UNCLASSIFIED (U)

9 FAM 502.6

(U) Diversity Immigrant Visas

(CT:VISA-1907;   02-09-2024)
(Office of Origin:  CA/VO)

9 fam 502.6-1  (U) Related statutory and regulatory Authorities

9 FAM 502.6-1(A)  (U) Immigration and Nationality Act

(CT:VISA-1476;   02-18-2022)

(U) INA 202(b) (8 U.S.C. 1152(b)); INA 203 (8 U.S.C. 1153); INA 204(a)(1)(I) (8 U.S.C. 1154(a)(1)(I)); INA 212(a)(6)(C) (8 U.S.C. 1182(a)(6)(C)); INA 212(e) (8 U.S.C. 1182(e)); INA 213(a) (8 U.S.C. 1183(a)); INA 221(g) (8 U.S.C. 1201(g)).

9 FAM 502.6-1(B)  (U) Code of Federal Regulations

(CT:VISA-1;   11-18-2015)

(U) 22 CFR 40.205; 22 CFR 42.33.

9 FAM 502.6-1(C)  (U) Public Law

(CT:VISA-1907;   02-09-2024)

(U) Section 131 of the Immigration Act of 1990 (Public Law 101-649); the Nicaraguan Adjustment and Central American Relief Act (NACARA - Public Law 105-100), as amended; Section 1 of Public Law 105-360; Section 636 of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (Public Law 104-208); the Assistance for International Malaria Control Act (Public Law 106-570); USA PATRIOT Act (Public Law 107-56); Section 5104 of the National Defense Authorization Act for Fiscal Year 2024 (Public Law 118-31).

9 FAM 502.6-2  (U) Diversity Immigrants Overview

(CT:VISA-1907;   02-09-2024)

a. (U) Section 131 of the Immigration Act of 1990 (Public Law 101-649) amended INA 203 to provide for a new class of immigrants known as “diversity immigrants” (DV immigrants).  The amendment established an annual numerical limitation of 55,000 DV immigrants effective for fiscal year 1995 and thereafter.  Individuals who are natives of countries determined by the Secretary of Homeland Security through application of a mathematical formula specified in INA 203(c)(1)(A) to be “low admission” countries may qualify for immigration under this limitation.  INA 203(c)(1) requires a separate entry for each participating entrant for each fiscal year.

b. (U) INA 203(c)(1)(A) requires the Secretary of Homeland Security to determine the actual number of immigrant admissions from each foreign country for the previous five years.  The formula identifies both high and low admission regions and high and low admission foreign states.  A greater share of the available visa numbers goes to low admission regions.  High admission states are excluded from the program.

c.  (U) In November 1997, Congress passed Public Law 105-100, the Nicaraguan Adjustment and Central American Relief Act (NACARA). With NACARA, Congress stipulated that beginning with the 1999 Diversity Immigrant Visa Program, and as long as necessary, up to 5,000 of the 55,000 annually allocated diversity visas can be made available for use under the NACARA program.

d. (U) Section 5104 of the National Defense Authorization Act (NDAA) for Fiscal Year 2024 (Pub. Law No. 118-31) amended the NACARA to provide that visas made available under the NDAA to certain U.S. Government employees abroad and their spouses and children (up to 3,500 visas in Fiscal Year 2024 and up to 3,000 visas in each fiscal year thereafter) will be deducted from the number of diversity visas available in the following fiscal year.  The amendments made by the NDAA will impact the number of diversity visas beginning with FY 2025.

e. (U) Classifications: 22 CFR 42.11 identifies the following classification symbols for DVs in accordance with INA 201(b):

9 FAM 502.6-3  (U) Diversity Visa Eligibility

(CT:VISA-1896;   01-26-2024)

a. (U) Requirements for the DV Program:  To qualify under INA 203(c) as a diversity immigrant, the following requirements must be met:

(1)  (U) Must be a native of, or be chargeable to, a country eligible for that year's DV program (see 9 FAM 502.6-3 paragraph b below); and

(2)  (U) Must have at least a high school education or equivalent (see 9 FAM 502.6-3 paragraph c below); or

(3)  (U) Must have, within five years of the date of application for a DV under INA 203(c), at least two years of work experience in an occupation that requires at least two years of training or experience (see 9 FAM 502.6-3 paragraph d below).

b. (U) Qualifying DV Countries

(1)  (U) Formula for Identifying Qualifying DV Countries:

(a)  (U) The Secretary of Homeland Security is required to determine total admissions of preference and immediate relative (IR) immigrants over the most recent five years for which statistics are available, worldwide total, by region, and by individual foreign state.  Using these figures, the Secretary of Homeland Security is to identify both high admission regions and high admission foreign states.  A high admissions region is a region whose admission total is greater than one-sixth of the worldwide total. A foreign state whose admissions total is greater than 50,000 is a high admission foreign state.

(b)  (U) Using available estimates, the Secretary of Homeland Security must then determine the population of each of the six regions (excluding the population of any high admission foreign state) and use those totals to determine the apportionment of the 55,000 worldwide DV limitations. Quotas for the six regions will be established.  Natives of these regions compete for that portion of the total established for that region. Any unused portion of a regional quota is distributed proportionally among the other regions.  High admission states are excluded entirely from the apportionment.  No one country’s nationals may receive more than 7% of the available visas in any one year.

(2)  (U) Qualifying Countries:  Natives of high admission countries are not eligible to register for the DV program unless they qualify based on chargeability to a DV program country.  DHS will determine annually the list of ineligible countries.  The list is subject to change annually.

(3)  (U) Native:  Native means a person born in a DV program country.  An individual may be able to participate in the DV program because of specific family ties or personal situations by "charging" to another country.  See 9 FAM 502.6-4 paragraph a(2) below for additional information on chargeability.

c.  (U) High School Education or Equivalent: 

(1)  (U) You must adjudicate the DV applicant’s qualifications under this requirement.  This information is not needed to enter the DV program or apply for a visa under the DV program, but the applicant must meet this requirement by the end of the fiscal year in which selected.  If the applicant does not meet the requirement at the visa interview, you should refuse the case under INA 203(c).  If the applicant presents evidence of completion of high school before the end of the fiscal year, and visas are still available for the region, you may overcome the refusal.

(2)  (U) “At Least a High School Education or its Equivalent” Means Successful Completion of at least a:

(a)  (U) Twelve-year course of elementary and secondary study in the United States; or

(b)  (U) Formal course of elementary and secondary education in another country that is comparable to completion of 12 years of elementary and secondary education in the United States.  A United States high school education is sufficient to qualify a student to apply for college admission so a foreign education should also be sufficient to allow a student to apply for college admission without further education to be equivalent to a United States education.  Vocational degrees that are not a basis for further academic study are not equivalent to United States high school education.

(3)  (U) Education Requirements: “At least a high school education or its equivalent” in this context applies only to formal courses of study. Equivalency certificates (such as the G.E.D.) are not acceptable.  To qualify, an applicant must have completed a 12-year course of elementary and secondary education in the United States or a comparable course of study in another country.  Evidence might consist of a certificate of completion equivalent to a United States diploma, school transcripts, or other evidence issued by the person or organization responsible for maintaining such records, which specify the completed course of study.

(4)  (U) Education Evaluation:  The burden of proving that an applicant's education is equivalent to a high school degree is entirely on the applicant.  If the applicant does not satisfy you that the applicant's education is equivalent to a high school degree, but you believe additional evidence could meet the applicant's burden, the appropriate basis for refusal is INA 221(g).  You may request the applicant to provide additional information.  If the applicant is unable to credibly prove the education equivalency requirement to your satisfaction, the appropriate basis for refusal is INA 203(c).

d. (U) Work Experience:

(1)  (U) No Labor Certification:  The labor certification requirement of INA 212(a)(5) does not apply to applicants applying as DV immigrants. However, applicants who do not meet the education requirement must meet the work experience requirement of two years of experience in an occupation which requires at least two years training or experience within the five years immediately before visa application or be able to meet the requirement before the end of the fiscal year in which the applicant was selected.  If the applicant does not meet this requirement at the interview, then the applicant is not eligible as a DV immigrant under INA 203(c)(2).  Accordingly, the proper basis for refusing the case is under INA 203(c). If the requirement is met before the end of the fiscal year and visas are still available for the region, you may overcome the refusal.

(a)  (U) You must be satisfied that the applicant has met the work experience requirement.  If you are not satisfied that the applicant has met the work experience requirement, but you believe the applicant may be able to provide additional evidence that would satisfy the applicant's burden, INA 221(g) is the appropriate ground for refusal.  You may request that the applicant provide evidence that addresses this requirement; for example, letters from trainers or employers giving the name, address, and title of the trainer or employer, as well as a description of the training received or experience of the applicant; resumes; or examples of previous work product. 

(b)  (U) If the applicant is unable to credibly prove the work experience requirement to your satisfaction, the appropriate basis of refusal is INA 203(c).

(2)  (U) Work Experience Evaluation:  To evaluate an applicant's work experience, you must use the Department of Labor’s O*Net OnLine database to determine qualifying work experience (see paragraph (3) below.)  All applicants qualifying for a DV based on their work experience must, within the five years preceding the date of their visa application, have two years of experience in an occupation that is classified in a Specific Vocational Preparation (SVP) range of 7.0 or higher.

(3)  (U) Using O*Net Online to Determine Work Experience:

(a)  (U) Instructions for Determining the Applicant's Specific Vocational Preparation (SVP) Rating:

(i)     (U) Log on to the Department of Labor’s O*Net OnLine website;

(ii)    (U) Click on the “Find Occupations” link;

(iii)    (U) On the “Find Occupations” screen, enter occupational title, such as, “mason, “painter,” “hairdresser,” etc., and click on the “Go” button.  A search results page appears with a list of various occupation titles that relate to whatever job title was entered. Click on the link in the “Occupation” column for the title that seems appropriate for the DV applicant's job experience;

(iv)   (U) A brief description for the job title will appear followed by more detailed data covering the following areas: tasks, knowledge, skills, abilities, work activities, work context, job zone, interests, work values, related occupations, and wages and employment.

(b)  (U) What SVP Range Qualifies an Applicant's Job Experience for the DV Program?  The O*Net Online database groups job experience into five "job zones."  Zone 4 includes all occupations for which more than two years' experience on the job is required.  An occupation in Job Zone 4 has an SVP range of 7.0 to < 8.0 (7.0 to less than 8.0) and will qualify an applicant for the DV program.  Thus, all applicants qualifying for a DV based their work experience must, within the past five years, have two years of experience in an occupation that is classified in an SVP range of 7.0 or higher (i.e., an occupation in Job Zone 4).

e. (U) Principal Entrants Under Age 18:  Although there is no minimum age for submission of an entry, the requirement for a high school education or work experience will effectively disqualify most persons under age 18.

9 FAM 502.6-4  (U) Diversity Visa Processing

(CT:VISA-1896;   01-26-2024)

a. (U) Diversity Visa Chargeability, Numerical Control:

(1)  (U) DV Numerical Control:  The Department will have centralized control of the DV numerical limitation. See 9 FAM 503.4.

(2)  (U) DV Chargeability:  As stated in the regulatory definition, the normal rules of chargeability apply to INA 203(c) immigrants.  Many DV entrants may seek beneficial treatment from the rules of cross chargeability, as in the following examples:

(a)  (U) A spouse or child born in a country that is not among those for which DVs are available (a non-qualifying country) may use the principal entrant’s chargeability when they are accompanying or following-to-join;

(b)  (U) A child born within any foreign state in which neither parent was born nor was a resident when the child was born, may claim the birthplace of either parent;

(c)  (U) A principal entrant born in a non-qualifying country and the spouse who was born in a qualifying country may be issued DVs, if the relationship existed before submitting the entry.  In such instances, however, both applicants are principal applicants for cross-chargeability and must be issued visas and apply for admission to the United States simultaneously.

(d)  (U) A principal entrant born in a country that is among those for which DVs are available may derive a more favorable foreign state of chargeability from an accompanying spouse.  For example, a principal applicant from a DV eligible country from a high-admission region may claim a more favorable chargeability from a spouse, who is from a DV eligible country from a low-admission region, if the relationship was established before submitting the DV entry.  In such instances, however, both applicants are principal applicants for cross-chargeability and must be issued visas and apply for admission to the United States simultaneously.

(3)  Unavailable

b. (U) Diversity Visa Entries and Applications:

(1)  (U) Diversity Visa Entries – Overview:

(a)  (U) General Instructions for DV Entries:

(i)     (U) The regulatory requirements in 22 CFR 42.33(b) stipulate what information must be included on the DV electronic entry form (Form DS-5501), such as entrant's name; date and place of birth; spouse's and children's names, dates, and places of birth; photo requirements, etc.  Entrants may prepare and submit their own entries or have someone submit the entry for them.  The regulations at 22 CFR 42.33 include other requirements for the DV program.  The electronic entry form is the petition required by 22 CFR 42.33 and INA 204(a)(1)(I).

(ii)    (U) Each year, the Department establishes a period of at least 30 days in which individuals may register for the DV program, by submitting an entry for random selection which would make them eligible for further processing in the DV program. The Department publishes a Federal Register notice with the exact dates of the registration period. 

(b)  (U) Number of DV Entries:

(i)     (U) Only one entry by or for each person is allowed during each registration period per INA 204(a)(1)(I)(i).  Submission of more than one entry disqualifies the subject of the entry from selection.  Entrants may be disqualified at any time if more than one entry is discovered.  If the discovery is not made until the visa application is being adjudicated, the appropriate basis for refusal is INA 204(a)(1)(I)(i). 

(ii)    (U) Spouses, if both are qualified, may each submit one entry.  If either is selected, the other is entitled to seek derivative status. 

(c)  (U) Meeting DV Submission Requirements:  Entries appearing on their face to meet the requirements specified in 22 CFR 42.33(a)(1) and the petition requirements specified in 22 CFR 42.33(b)(1-2), and which are received during the period specified by the Department for the relevant fiscal year, will be eligible for random selection for further DV processing under INA 203(c).  Entries lacking the required information or photos should be rejected by the registration website or disqualified during processing by KCC or at post. 

(2)  (U) Submitting DV Entries: 

(a)  (U) Place of Registration:  To be accepted for DV selection, entries must be submitted electronically during the specified registration period at the Department’s designated website.

(b)  (U) Photos: 

(i)     (U) Photo specifications are detailed in the annual DV Bulletin and posted at the Department’s “travel.state.gov‟ website.  The Department will disqualify entries lacking the required photos or including invalid photos.  You must review the entry photo when adjudicating the visa application.  If you determine the entry photo does not meet specifications published in the program year’s DV Bulletin, you should refuse the case under INA 204(a)(1)(I)(iii). If you determine that the photo on the entry is not that of the applicant, you should refuse the case under INA 204(a)(1)(I)(iii) and consider whether a refusal under INA 212(a)(6)(C)(i) is also appropriate (see 9 FAM 502.6-4 paragraph f(4)). 

(ii)    Unavailable

(iii)    Unavailable

(c)  (U) Derivatives:

(i)     (U) Except as specified in paragraph ii below, entries must include the name, photograph, date, and place of birth of the entrant's spouse and all natural children, as well as all legally adopted children and stepchildren, who are unmarried and under the age of 21 as of the date of the initial entry.  All derivatives must be included even if the entrant is no longer legally married to the child’s parent, and even if the spouse or child does not currently reside with the entrant and/or will not immigrate with such entrant.  Married children and children 21 years or older cannot qualify for the DV based on the parent's application.  Entries lacking all the required information may be disqualified at any time before selection, after selection, or during the visa application process. 

(ii)    (U) By regulation, entrants are not required to include spouses and children who are already U.S. citizens or LPRs on the entry.  A failure to include on the entry spouses and children who are in fact U.S. citizens or LPRs does not affect the validity of the entry and does not constitute grounds for visa denial. Including these derivatives should also not be considered derogatory.

(iii)    (U) You should deny the visa application of an applicant who failed to list on their DV program entry a spouse or child who was required to be listed.  The appropriate basis of refusal is INA 204(a)(1)(I)(iii).  This does not include a spouse or child who is a U.S. citizen or LPR, or who was acquired after the submission of the DV entry.  The spouse of a principal applicant, if acquired after the initial DV entry and before the principal applicant's admission to the United States, or the child of a principal applicant, if the child was born after the DV program entry or is the child of a marriage which took place after the DV entry and before the principal applicant’s admission to the United States, although not named on the DV program entry (because the spouse/child relationship did not exist at the time), is entitled to derivative DV status.  Beginning with the DV2020 applications and thereafter, you should also deny the application of any applicant who included an individual on their DV entry form who was not a spouse or child when the form was submitted.  If you believe a case merits issuance despite apparent failure to comply with the DV entry instructions, you must request an AO from L/CA after refusing the case under INA 221(g).

(iv)   Unavailable

(d) (U) Passport Requirement:  Starting with entrants in DV2021 (opened for entry registration in October 2019), each DV entry was required to include the passport number, country or authority of issuance, and expiration date for the principal entrant’s valid, unexpired passport or be qualified for a passport exemption.  In February 2022, a federal district court vacated the regulation that provided the basis for this requirement.  If you encounter applicants from the DV2021 through DV2023 program years who did not list valid passport information on their DV program entry, had a change in the passport numbers provided between the time of DV entry and visa application, or there was a claimed exemption on the entry form, that information is no longer relevant to the applicant's eligibility.  If you have any questions concerning this issue, contact the L/CA DV policy portfolio holder. 

(3)  (U) Diversity Visa Application Validity:

(a)  (U) Under INA 204(a)(1)(I)(ii)(II), persons selected to participate in the DV program are entitled to apply for a visa only during the fiscal year for which the entry was submitted.  The DV entry (which serves as the petition required pursuant to INA 204(a)(1)(I)) is valid until midnight of the last day of the fiscal year for which the petition was submitted.  There is no carry-over of benefit into another fiscal year for persons who were not issued a visa during that period.  Follow-to-join derivative visa applicants may only be issued a diversity visa during that same fiscal year as the principal beneficiary.

(b)  (U) Death of Principal Entrant:  If the principal entrant dies, the derivative beneficiaries are no longer entitled to the DV classification, a diversity visa, or entry to the U.S. based on that diversity visa, as derivatives may not accompany or follow to join a deceased principal.  

c.  (U) KCC and DV Ranking:

(1)  (U) KCC Role:

(a)  (U) Once selected, DV entries are processed at KCC.  The Department will maintain a computer-generated master list of selected entrants. The list is not publicly released. 

(b)  (U)  KCC will schedule interviews once  (1) the selectee has submitted a complete DS-260; (2) the designated post has made an appointment available; (3) KCC has completed its processing of the selectee’s case; and (4) the Visa Office has allocated a visa number to the selectee and, if any, the selectee’s derivatives, and the selectee’s case is the next case in the selection order.  On a monthly basis, posts provide KCC the number of available appointments.  In addition, if a selectee is already in the United States, the selectee may instead apply for an adjustment of status with USCIS in the United States.

(c) (U) KCC schedules cases that have completed steps (1)-(4) above using calendars created for each post in the Diversity Visa Information System (DVIS), which DVIS fills based on the random value number assigned during the lottery selection When a post provides or updates its capacity and schedule for DV interviews to KCC, KCC inputs the capacity and schedule by post into DVIS, which then fills those appointments.

(2)  (U) DV Selection and Ranking:

(a)  (U) Entries received during the designated registration period for the DV program will be separated into one of six geographic regions.  At the end of the registration period, a computer program will randomly assign ranked numbers to each eligible entry.  All entries successfully received during the registration period will have an equal chance of selection within the respective region.

(b)  (U) The selected entries for each region will have a rank order number consisting of two letters followed by eight digits, i.e., AF00000925.  Within each region, the first entry randomly selected will have a rank order number 00000001, the second entry selected will be 00000002, etc.  The letter codes are:

AF	Africa
AS	Asia
OC	Oceania
EU	Europe
NA	North America
SA	South America, Central America, and the Caribbean

(c)  (U) Each month, visa numbers will be allocated to applicants who are within the applicable rank cut-off for that month and have completed processing at KCC.

d. (U) Processing Diversity Visa Cases:

(1)  (U) Instruction Package for DV Applicants: 

(a)  (U) A DV entrant can only receive notification of their selection for additional processing by checking the Entrant Status Check on the E-DV website. The Department does not send notification by email, and there is no other way to obtain that information. Selectees will then be instructed to complete Form DS-260, Online Application for Immigrant Visa and Alien Registration.

(b)  (U) Each visa applicant must follow the electronic instructions and electronically submit Form DS-260 to KCC.  KCC will prescreen and flag for consular officers any apparent inconsistencies between the entry form (DS-5501) and the application form (Form DS-260) or updates to the application.  

(c)  Unavailable  

(2)  (U) IV Appointment Package:  Once KCC has scheduled an appointment in accordance with 9 FAM 502.6-4 paragraph c.(1)(b), KCC will notify scheduled applicants by e-mail that they should log into the Entrant Status Check website to obtain their appointment letters and further instructions.  When scheduled applicants log into the ESC, they will be referred to the pre-interview instructions on the Diversity Visa Process website.  On that website, applicants will be able to review post-specific instructions, and any additional required forms.

(3)  Unavailable

e. (U) Diversity Visa Fee:  There is no fee for submitting the initial entry for the DV program.  However, those entrants who are selected and apply for DVs will be required to pay a DV Program Fee at the time of interview.

(1)  (U) Collection of Fee:  Section 636 of Public Law 104-208, the Illegal Immigration Reform and Immigrant Responsibility Act of 1996, authorized the Department to collect a fee for the processing of DVs.  The DV Program Fee incorporates the standard IV processing fees, including the IV Application Fee and the IV Security Surcharge, and is specified in the Schedule of Fees for Consular Services.  Consular sections must collect the DV Program Fee at the time of the applicant’s formal interview and should not collect beforehand.

(2)  Unavailable

(3)  Unavailable

f.  (U) Diversity Visa Ineligibility Grounds:

(1)  (U) Applicants who establish that they qualify for DV classification are subject to all grounds of ineligibility specified in the Immigration and Nationality Act other than the labor certification requirements under INA 212(a)(5)(A).  There are no special provisions for a waiver of any ground of visa ineligibility other than those ordinarily provided in the INA.

(2)  (U) Refusals for Unqualified Applicants:  Any applicant for a DV who fails to establish that they possess the requisite qualifications, including a valid entry for participation in the DV program, is ineligible under one or both of the following sections of the INA:

(a)  (U) INA 203(c) for failing to fulfill the education and work experience requirement;

(b)  (U) INA 204(a)(1)(I), which is broken-down into three subsections: 

(i)     (U) INA 204(a)(1)(I)(i) provides that only one petition may be filed by an individual per fiscal year. If more than one petition is filed for an individual during the fiscal year, all such petitions shall be voided. Therefore, if more than one petition was submitted for a DV entrant during a single fiscal year, the entrant would not be eligible for a visa under section (i).

(ii)    (U) INA 204(a)(1)(I)(ii) provides that DV entrants selected may receive such visa only through the end of the specific fiscal year for which they were selected. Therefore, if a DV entrant cannot show they are eligible for a DV before the end of the fiscal year, they would not be eligible for a visa under section (ii).

(iii)    (U) INA 204(a)(1)(I)(iii):

        (A) (U) This section provides that a petition shall be in such form as the Secretary of State may by regulation prescribe and shall contain such information and be supported by such documentary evidence as the Secretary of State may require.  Therefore, failure to provide information or documentary evidence specified in 22 CFR 42.33 will render an applicant ineligible for a visa under section (iii).  The regulatory requirement in 22 CFR 42.33(b)(1)(viii) which previously required the principal DV entrant to provide information from their valid, unexpired passport, or claim an exemption, has been vacated and is no longer in effect. As a result, you may not refuse under INA 204(a)(1)(I)(iii) any petition in which the principal entrant does not include passport information, where an exemption is claimed, or where invalid passport information is provided.

        (B) (U) Examples of failing to comply with regulations may include failing to include photographs that meet the requirements and specifications described above at 9 FAM 502.6-4 paragraph b(2)(b), failing to list properly spouse or child(ren) on the entry, if applicable, or providing inaccurate information on the DV entry by including an individual on the DV entry form who was not a spouse or child when the form was submitted.

(3)  Unavailable

(4)  Unavailable

(5)  (U) INA 221(g) Refusals:

(a)  (U) When applicable, you should advise applicants that failure to submit requested information promptly may mean that visa numbers will no longer be available, and the applicant may miss the opportunity to obtain a visa.

(b)  (U) Consular sections must prepare a stamp to be placed on refusal letters to DV applicants refused under 221(g), with the following message:

          Attention:  Under no circumstances can a visa be issued or an adjustment of
         status occur in your case after September 30, ____. 

         Very important:  Because of the limited number of visas that may be issued under
         this program, visas may cease to be available even before this date.  This is
         especially true the closer to September 30 an application or re-application is
         made.

(c)  (U) Cases that are refused pursuant to INA 221(g) may remain refused pursuant to INA 221(g) at the end of the DV fiscal year as INA 221(g) is a final refusal.   You do not need to enter an additional refusal pursuant to INA 204(a)(1)(I)(ii)(II).  However, if an applicant provides the requested additional supporting documentation to try to overcome a prior INA 221(g) refusal, then a refusal pursuant to INA 204(a)(1)(I)(ii)(II) would be appropriate as DV immigrants cannot be issued a DV after the fiscal year for which the entry was submitted. 

(6)  (U) Public Charge:  While many categories of immigrants must submit the legally binding Form I-864, Affidavit of Support Under Section 213A of the Act, the DV category is not one of them.  Although DV applicants are not required to submit the I-864, you must nevertheless apply a thorough "totality of the circumstances” analysis for possible ineligibility on public charge grounds in all DV cases.  See 9 FAM 302.8 for guidance on public charge.

(7)  (U) Material Misrepresentation: You should compare the Electronic Diversity Visa Entry Form, DS-5501, to the Immigrant Visa Electronic Application, DS-260, and consider the application of 212(a)(6)(C)(i) (6C1) for any case in which you find a material misrepresentation.  Not all misstatements on a DS-5501 satisfy the materiality requirement of 6C1, but the fact that the applicant did not personally submit the DS-5501 does not serve to insulate the applicant from ineligibility under 6C1, if you find that the applicant was aware of the action being taken by the third party in furtherance of the application.  For general guidance on INA 212(a)(6)(C)(i), see 9 FAM 302.9-4(B)(3). 

(8)  (U) Waivers:  There are no special provisions for a waiver of any ineligibility grounds for DV applicants. The regular ineligibility waiver provisions of the INA, including INA 212(e), still apply.

g. (U) Refusal Letter for DV Applicant Denials Under INA 203(c) and/or 204(a)(1)(I): You must use the following refusal letter to inform a DV applicant of a refusal under INA 203(c) and/or 204(a)(1)(I):

Dear Applicant:

This is to inform you that you have been found ineligible for a diversity visa pursuant to section 203(c) and/or section 204(a)(1)(I) of the Immigration and Nationality Act.  The information contained in the following paragraph(s) marked with "X" pertain(s) to your Diversity Visa application. Please disregard the unmarked paragraphs:

__ Section 203(c): Failure to fulfill either the education or the work experience requirement.

__ Section 204(a)(1)(I)(i): Submission of more than one DV entry with your name during the fiscal year in which you were selected.

__ Section 204(a)(1)(I)(ii): Unable to establish eligibility for a DV before the end of the fiscal year in which you were selected.

__ Section 204(a)(1)(I)(iii): 

__ Failure to comply with the photograph requirements.

__ Failure to list properly your spouse and/or child(ren) on the DV entry.

__ Providing inaccurate information on your DV entry by including an individual on the
    DV entry who was not a spouse or child at the time of DV program entry.

__ Other:____________________

 

Sincerely,

Consular Officer

h. (U) Following-to-Join Applicants: 

(1)  (U) DV applicants are informed in the electronic notification of how to adjust to LPR status in the United States.  A principal applicant who has adjusted status may file Form I-824, Application for Action on an Approved Application or Petition with USCIS requesting DHS make the Form I-824, upon its adjudication, available to consular sections as verification of their LPR status. 

(2)  (U) Upon receipt of this information, you must send any derivative family members instructions for accessing the Form DS-260, Online Application for Immigrant Visa and Alien Registration, and the Packets for Immigrant Visa Processing (see 9 FAM 504.4-2(A)(2)) for completion. 

(3)  Unavailable

(4)  (U) Proof of the principal applicant’s adjustment of status must be provided to the KCC.  You can then process these cases to conclusion, obtaining additional DV numbers from the Immigrant Visa Control and Reporting Division (CA/VO/DO/I) as necessary, via Visas Frog messages (see 9 FAM 504.3-2(B)). 

(5)  (U) Spouses and children who derive status from a DV application can only obtain visas in the DV category during the same Fiscal Year in which the principal applicant was admitted or adjusted status.  Derivative applicants cannot follow-to-join after the end of the Fiscal Year in which the principal applicant was admitted or adjusted status.

i.  (U) Transfer and Reassignment of DV Cases:

(1)  (U) Post-to-post transfers: Where a case has already been scheduled and the applicant asks that their case be transferred to a different consular section for processing, consular sections are to follow normal IV case transfer procedures, (see 9 FAM 504.4-9), in accordance with the criteria and consideration of such requests (see 9 FAM 504.4-8).

(2)  (U) Reassignments: Applicants seeking to move a case that has yet to be scheduled should contact KCCDV@state.gov.  Applicants should provide the new address where they are or will be physically present, and should include their DV case number, full name, and DOB along with their inquiry.  See 9 FAM 504.4-9d.(2). 

(3) Unavailable

UNCLASSIFIED (U)