduct site visits to inspect an agency's or person's 

premises or programs, with or without advance notice, for purposes of random verification of its continued 

compliance or to investigate a complaint. The accrediting entity may consider any information about the 

agency or person that becomes available to it about the compliance of the agency or person. The 

provisions of §§ 96.25 and 96.26 govern requests for and use of information.

(c) The accrediting entity must require accredited agencies or approved persons to attest annually that 

they have remained in substantial compliance and to provide supporting documentation to indicate such 

ongoing compliance with the standards in subpart F of this part.

§ 96.67 [Reserved]

Subpart J—Oversight Through Review of Complaints

§ 96.68 Scope.

The provisions in this subpart establish the procedures that the accrediting entity will use for processing 

complaints against accredited agencies and approved persons (including complaints concerning their use 

of supervised providers) that raise an issue of compliance with the Convention, the IAA, the UAA, or the 

regulations implementing the IAA or UAA, as determined by the accrediting entity or the Secretary, and 

that are therefore relevant to the oversight functions of the accrediting entity or the Secretary. Temporary 

accreditation is governed by the provisions of subpart N of this part; as provided in § 96.103, procedures 

for processing complaints on temporarily accredited agencies must comply with this subpart.

§ 96.69 Filing of complaints against accredited agencies and approved persons.

(a) Complaints described in § 96.68 will be subject to review by the accrediting entity pursuant to §§ 

96.71 and 96.72, when submitted as provided in this section and § 96.70.
60

(b) Complaints against accredited agencies and approved persons by parties to specific Convention 

adoptionintercountry adoption cases and relating to that case must first be submitted by the complainant 

in writing to the primary provider and to the agency or person providing adoption services, if a U.S. 

provider different from the primary provider. If the complaint cannot be resolved through the complaint 

processes of the primary provider or the agency or person providing the services (if different), or if the 

complaint was resolved by an agreement to take action but the primary provider or the agency or person 

providing the service (if different) failed to take such action within thirty days of agreeing to do so, the 

complaint may then be filed with the Complaint Registry in accordance with § 96.70.

(c) An individual who is not party to a specific Convention adoptionintercountry adoption case but who 

has information about an accredited agency or approved person may provide that information by filing it in 

the form of a complaint with the Complaint Registry in accordance with § 96.70.

(d) A Federal, State, or local government official or a foreign Central Authority may file a complaint with 

the Complaint Registry in accordance with § 96.70, or may raise the matter in writing directly with the 

accrediting entity, who will record the complaint in the Complaint Registry, or with the Secretary, who will 

record the complaint in the Complaint Registry, if appropriate, and refer it to the accrediting entity for 

review pursuant to § 96.71 or take such other action as the Secretary deems appropriate.

§ 96.70 Operation of the Complaint Registry.

(a) The Secretary will establish a Complaint Registry to support the accrediting entities in fulfilling their 

oversight responsibilities, including the responsibilities of recording, screening, referring, and otherwise 

taking action on complaints received, and to support the Secretary in the Secretary's oversight 

responsibilities as the Secretary deems appropriate. The Secretary may provide for the Complaint 

Registry to be funded in whole or in part from fees collected by the Secretary pursuant to section 403(b) 

of the IAA (42 U.S.C. 14943(b)) or by the accrediting entities.

(b) The Complaint Registry will:

(1) Receive and maintain records of complaints about accredited agencies, temporarily accredited 

agencies, and approved persons, and agencies temporarily accredited for one or two years after the 

Convention entered into force (including complaints concerning their use of supervised providers) and 

make such complaints available to the appropriate accrediting entity and the Secretary;

(2) Receive and maintain information regarding action taken to resolve each complaint by the accrediting 

entity or the Secretary;

(3) Track compliance with any deadlines applicable to the resolution of complaints;

(4) Generate reports designed to show possible patterns of complaints; and

(5) Perform such other functions as the Secretary may determine.

(c) Forms and information necessary to submit complaints to the Complaint Registry electronically or by 

such other means as the Secretary may determine will be accessible through the Department's website to 
61

persons who wish to file complaints. Such forms will be designed to ensure that each complaint complies 

with the requirements of § 96.69.

(d) Accrediting entities will have access to, and the capacity to enter data into, the Complaint Registry as 

the Secretary deems appropriate.

(e) Nothing in this part shall be construed to limit the Secretary's authority to take such action as the 

Secretary deems appropriate with respect to complaints.

§ 96.71 Review by the accrediting entity of complaints against accredited agencies and 

approved persons.

(a) The accrediting entity must establish written procedures, including deadlines, for recording, 

investigating, and acting upon complaints it receives pursuant to §§ 96.69 and 96.70(b)(1). The 

procedures must be consistent with this section and be approved by the Secretary. The accrediting entity 

must make written information about its complaint procedures available upon request.

(b) If the accrediting entity determines that a complaint implicates the Convention, the IAA, the UAA, or 

the regulations implementing the IAA or UAA:

(1) The accrediting entity must verify that the complainant has already attempted to resolve the complaint 

as described in § 96.69(b) and, if not, may refer the complaint to the agency or person, or to the primary 

provider, for attempted resolution through its internal complaint procedures;

(2) The accrediting entity may conduct whatever investigative activity (including site visits) it considers 

necessary to determine whether any relevant accredited agency or approved person may maintain 

accreditation or approval as provided in § 96.27. The provisions of §§ 96.25 and 96.26 govern requests 

for and use of information. The accrediting entity must give priority to complaints submitted pursuant to § 

96.69(d);

(3) If the accrediting entity determines that the agency or person may not maintain accreditation or 

approval, it must take adverse action pursuant to subpart K of this part.

(c) When the accrediting entity has completed its complaint review process, it must provide written 

notification of the outcome of its investigation, and any actions taken, to the complainant, or to any other 

entity that referred the information.

(d) The accrediting entity will enter information about the outcomes of its investigations and its actions on 

complaints into the Complaint Registry as provided in its agreement with the Secretary.

(e) The accrediting entity may not take any action to discourage an individual from, or retaliate against an 

individual for, making a complaint, expressing a grievance, questioning the conduct of, or expressing an 

opinion about the performance of an accredited agency, an approved person, or the accrediting entity.

§ 96.72 Referral of complaints to the Secretary and other authorities.

(a) An accrediting entity must report promptly to the Secretary any substantiated complaint that:
62

(1) Reveals that an accredited agency or approved person has engaged in a pattern of serious, willful, 

grossly negligent, or repeated failures to comply with the standards in subpart F of this part; or

(2) Indicates that continued accreditation or approval would not be in the best interests of the children and 

families concerned.

(b) An accrediting entity must, after consultation with the Secretary, refer, as appropriate, to a State 

licensing authority, the Attorney General, or other law enforcement authorities any substantiated 

complaints that involve conduct that is:

(1) Subject to the civil or criminal penalties imposed by section 404 of the IAA (42 U.S.C. 14944);

(2) In violation of the Immigration and Nationality Act (8 U.S.C. 1101 et seq.); or

(3) Otherwise in violation of Federal, State, or local law.

(c) When an accrediting entity makes a report pursuant to paragraphs (a) or (b) of this section, it must 

indicate whether it is recommending that the Secretary take action to debar the agency or person, either 

temporarily or permanently.

§ 96.73 [Reserved]

Subpart K—Adverse Action by the Accrediting Entity

§ 96.74 Scope.

The provisions in this subpart establish the procedures governing adverse action by an accrediting entity 

against accredited agencies and approved persons. Temporary accreditation is governed by the 

provisions in subpart N of this part. Unless otherwise provided in subpart N of this part, the provisions of 

this subpart do not apply to temporarily accredited agencies.

§ 96.75 Adverse action against accredited agencies or approved persons not in substantial 

compliance.

The accrediting entity must take adverse action when it determines that an accredited agency or 

approved person may not maintain accreditation or approval as provided in § 96.27. The accrediting 

entity is authorized to take any of the following actions against an accredited agency or approved person 

whose compliance the entity oversees. Each of these actions by an accrediting entity is considered an 

adverse action for purposes of the IAA, the UAA, and the regulations in this part:

(a) Suspending accreditation or approval;

(b) Canceling accreditation or approval;

(c) Refusing to renew accreditation or approval;

(d) Requiring an accredited agency or approved person to take a specific corrective action to bring itself 

into compliance; and
63

(e) Imposing other sanctions including, but not limited to, requiring an accredited agency or approved 

person to cease providing adoption services in a particular case or in a specific Convention 

countryforeign country.

§ 96.76 Procedures governing adverse action by the accrediting entity.

(a) The accrediting entity must decide which adverse action to take based on the seriousness and type of 

violation and on the extent to which the accredited agency or approved person has corrected or failed to 

correct deficiencies of which it has been previously informed. The accrediting entity must notify an 

accredited agency or approved person in writing of its decision to take an adverse action against the 

agency or person. The accrediting entity's written notice must identify the deficiencies prompting 

imposition of the adverse action.

(b) Before taking adverse action, the accrediting entity may, in its discretion, advise an accredited agency 

or approved person in writing of any deficiencies in its performance that may warrant an adverse action 

and provide it with an opportunity to demonstrate that an adverse action would be unwarranted before the 

adverse action is imposed. If the accrediting entity takes the adverse action without such prior notice, it 

must provide a similar opportunity to demonstrate that the adverse action was unwarranted after the 

adverse action is imposed, and may withdraw the adverse action based on the information provided.

(c) The provisions in §§ 96.25 and 96.26 govern requests for and use of information.

§ 96.77 Responsibilities of the accredited agency, approved person, and accrediting entity 

following adverse action by the accrediting entity.

(a) If the accrediting entity takes an adverse action against an agency or person, the action will take effect 

immediately unless the accrediting entity agrees to a later effective date.

(b) If the accrediting entity suspends or cancels the accreditation or approval of an agency or person, the 

agency or person must immediately, or by any later effective date set by the accrediting entity, cease to 

provide adoption services in all Convention intercountry adoption cases. In the case of suspension, it 

must consult with the accrediting entity about whether to transfer its Convention adoptionintercountry 

adoption cases and adoption records. In the case of cancellation, it must execute the plans required by 

§§ 96.33(e) and 96.42(d) under the oversight of the accrediting entity, and transfer its Convention 

adoptionintercountry adoption cases and adoption records to other accredited agencies, approved 

persons, or a State archive, as appropriate. When the agency or person is unable to transfer such 

Convention casesintercountry adoption cases or adoption records in accordance with the plans or as 

otherwise agreed by the accrediting entity, the accrediting entity will so advise the Secretary who, with the 

assistance of the accrediting entity, will coordinate efforts to identify other accredited agencies or 

approved persons to assume responsibility for the cases, and to transfer the records to other accredited 

agencies or approved persons, or to public domestic authorities, as appropriate.
64

(c) If the accrediting entity refuses to renew the accreditation or approval of an agency or person, the 

agency or person must cease to provide adoption services in all Convention casesintercountry adoption 

cases upon expiration of its existing accreditation or approval. It must take all necessary steps to 

complete its Convention casesintercountry adoption cases before its accreditation or approval expires. It 

must also execute the plans required by §§ 96.33(e) and 96.42(d) under the oversight of the accrediting 

entity, and transfer its pending Convention casesintercountry adoption cases and adoption records to 

other accredited agencies, approved persons, or a State archive, as appropriate. When the agency or 

person is unable to transfer such Convention casesintercountry adoption cases or adoption records in 

accordance with the plans or as otherwise agreed by the accrediting entity, the accrediting entity will so 

advise the Secretary who, with the assistance of the accrediting entity, will coordinate efforts to identify 

other accredited agencies or approved persons to assume responsibility for the cases and to transfer the 

records to other accredited agencies or approved persons, or to public domestic authorities, as 

appropriate.

(d) The accrediting entity must notify the Secretary, in accordance with procedures established in its 

agreement with the Secretary, when it takes an adverse action that changes the accreditation or approval 

status of an agency or person. The accrediting entity must also notify the relevant State licensing 

authority as provided in the agreement.

§ 96.78 Accrediting entity procedures to terminate adverse action.

(a) The accrediting entity must maintain internal petition procedures, approved by the Secretary, to give 

accredited agencies and approved persons an opportunity to terminate adverse actions on the grounds 

that the deficiencies necessitating the adverse action have been corrected. The accrediting entity must 

inform the agency or person of these procedures when it informs them of the adverse action pursuant to § 

96.76(a). An accrediting entity is not required to maintain procedures to terminate adverse actions on any 

other grounds, or to maintain procedures to review its adverse actions, and must obtain the consent of 

the Secretary if it wishes to make such procedures available.

(b) An accrediting entity may terminate an adverse action it has taken only if the agency or person 

demonstrates to the satisfaction of the accrediting entity that the deficiencies that led to the adverse 

action have been corrected. The accrediting entity must notify an agency or person in writing of its 

decision on the petition to terminate the adverse action.

(c) If the accrediting entity described in paragraph (b) of this section is no longer providing accreditation or 

approval services, the agency or person may petition any accrediting entity with jurisdiction over its 

application.

(d) If the accrediting entity cancels or refuses to renew an agency's or person's accreditation or approval, 

and does not terminate the adverse action pursuant to paragraph (b) of this section, the agency or person 

may reapply for accreditation or approval. Before doing so, the agency or person must request and obtain

permission to make a new application from the accrediting entity that cancelled or refused to renew its 
65

accreditation or approval or, if such entity is no longer designated as an accrediting entity, from any 

alternate accrediting entity designated by the Secretary to give such permission. The accrediting entity 

may grant such permission only if the agency or person demonstrates to the satisfaction of the 

accrediting entity that the specific deficiencies that led to the cancellation or refusal to renew have been 

corrected.

(e) If the accrediting entity grants the agency or person permission to reapply, the agency or person may 

file an application with that accrediting entity in accordance with subpart D of this part.

(f) Nothing in this section shall be construed to prevent an accrediting entity from withdrawing an adverse 

action if it concludes that the action was based on a mistake of fact or was otherwise in error. Upon taking 

such action, the accrediting entity will take appropriate steps to notify the Secretary and the Secretary will 

take appropriate steps to notify the Permanent Bureau of the Hague Conference on Private International 

Law.

§ 96.79 Administrative or judicial review of adverse action by the accrediting entity.

(a) Except to the extent provided by the procedures in § 96.78, an adverse action by an accrediting entity 

shall not be subject to administrative review.

(b) Section 202(c)(3) of the IAA (42 U.S.C. 14922(c)(3)) provides for judicial review in Federal court of 

adverse actions by an accrediting entity, regardless of whether the entity is described in § 96.5(a) or (b). 

When any petition brought under section 202(c)(3) raises as an issue whether the deficiencies 

necessitating the adverse action have been corrected, the procedures maintained by the accrediting 

entity pursuant to § 96.78 must first be exhausted. Adverse actions are only those actions listed in § 

96.75. There is no judicial review of an accrediting entity's decision to deny accreditation or approval, 

including:

(1) A denial of an initial application;

(2) A denial of an application made after cancellation or refusal to renew by the accrediting entity; and

(3) A denial of an application made after cancellation or debarment by the Secretary.

(c) In accordance with section 202(c)(3) of the IAA (42 U.S.C. 14922(c)(3)), an accredited agency or 

approved person that is the subject of an adverse action by an accrediting entity may petition the United 

States district court in the judicial district in which the agency is located or the person resides to set aside 

the adverse action imposed by the accrediting entity. The United States district court shall review the 

adverse action in accordance with 5 U.S.C. 706. When an accredited agency or approved person 

petitions a United States district court to review the adverse action of an accrediting entity, the accrediting 

entity will be considered an agency as defined in 5 U.S.C. 701 for the purpose of judicial review of the 

adverse action.

§ 96.80 [Reserved]
66

Subpart L—Oversight of Accredited Agencies and Approved Persons by the Secretary

§ 96.81 Scope.

The provisions in this subpart establish the procedures governing adverse action by the Secretary against 

accredited agencies and approved persons. Temporary accreditation is governed by the provisions in 

subpart N of this part. Unless otherwise provided in subpart N of this part, the provisions in this subpart 

do not apply to temporarily accredited agencies.

§ 96.82 The Secretary's response to actions by the accrediting entity.

(a) There is no administrative review by the Secretary of an accrediting entity's decision to deny 

accreditation or approval, nor of any decision by an accrediting entity to take an adverse action.

(b) When informed by an accrediting entity that an agency has been accredited or a person has been 

approved, the Secretary will take appropriate steps to ensure that relevant information about the 

accredited agency or approved person is provided to the Permanent Bureau of the Hague Conference on 

Private International Law. When informed by an accrediting entity that it has taken an adverse action that 

impacts an agency's or person's accreditation or approval status, the Secretary will take appropriate steps 

to inform the Permanent Bureau of the Hague Conference on Private International Law.

§ 96.83 Suspension or cancellation of accreditation or approval by the Secretary.

(a) The Secretary must suspend or cancel the accreditation or approval granted by an accrediting entity 

when the Secretary finds, in the Secretary's discretion, that the agency or person is substantially out of 

compliance with the standards in subpart F of this part and that the accrediting entity has failed or 

refused, after consultation with the Secretary, to take action.

(b) The Secretary may suspend or cancel the accreditation or approval granted by an accrediting entity if 

the Secretary finds that such action:(1) Will protect the interests of children;(2) Will further U.S. foreign 

policy or national security interests; or(3) Will protect the ability of U.S. citizens to adopt children under the 

Convention.

(c) If the Secretary suspends or cancels the accreditation or approval of an agency or person, the 

Secretary will take appropriate steps to notify both the accrediting entity and the Permanent Bureau of the

Hague Conference on Private International Law.

§ 96.84 Reinstatement of accreditation or approval after suspension or cancellation by the 

Secretary.

(a) An agency or person may petition the Secretary for relief from the Secretary's suspension or 

cancellation of its accreditation or approval on the grounds that the deficiencies necessitating the 

suspension or cancellation have been corrected. If the Secretary is satisfied that the deficiencies that led 

to the suspension or cancellation have been corrected, the Secretary shall, in the case of a suspension, 
67

terminate the suspension or, in the case of a cancellation, notify the agency or person that it may reapply 

for accreditation or approval to the same accrediting entity that handled its prior application for 

accreditation or approval. If that accrediting entity is no longer providing accreditation or approval 

services, the agency or person may reapply to any accrediting entity with jurisdiction over its application. 

If the Secretary terminates a suspension or permits an agency or person to reapply for accreditation or 

approval, the Secretary will so notify the appropriate accrediting entity. If the Secretary terminates a 

suspension, the Secretary will also take appropriate steps to notify the Permanent Bureau of the Hague 

Conference on Private International Law of the reinstatement.

(b) Nothing in this section shall be construed to prevent the Secretary from withdrawing a cancellation or 

suspension if the Secretary concludes that the action was based on a mistake of fact or was otherwise in 

error. Upon taking such action, the Secretary will take appropriate steps to notify the accrediting entity 

and the Permanent Bureau of the Hague Conference on Private International Law.

§ 96.85 Temporary and permanent debarment by the Secretary.

(a) The Secretary may temporarily or permanently debar an agency from accreditation or a person from 

approval on the Secretary's own initiative, at the request of DHS, or at the request of an accrediting entity. 

A debarment of an accredited agency or approved person will automatically result in the cancellation of 

accreditation or approval by the Secretary, and the accrediting entity shall deny any pending request for 

renewal of accreditation or approval.

(b) The Secretary may issue a debarment order only if the Secretary, in the Secretary's discretion, 

determines that:

(1) There is substantial evidence that the agency or person is out of compliance with the standards in 

subpart F of this part; and

(2) There has been a pattern of serious, willful, or grossly negligent failures to comply, or other 

aggravating circumstances indicating that continued accreditation or approval would not be in the best 

interests of the children and families concerned. For purposes of this paragraph:

(i) “The children and families concerned” include any children and any families whose interests have been 

or may be affected by the agency's or person's actions;

(ii) A failure to comply with § 96.47 (home study requirements) shall constitute a “serious failure to 

comply” unless it is shown by clear and convincing evidence that such noncompliance had neither the 

purpose nor the effect of determining the outcome of a decision or proceeding by a court or other 

competent authority in the United States or the child's country of origin; and

(iii) Repeated serious, willful, or grossly negligent failures to comply with § 96.47 (home study 

requirements) by an agency or person after consultation between the Secretary and the accrediting entity 

with respect to previous noncompliance by such agency or person shall constitute a pattern of serious, 

willful, or grossly negligent failures to comply.
68

§ 96.86 Length of debarment period and reapplication after temporary debarment.

(a) In the case of a temporary debarment order, the order will take effect on the date specified in the order 

and will specify a date, not earlier than three years later, on or after which the agency or person may 

petition the Secretary for withdrawal of the temporary debarment. If the Secretary withdraws the 

temporary debarment, the agency or person may then reapply for accreditation or approval to the same 

accrediting entity that handled its prior application for accreditation or approval. If that accrediting entity is 

no longer providing accreditation or approval services, the agency or person may apply to any accrediting 

entity with jurisdiction over its application.

(b) In the case of a permanent debarment order, the order will take effect on the date specified in the 

order. The agency or person will not be permitted to apply again to an accrediting entity for accreditation 

or approval, or to the Secretary for termination of the debarment.

(c) Nothing in this section shall be construed to prevent the Secretary from withdrawing a debarment if the 

Secretary concludes that the action was based on a mistake of fact or was otherwise in error. Upon taking 

such action, the Secretary will take appropriate steps to notify the accrediting entity and the Permanent 

Bureau of the Hague Conference on Private International Law.

§ 96.87 Responsibilities of the accredited agency, approved person, and accrediting entity 

following suspension, cancellation, or debarment by the Secretary.

If the Secretary suspends or cancels the accreditation or approval of an agency or person, or debars an 

agency or person, the agency or person must cease to provide adoption services in all Convention 

casesintercountry adoption cases. In the case of suspension, it must consult with the accrediting entity 

about whether to transfer its Convention adoptionintercountry adoption cases and adoption records. In 

the case of cancellation or debarment, it must execute the plans required by §§ 96.33(e) and 96.42(d) 

under the oversight of the accrediting entity, and transfer its Convention adoptionintercountry adoption

cases and adoption records to other accredited agencies, approved persons, or a State archive, as 

appropriate. When the agency or person is unable to transfer such Convention casesintercountry 

adoption cases or adoption records in accordance with the plans or as otherwise agreed by the 

accrediting entity, the accrediting entity will so advise the Secretary who, with the assistance of the 

accrediting entity, will coordinate efforts to identify other accredited agencies or approved persons to 

assume responsibility for the cases, and to transfer the records to other accredited agencies or approved 

persons, or to public domestic authorities, as appropriate.

§ 96.88 Review of suspension, cancellation, or debarment by the Secretary.

(a) Except to the extent provided by the procedures in § 96.84, an adverse action by the Secretary shall 

not be subject to administrative review.

(b) Section 204(d) of the IAA (42 U.S.C. 14924(d)) provides for judicial review of final actions by the 

Secretary. When any petition brought under section 204(d) raises as an issue whether the deficiencies 
69

necessitating a suspension or cancellation of accreditation or approval have been corrected, procedures 

maintained by the Secretary pursuant to § 96.84(a) must first be exhausted. A suspension or cancellation 

of accreditation or approval, and a debarment (whether temporary or permanent) by the Secretary are 

final actions subject to judicial review. Other actions by the Secretary are not final actions and are not 

subject to judicial review.

(c) In accordance with section 204(d) of the IAA (42 U.S.C. 14924(d)), an agency or person that has been 

suspended, cancelled, or temporarily or permanently debarred by the Secretary may petition the United 

States District Court for the District of Columbia, or the United States district court in the judicial district in 

which the person resides or the agency is located, pursuant to 5 U.S.C. 706, to set aside the action.

§ 96.89 [Reserved]

Subpart M—Dissemination and Reporting of Information by Accrediting Entities

§ 96.90 Scope.

The provisions in this subpart govern the dissemination and reporting of information on accredited 

agencies and approved persons by accrediting entities. Temporary accreditation is governed by the 

provisions of subpart N of this part and, as provided for in § 96.110, reports on temporarily accredited 

agencies must comply with this subpart.

§ 96.91 Dissemination of information to the public about accreditation and approval status.

(a) Once the Convention has entered into force for the United States, tThe accrediting entity must 

maintain and make available to the public on a quarterly basis the following information:

(1) The name, address, and contact information for each agency and person it has accredited or 

approved;

(2) The names of agencies and persons to which it has denied accreditation or approval that have not 

subsequently been accredited or approved;

(3) The names of agencies and persons that have been subject to withdrawal of temporary accreditation, 

suspension, cancellation, refusal to renew accreditation or approval, or debarment by the accrediting 

entity or the Secretary; and

(4) Other information specifically authorized in writing by the accredited agency or approved person to be 

disclosed to the public.

(b) Once the Convention has entered into force for the United States, eEach accrediting entity must make 

the following information available to individual members of the public upon specific request:
70

(1) Confirmation of whether or not a specific agency or person has a pending application for accreditation 

or approval, and, if so, the date of the application and whether it is under active consideration or whether 

a decision on the application has been deferred; and

(2) If an agency or person has been subject to a withdrawal of temporary accreditation, suspension, 

cancellation, refusal to renew accreditation or approval, or debarment, a brief statement of the reasons for 

the action.

§ 96.92 Dissemination of information to the public about complaints against accredited 

agencies and approved persons.

Once the Convention has entered into force for the United States, eEach accrediting entity must maintain 

a written record documenting each complaint received and the steps taken in response to it. This 

information may be disclosed to the public as follows:

(a) The accrediting entity must verify, upon inquiry from a member of the public, whether there have been 

any substantiated complaints against an accredited agency or approved person, and if so, provide 

information about the status and nature of any such complaints.

(b) The accrediting entity must have procedures for disclosing information about complaints that are 

substantiated.

§ 96.93 Reports to the Secretary about accredited agencies and approved persons and their 

activities.

(a) The accrediting entity must make annual reports to the Secretary on the information it collects from 

accredited agencies and approved persons pursuant to § 96.43. The accrediting entity must make semiannual reports to the Secretary that summarize for the preceding six-month period the following 

information:

(1) The accreditation and approval status of applicants, accredited agencies, and approved persons;

(2) Any instances where it has denied accreditation or approval;

(3) Any adverse actions taken against an accredited agency or approved person and any withdrawals of 

temporary accreditation;

(4) All substantiated complaints against accredited agencies and approved persons and the impact of 

such complaints on their accreditation or approval status;

(5) The number, nature, and outcome of complaint investigations carried out by the accrediting entity as 

well as the shortest, longest, average, and median length of time expended to complete complaint 

investigations; and

(6) Any discernible patterns in complaints received about specific agencies or persons, as well as any 

discernible patterns of complaints in the aggregate.

(b) The accrediting entity must report to the Secretary within thirty days of the time it learns that an 

accredited agency or approved person:
71

(1) Has ceased to provide adoption services; or

(2) Has transferred its Convention casesintercountry adoption cases and adoption records.

(c) In addition to the reporting requirements contained in § 96.72, an accrediting entity must immediately 

notify the Secretary in writing:

(1) When it accredits an agency or approves a person;

(2) When it renews the accreditation or approval of an agency or person; or

(3) When it takes an adverse action against an accredited agency or approved person that impacts its 

accreditation or approval status or withdraws an agency's temporary accreditation.

§ 96.94 [Reserved]

Subpart N—Procedures and Standards Relating to Temporary Accreditation§ 96.95Scope.(a) The 

provisions in this subpart govern only temporary accreditation. The provisions in subpart F of this part 

cover full accreditation of agencies and approval of persons.(b) Agencies that meet the eligibility 

requirements established in this subpart may apply for temporary accreditation that will run for a one-or 

two-year period following the Convention's entry into force for the United States. Persons may not be 

temporarily approved. Temporary accreditation is only available to agencies that apply by the transitional 

application deadline and who complete the temporary accreditation process by the deadline for initial 

accreditation or approval in accordance with § 96.19.§ 96.96Eligibility requirements for temporary 

accreditation.(a) An accrediting entity may not temporarily accredit an agency unless the agency 

demonstrates to the satisfaction of the accrediting entity that:(1) It has provided adoption services in 

fewer than 100 intercountry adoption cases in the calendar year preceding the year in which the 

transitional application deadline falls. For purposes of this subpart, the number of cases includes all 

intercountry adoption cases that were handled by, or under the responsibility of, the agency, regardless of 

whether they involved countries party to the Convention;(2) It qualifies for nonprofit tax treatment under 

section 501(c)(3) of the Internal Revenue Code of 1986, as amended, or for nonprofit status under the 

law of any State;(3) It is properly licensed under State law to provide adoption services in at least one 

State. It is, and for the last three years prior to the transitional application deadline has been, providing 

intercountry adoption services;(4) It has the capacity to maintain and provide to the accrediting entity and 

the Secretary, within thirty days of request, all of the information relevant to the Secretary's reporting 

requirements under section 104 of the IAA (42 U.S.C. 14914); and(5) It has not been involved in any 

improper conduct related to the provision of intercountry adoption or other services, as evidenced in part 

by the following:(i) The agency has maintained its State license without suspension or cancellation for 

misconduct during the entire period in which it has provided intercountry adoption services;(ii) The agency 

has not been subject to a finding of fault or liability in any administrative or judicial action in the three 

years preceding the transitional application deadline; and(iii) The agency has not been the subject of any 
72

criminal findings of fraud or financial misconduct in the three years preceding the transitional application 

deadline.(b) An accrediting entity may not temporarily accredit an agency unless the agency also 

demonstrates to the satisfaction of the accrediting entity that it has a comprehensive plan for applying for 

and achieving full accreditation before the agency's temporary accreditation expires, and is taking steps 

to execute that plan.§ 96.97Application procedures for temporary accreditation.(a) An agency 

seeking temporary accreditation must submit an application to an accrediting entity with jurisdiction over 

its application, with the required fee(s), by the transitional application deadline established pursuant to § 

96.19 of this part. Applications for temporary accreditation that are filed after the temporary application 

deadline will not be considered.(b) An agency may not seek temporary accreditation and full accreditation 

at the same time. The agency's application must clearly state whether it is seeking temporary 

accreditation or full accreditation. An eligible agency's option of applying for temporary accreditation will 

be deemed to have been waived if the agency also submits a separate application for full accreditation 

prior to the transitional application deadline. The agency may apply to only one accrediting entity at a 

time.(c) The accrediting entity must establish and follow uniform application procedures and must make 

information about these procedures available to agencies that are considering whether to apply for 

temporary accreditation. The accrediting entity must evaluate the applicant for temporary accreditation in 

a timely fashion. The accrediting entity must use its best efforts to provide a reasonable opportunity for an 

agency that applies for temporary accreditation by the transitional application deadline to complete the 

temporary accreditation process by the deadline for initial accreditation or approval. If an agency seeks 

temporary accreditation under this subpart, it will be included on the initial list deposited by the Secretary 

with the Permanent Bureau of the Hague Conference on Private International Law only if it is granted 

temporary accreditation by the deadline for initial accreditation or approval established pursuant to § 

96.19(a).§ 96.98Length of temporary accreditation period.(a) One-year temporary accreditation. An 

agency that has provided adoption services in 50-99 intercountry adoptions in the calendar year 

preceding the year in which the transitional application date falls may apply for a one-year period of 

temporary accreditation. The one-year period will commence on the date that the Convention enters into 

force for the United States.(b) Two-year temporary accreditation. An agency that has provided adoption 

services in fewer than 50 intercountry adoptions in the calendar year preceding the year in which the 

transitional application date falls may apply for a two-year period of temporary accreditation. The two-year 

period will commence on the date that the Convention enters into force for the United States.§ 

96.99Converting an application for temporary accreditation to an application for full 

accreditation.(a) The accrediting entity may, in its discretion, permit an agency that has applied for 

temporary accreditation to convert its application to an application for full accreditation, subject to 

submission of any additional required documentation, information, and fee(s). The accrediting entity may 

grant a request for conversion if the accrediting entity has determined that the applicant is not in fact 

eligible for temporary accreditation based on the number of adoption cases it has handled; if the agency 

has concluded that it can complete the full accreditation process sooner than expected; or for any other 
73

reason that the accrediting entity deems appropriate.(b) If an application is converted after the transitional 

application deadline, it will be treated as an application filed after the transitional application deadline, and 

the agency may not necessarily be provided an opportunity to complete the accreditation process in time 

to be included on the initial list of accredited agencies and approved persons that the Secretary will 

deposit with the Permanent Bureau of the Hague Conference on Private International Law.§ 

96.100Procedures for evaluating applicants for temporary accreditation.(a) To evaluate an agency 

for temporary accreditation, the accrediting entity must:(1) Review the agency's written application and 

supporting documentation; and(2) Verify the information provided by the agency, as appropriate. The 

accrediting entity may also request additional documentation and information from the agency in support 

of the application as it deems necessary.(b) The accrediting entity may also decide, in its discretion, that it 

must conduct a site visit to determine whether to approve the application for temporary accreditation. The 

site visit may include interviews with birth parents, adoptive parent(s), prospective adoptive parent(s), and 

adult adoptee(s) served by the agency, interviews with the agency's employees, and interviews with other 

individual(s) knowledgeable about its provision of adoption services. It may also include a review of onsite documents. The accrediting entity must, to the extent possible, advise the agency in advance of 

documents it wishes to review during the site visit. The provisions of §§ 96.25 and 96.26 will govern 

requests for and use of information.(c) Before deciding whether to grant temporary accreditation to the 

agency, the accrediting entity may, in its discretion, advise the agency of any deficiencies that may hinder 

or prevent its temporary accreditation and defer a decision to allow the agency to correct the 

deficiencies.(d) The accrediting entity may only use the criteria contained in § 96.96 when determining 

whether an agency is eligible for temporary accreditation.(e) The eligibility criteria contained in § 96.96 

and the standards contained in § 96.104 do not eliminate the need for an agency to comply fully with the 

laws of the jurisdictions in which it operates. An agency must provide adoption services in Convention 

cases consistent with the laws of any State in which it operates and with the Convention, the IAA, .§ 

96.101Notification of temporary accreditation decisions.(a) The accrediting entity must notify 

agencies of its temporary accreditation decisions on the uniform notification date to be established by the 

Secretary pursuant to § 96.58(a). On that date, the accrediting entity must inform each applicant and the 

Secretary in writing whether the agency has been granted temporary accreditation. The accrediting entity 

may not provide any information about its temporary accreditation decisions to any agency or to the 

public until the uniform notification date. If the Secretary requests information on the interim or final status 

of an agency prior to the uniform notification date, the accrediting entity must provide such information to 

the Secretary.(b) Notwithstanding paragraph (a) of this section, the accrediting entity may, in its 

discretion, communicate with agencies about the status of their pending applications for temporary 

accreditation for the sole purpose of affording them an opportunity to correct deficiencies that may hinder 

their temporary accreditation. When informed by an accrediting entity that an agency has been 

temporarily accredited, the Secretary will take appropriate steps to ensure that relevant information about 

a temporarily accredited agency is provided to the Permanent Bureau of the Hague Conference on 
74

Private International Law.§ 96.102Review of temporary accreditation decisions.There is no 

administrative or judicial review of an accrediting entity's decision to deny temporary accreditation.§ 

96.103Oversight by accrediting entities.(a) The accrediting entity must oversee an agency that it has 

temporarily accredited by monitoring whether the agency is in substantial compliance with the standards 

contained in § 96.104 and through the process of assessing the agency's application for full accreditation 

when it is filed. The accrediting entity must also investigate any complaints or other information that 

becomes available to it about an agency it has temporarily accredited. Complaints against a temporarily 

accredited agency must be handled in accordance with subpart J of this part. For purposes of subpart J of 

this part, the temporarily accredited agency will be treated as if it were a fully accredited agency, except 

that:(1) The relevant standards will be those contained in § 96.104 rather than those contained in subpart 

F of this part; and(2) Enforcement action against the agency will be taken in accordance with § 96.105 

and § 96.107 rather than in accordance with subpart K of this part.(b) The accrediting entity may 

determine, in its discretion, that it must conduct a site visit to investigate a complaint or other information 

or otherwise monitor the agency.(c) The accrediting entity may consider any information that becomes 

available to it about the compliance of the agency. The provisions of §§ 96.25 and 96.26 govern requests 

for and use of information.§ 96.104Performance standards for temporary accreditation.The 

accrediting entity may not maintain an agency's temporary accreditation unless the agency demonstrates 

to the satisfaction of the accrediting entity that it is in substantial compliance with the following 

standards:(a) The agency follows applicable licensing and regulatory requirements in all jurisdictions in 

which it provides adoption services;(b) It does not engage in any improper conduct related to the 

provision of intercountry adoption services, as evidenced in part by the following:(1) It maintains its State 

license without suspension or cancellation for misconduct;(2) It is not subject to a finding of fault or liability 

in any administrative or judicial action; and(3) It is not the subject of any criminal findings of fraud or 

financial misconduct;(c) It adheres to the standards in § 96.36 prohibiting child buying;(d) It adheres to the 

standards for responding to complaints in accordance with § 96.41;(e) It adheres to the standards on 

adoption records and information relating to Convention cases in accordance with § 96.42;(f) It adheres to 

the standards on providing data to the accrediting entity in accordance with § 96.43;(g) When acting as 

the primary provider in a Convention adoption it complies with the standards in §§ 96.44 and 96.45 when 

using supervised providers in the United States and it complies with the standards in §§ 96.44 and 96.46 

when using supervised providers or, to the extent permitted by § 96.14(c), other foreign providers in a 

Convention country;(h) When performing or approving a home study in an incoming Convention case, it 

complies with the standards in § 96.47;(i) When performing or approving a child background study or 

obtaining consents in an outgoing Convention case, it complies with the standards in § 96.53;(j) When 

performing Convention functions in incoming or outgoing cases, it complies with the standards in § 96.52 

or § 96.55;(k) It has a plan to transfer its Convention cases and adoption records if it ceases to provide or 

is no longer permitted to provide adoption services in Convention cases. The plan includes provisions for 

an organized closure and reimbursement to clients of funds paid for services not yet rendered;(l) It is 
75

making continual progress toward completing the process of obtaining full accreditation by the time its 

temporary accreditation expires; and(m) It 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.§ 96.105Adverse action against a 

temporarily accredited agency by an accrediting entity.(a) If the accrediting entity determines that an 

agency it has temporarily accredited is substantially out of compliance with the standards in § 96.104, it 

may, in its discretion, withdraw the agency's temporary accreditation.(b) The accrediting entity must notify 

the agency in writing of any decision to withdraw the agency's temporary accreditation. The written notice 

must identify the deficiencies necessitating the withdrawal. Before withdrawing the agency's temporary 

accreditation, the accrediting entity may, in its discretion, advise a temporarily accredited agency in 

writing of any deficiencies in its performance that may warrant withdrawal and provide it with an 

opportunity to demonstrate that withdrawal would be unwarranted before withdrawal occurs. If the 

accrediting entity withdraws the agency's temporary accreditation without such prior notice, it must 

provide a similar opportunity to demonstrate that the withdrawal was unwarranted after the withdrawal 

occurs, and may reinstate the agency's temporary accreditation based on the information provided.(c) 

The provisions of §§ 96.25 and 96.26 govern requests for and use of information.(d) The accrediting 

entity must notify the Secretary, in accordance with procedures established in its agreement with the 

Secretary, when it withdraws or reinstates an agency's temporary accreditation. The accrediting entity 

must also notify the relevant State licensing authority as provided in the agreement.§ 96.106Review of 

the withdrawal of temporary accreditation by an accrediting entity.(a) A decision by an accrediting 

entity to withdraw an agency's temporary accreditation shall not be subject to administrative review.(b) 

Withdrawal of temporary accreditation is analogous to cancellation of accreditation and is therefore an 

adverse action pursuant to § 96.75. In accordance with section 202(c)(3) of the IAA (42 U.S.C. 

14922(c)(3)), a temporarily accredited agency that is the subject of an adverse action by an accrediting 

entity may petition the United States district court in the judicial district in which the agency is located to 

set aside the adverse action imposed by the accrediting entity. The United States district court shall 

review the adverse action in accordance with 5 U.S.C. 706. When a temporarily accredited agency 

petitions a United States district court to review the adverse action of an accrediting entity, the accrediting 

entity will be considered an agency as defined in 5 U.S.C. 701 for the purpose of judicial review of the 

adverse action.§ 96.107Adverse action against a temporarily accredited agency by the Secretary.(a) 

The Secretary may, in the Secretary's discretion, withdraw an agency's temporary accreditation if the 

Secretary finds that the agency is substantially out of compliance with the standards in § 96.104 and the 

accrediting entity has failed or refused, after consultation with the Secretary, to take appropriate 

enforcement action.(b) The Secretary may also withdraw an agency's temporary accreditation if the 

Secretary finds that such action;(1) Will protect the interests of children;(2) Will further U.S. foreign policy 

or national security interests; or(3) Will protect the ability of U.S. citizens to adopt children under the 

Convention.(c) If the Secretary withdraws an agency's temporary accreditation, the Secretary will notify 
76

the accrediting entity.§ 96.108Review of the withdrawal of temporary accreditation by the 

Secretary.(a) There is no administrative review of a decision by the Secretary to withdraw an agency's 

temporary accreditation.(b) Section 204(d) of the IAA (42 U.S.C. 14924(d)) provides for judicial review of 

final actions by the Secretary. Withdrawal of temporary accreditation, which is analogous to cancellation 

of accreditation, is a final action subject to judicial review.(c) An agency whose temporary accreditation 

has been withdrawn by the Secretary may petition the United States District Court for the District of 

Columbia, or the United States district court in the judicial district in which the agency is located, to set 

aside the action pursuant to section 204(d) of the IAA (42 U.S.C. 14924(d)).§ 96.109Effect of the 

withdrawal of temporary accreditation by the accrediting entity or the Secretary.(a) If an agency's 

temporary accreditation is withdrawn, it must cease to provide adoption services in all Convention cases 

and must execute the plan required by § 96.104(k) under the oversight of the accrediting entity, and 

transfer its Convention adoption cases and adoption records to an accredited agency, approved person, 

or a State archive, as appropriate.(b) Where the agency is unable to transfer such Convention cases or 

adoption records in accordance with the plan or as otherwise agreed by the accrediting entity, the 

accrediting entity will so advise the Secretary who, with the assistance of the accrediting entity, will 

coordinate efforts to identify other accredited agencies or approved persons to assume responsibility for 

the cases, and to transfer the records to other accredited agencies or approved persons, or to public 

domestic authorities, as appropriate.(c) When an agency's temporary accreditation is withdrawn or 

reinstated, the Secretary will, where appropriate, take steps to inform the Permanent Bureau of the 

Hague Conference on Private International Law.(d) An agency whose temporary accreditation has been 

withdrawn may continue to seek full accreditation or may withdraw its pending application and apply for 

full accreditation at a later time. Its application for full accreditation must be made to the same accrediting 

entity that granted its application for temporary accreditation. If that entity is no longer providing 

accreditation services, it may apply to any accrediting entity with jurisdiction over its application.(e) If an 

agency continues to pursue its application for full accreditation or subsequently applies for full 

accreditation, the accrediting entity may take the circumstances of the withdrawal of its temporary 

accreditation into account when evaluating the agency for full accreditation.§ 96.110Dissemination and 

reporting of information about temporarily accredited agencies.The accrediting entity must 

disseminate and report information about agencies it has temporarily accredited as if they were fully 

accredited agencies, in accordance with subpart M of this part.§ 96.111Fees charged for temporary 

accreditation.(a) Any fees charged by an accrediting entity for temporary accreditation will include a nonrefundable fee for temporary accreditation set forth in a schedule of fees approved by the Secretary as 

provided in § 96.8(a). Such fees may not exceed the costs of temporary accreditation and must include 

the costs of all activities associated with the temporary accreditation cycle (including, but not limited to, 

costs for completing the temporary accreditation process, complaint review and investigation, routine 

oversight and enforcement, and other data collection and reporting activities). The temporary 

accreditation fee may not include the costs of site visit(s). The schedule of fees may provide, however, 
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that, in the event that a site visit is required to determine whether to approve an application for temporary 

accreditation, to investigate a complaint or other information, or otherwise to monitor the agency, the 

accrediting entity may assess additional fees for actual costs incurred for travel and maintenance of 

evaluators and for any additional administrative costs to the accrediting entity. In such a case, the 

accrediting entity may estimate the additional fees and may require that the estimated amount be paid in 

advance, subject to a refund of any overcharge. Temporary accreditation may be denied or withdrawn if 

the estimated fees are not paid.(b) An accrediting entity must make its schedule of fees available to the 

public, including prospective applicants for temporary accreditation, upon request. At the time of 

application, the accrediting entity must specify the fees to be charged in a contract between the parties 

and must provide notice to the applicant that no portion of the fee will be refunded if the applicant fails to 

become temporarily accredited.