[Federal Register Volume 61, Number 117 (Monday, June 17, 1996)]
[Notices]
[Pages 30655-30656]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15406]



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DEPARTMENT OF STATE

Bureau of Inter-American Affairs
[Public Notice 2403]


Guidelines Implementing Title IV of the Cuban Liberty and 
Democratic Solidarity Act

AGENCY: Bureau of Inter-American Affairs.

ACTION: Notice.

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SUMMARY: Title IV, section 401(a), of the Cuban Liberty and Democratic 
Solidarity (LIBERTAD) Act of 1996 (``Act''), 22 U.S.C. 6021 et seq., 
also known as the Helms-Burton Act, provides that the ``Secretary of 
State shall deny a visa to, and the Attorney General shall exclude from 
the United States, any alien who the Secretary of State determines is a 
person who, after the date of the enactment of this act--
    (1) Has confiscated, or has directed or overseen the confiscation 
of, property [in Cuba] a claim to which is owned by a United States 
national, or converts or has converted for personal gain confiscated 
property, a claim to which is owned by a United States national;
    (2) Traffics in confiscated property, a claim to which is owned by 
a United States national;
    (3) Is a corporate officer, principal, or shareholder with a 
controlling interest of an entity which has been involved in the 
confiscation of property or trafficking in confiscated property, a 
claim to which is owned by a United States national; or
    (4) Is a spouse, minor child, or agent of a person excludable under 
paragraph (1), (2), or (3).'' 22 U.S.C. 6091(a).
    The following guidelines will be used by the Department of State 
for the purpose of implementing Title IV of the act.

EFFECTIVE DATE: This notice is effective on June 17, 1996.

FOR FURTHER INFORMATION CONTACT:
Director, Office of Cuban Affairs, Bureau of Inter-American Affairs, 
Department of State, 2201 C Street, NW, Washington, D.C. 20520, 202-
647-7505.

SUPPLEMENTARY INFORMATION:

Department of State Guidelines for Implementation of Title IV of the 
LIBERTAD Act

    1. Purpose and Authority. These guidelines will be used by the 
Department of State (``Department'') for the purpose of implementing 
Title IV of the Cuban Liberty and Democratic Solidarity Act of 1996, 
P.L. 104-114, 22 U.S.C. Sec. 6021 et seq., also known as the Libertad 
Act or Helms-Burton Act (``Act''), and other applicable legislation as 
appropriate.
    2. Delegation of Authority. The Secretary of State has delegated 
authority to the Assistant Secretary of State for Inter-American 
Affairs to make determinations of excludability and visa ineligibility 
under section 401(a) of the Act.
    3. Point of Contact. The Office of Cuban Affairs in the Bureau of 
Inter-American Affairs at the Department is the central point of 
contact for all inquiries about implementation of Title IV of the Act. 
The Office may be contacted in Room No. 3244, U.S. Department of State, 
Washington, DC 20520; telephone number 202-647-7505.
    4. Collection of Information--a. As resources permit, the 
Department may collect information from available sources on whether 
property in Cuba owned by a U.S. national has been confiscated or 
whether trafficking in such property confiscated from a U.S. national 
has occurred.
    b. If the Department has information indicating that certain 
property may have been confiscated or subject to trafficking, it may 
request the Foreign Claims Settlement Commission (FCSC) to inform it 
whether the property in question was the subject of an FCSC-certified 
claim. the Department may also obtain information from the FCSC and 
other available sources about the current ownership of an FCSC-
certified claim, including whether it is owned by a U.S. national.
    c. For non-certified claims, the Department may request claimants 
to provide additional information related to ownership and confiscation 
of, or trafficking in, the property concerned.
    d. The department will consult as appropriate with other agencies 
of the U.S. government and other sources regarding the identify of 
principals, officers, and controlling shareholders, and their agents, 
spouses, and minor children, or entities that may have confiscated 
property owned by a U.S. national or trafficked in such property.
    5. Determinations of excludability and Ineligibility. 
Determinations of ineligibility and excludability under Title IV will 
be made when facts or circumstances exist that would lead the 
Department reasonably to conclude that a person has engaged in 
confiscation or trafficking after March 12, 1996.
    6. Prior Notification.--a. An alien who may be the subject of a 
determination under Title IV will be sent notification by registered 
mail that his/her name will be entered in the visa lookout system and 
port of entry exclusion system, and that he/she will be denied a visa 
upon application or have his/her visa revoked, 45 days after the date 
of the notification letter. the alien will be informed that divesting 
from a ``trafficking'' arrangement would avert the exclusion. the 
Department may inform the government of the alien's country of 
nationality in confidence through diplomatic channels of the name of 
any corporation or other entity related to this action.
    b. If no information is received within the 45 day period above 
that leads the Department reasonably to conclude (i) that the alien or 
company involved has not engaged in trafficking or is no longer doing 
so, or (ii) that an exception to trafficking under section 401(b)(2)(B) 
applies, the Department will notify consular officers and the 
Immigration and Naturalization Service (``INS'') of a determination by 
entering the alien's name, including the names of the alien's agents, 
spouse and minor children, if applicable, in the appropriate lookout 
system, and a visa application from the named alien will be denied or a 
visa revoked in accordance with the law. Entry of the named alien into 
the appropriate lookout systems will be the exclusive means by which 
consular officers and the INS will verify that the alien has been 
determined to be excludable under section 401 of the Act.
    7. Exemptions. The Department may grant an exemption for diplomatic 
and consular personnel of foreign governments, and representatives to 
and officials of international organizations. An alien may request from 
the Department an exemption for medical reasons or for purposes of 
litigation of an action under Title III of the Act to the extent 
permitted under section 401(c) of the Act. The Department will notify 
Department consular officers and the INS through appropriate channels 
of the decision to grant an exemption to a person otherwise excludable 
under Title IV of the Act. The Department may impose appropriate 
conditions on any exemption granted.
    8. Review of Determinations. The Department may review a 
determination made under Title IV at any time, as appropriate, upon the 
receipt of

[[Page 30656]]

information indicating that the determination was in error, that a 
person has ended all involvement with confiscated U.S. property in 
Cuba, that an exception applies under section 401(b)(2)(B), or that an 
exemption should be granted under section 401(c).
    9. Definitions.--a. ``Agent'' means a person who acts on behalf of 
a corporate officer, principal, or shareholder with a controlling 
interest to carry out or facilitate acts or policies that result in a 
determination under section 401(a) of the Act.
    b. ``Confiscate'' means the same as the term defined in section 
401(b)(1) of the Act.
    c. ``Corporate officer'' means the president, chief executive 
officer, principal financial officer, principal accounting officer (or, 
if there is not accounting officer, the controller), any vice president 
of the entity in charge of a principal business unit, division or 
function (such as sales, administration or finance), or any other 
officer or person who performs policy-making functions for the entity. 
Corporate officers of a parent or subsidiary of the entity may be 
deemed corporate officers of the entity if they perform policy-making 
functions for the entity. (This definition is derived from, and will in 
general be applied consistent with, the definition of ``officer'' in 17 
CFR Sec. 240.16a-1(f)).
    d. ``Minor child'' means a person who is under 18 years of age and 
who is a child as defined in 8 U.S.C. Sec. 1101(b)(1).
    e. ``Person'' means the same as the term defined in section 4(11) 
of the Act.
    f. ``Principal'' means: (i) When the entity is a general 
partnership, any general partner and any officer or employee of the 
general partnership who performs a policy-making function for the 
partnership, (ii) when the entity is a limited partnership, any general 
partner and any officer or employee of a general partner of the limited 
partnership who performs a policy-making function for the limited 
partnership, (iii) when the entity is a trust, any trustee and any 
officer or employee of the trustee who performs a policy-making 
function for the trust, and (iv) any other person who performs similar 
policy-making functions for the entity. (This definition is derived 
from, and will in general be applied consistent with, the definition of 
``officer'' in 17 CFR Sec. 240.16a-1(f).)
    g. ``Shareholder with a controlling interest'' means a person 
possessing the power, directly or indirectly, to direct or cause the 
direction of the management and policies of the entity through the 
ownership of voting securities. (This definition is derived from, and 
will in general be applied consistent with, the definition of 
``control'' in 17 CFR Sec. 230.405.)
    h. ``Traffics'' means the same as the term defined in section 
401(b)(2) of the Act.
    i. ``Transactions and uses of property incident to lawful travel in 
Cuba'' are such incidental transactions and uses of confiscated 
property as are necessary to the conduct of lawful travel to Cuba.
    10. Persons with Business Dealings with Persons Subject to a 
Determination. It is not sufficient in itself for a determination under 
section 401(a) that a person has merely had business dealings with a 
person for whom a determination is made under section 401(a).
    11. Confidentiality of Records. Department records pertaining to 
the issuance or denial of a visa under section 401(a), including 
records related to the determination of ineligibility or excludability, 
are confidential consistent with section 222(f) of the Immigration and 
Nationality Act, 8 U.S.C. 1202(f).
    12. No Right of Action. Nothing in these guidelines will create any 
right or benefit, substantive or procedural, enforceable by a party 
against the United States, its agencies or instrumentalities, its 
officers or its employees, or any other person.
    13. Publication and Revision of these Guidelines. These guidelines 
will be published in the Federal Register, and will become effective 
upon publication. Revisions may be made as appropriate and published in 
the Federal Register.

    Dated: June 12, 1996.
Jeffrey Davidow,
Acting Assistant Secretary of State for Inter-American Affairs, 
Department of State.
[FR Doc. 96-15406 Filed 6-14-96; 8:45 am]
BILLING CODE 4710-29-M