99-1899. Rules of Practice and Procedure for Administrative Hearings Before Administrative Law Judges in Cases Involving Allegations of Unlawful Employment of Aliens, Unfair Immigration-Related Employment Practices, and Document Fraud  

  • [Federal Register Volume 64, Number 29 (Friday, February 12, 1999)]
    [Rules and Regulations]
    [Pages 7066-7083]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 99-1899]
    
    
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    DEPARTMENT OF JUSTICE
    
    28 CFR Part 68
    
    [EOIR No. 116P; A.G. Order No. 2203-99]
    RIN 1125-AA17
    
    
    Rules of Practice and Procedure for Administrative Hearings 
    Before Administrative Law Judges in Cases Involving Allegations of 
    Unlawful Employment of Aliens, Unfair Immigration-Related Employment 
    Practices, and Document Fraud
    
    AGENCY: Office of the Chief Administrative Hearing Officer, Executive 
    Office for Immigration Review, Justice.
    
    ACTION: Interim rule with request for comments.
    
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    SUMMARY: This interim rule amends the regulations of the Office of the 
    Chief Administrative Hearing Officer (OCAHO) pertaining to employer 
    sanctions, unfair immigration-related employment practice cases, and 
    immigration-related document fraud. The interim rule implements various 
    provisions of the Illegal Immigration Reform and Immigrant 
    Responsibility Act of 1996 (IIRIRA) and the Debt Collection Improvement 
    Act of 1996, and makes various other changes to the OCAHO's procedural 
    regulations.
    
    DATES: This interim rule is effective March 15, 1999. Written comments 
    must be submitted on or before April 13, 1999.
    
    ADDRESSES: Please submit written comments to the Chief Administrative 
    Hearing Officer, Executive Office for Immigration Review, 5107 Leesburg 
    Pike, Suite 2519, Falls Church, Virginia 22041. To ensure proper 
    handling, please reference EOIR number 1125-AA17 on your 
    correspondence. Comments are available for public inspection at the 
    above address by calling (703) 305-0858 to arrange for an appointment.
    
    FOR FURTHER INFORMATION CONTACT: Peggy Philbin, General Counsel, 
    Executive Office for Immigration Review, 5107 Leesburg Pike, Suite 
    2400, Falls Church, Virginia 22041, telephone number (703) 305-0470.
    
    SUPPLEMENTARY INFORMATION: The IIRIRA, enacted on September 30, 1996, 
    amends the employer sanctions, unfair immigration-related employment 
    practices and document fraud sections of the Immigration and 
    Nationality Act (INA) in several ways (sections 274A, 274B and 274C of 
    the INA, respectively). The Debt Collection Improvement Act of 1996, 
    Pub. L. No.
    
    [[Page 7067]]
    
    104-134, Title III, (``Debt Collection Improvement Act''), 110 Stat. 
    1321, 1321-1358 (1996), mandates that the civil penalties in each of 
    these three sections of the INA be adjusted to reflect inflation. 
    Finally, the OCAHO has examined its regulations and is making various 
    changes perceived as necessary in light of case-by-case experiences 
    since the 1991 amendments to its regulations. All of the changes to the 
    OCAHO's regulations set forth herein are designed to make the 
    regulations comport with one of the aforementioned statutes, clarify 
    any existing ambiguity, and/or similarly contribute to the fair and 
    efficient administration of sections 274A, 274B, and 274C of the INA.
    
    Heading and Table of Contents
    
        The interim regulation amends the heading to Part 68, the rules of 
    practice and procedure for administrative hearings before 
    Administrative Law Judges in the OCAHO, to include document fraud cases 
    as well as unlawful employment of aliens cases and unfair immigration-
    related employment practice cases. Document fraud cases were previously 
    addressed elsewhere in regulations, but the interim regulation includes 
    this category of cases here because the OCAHO in fact deals with these 
    cases in a similar procedural manner as it does with unlawful 
    employment of aliens cases and unfair immigration-related employment 
    cases.
        The interim regulation amends the Table of Contents to include new 
    language in the section title for Sec. 68.33 to indicate that the 
    section now discusses participation of parties. The interim regulation 
    also amends the table of contents to include new sections, Secs. 68.55 
    through 68.58. The new sections were added due to the reorganization of 
    Sec. 68.53 Administrative and Judicial Review, which was divided into 
    four sections in order to distinguish between the various procedures 
    for obtaining review of an order. As a result of adding new sections, 
    Sec. 68.54 Filing of the official record was renumbered and became 
    Sec. 68.58.
    
    Scope of Rules
    
        The interim regulation amends Sec. 68.1 to utilize the official 
    title of the Federal Rules of Civil Procedure (Rules) in stating that 
    the Rules may be used as a guideline in any adjudicatory proceeding 
    before the OCAHO in which a situation arises that is outside the scope 
    of the rules laid out in this part of the Code of Federal Regulations, 
    the Administrative Procedure Act, or any other applicable statute, 
    executive order, or regulation.
    
    Definitions
    
        The interim regulation amends the definition of ``adjudicatory 
    proceeding'' to clarify that it means an administrative proceeding 
    before the OCAHO that commences with the filing of a complaint. This 
    revised definition also eliminates the need for the separate definition 
    of ``commencement of proceeding.''
        The interim regulation adds definitions for ``certification'' (new 
    paragraph (d)) and ``certify'' (new paragraph (e)), in order to provide 
    guidance for parties who must determine their obligations under the 
    rules and comply with them. The interim regulation defines the former 
    term essentially to mean a formal writing that has been signed by the 
    person making the certification as an attestation to the truth of the 
    content of the writing. Specific definitions are provided in individual 
    paragraphs for the terms ``certified court reporter,'' ``certified 
    mail'' and ``certified copy.'' The term ``certify'' in paragraph (e) is 
    simply defined as ``the act of executing a certification.''
        The interim regulation also adds definitions for ``decision,'' 
    ``final agency order,'' ``final order'' and ``interlocutory order,'' 
    and amends the definition of ``order'' in order to distinguish between 
    the various actions that may be taken by and within the OCAHO. A 
    ``decision'' refers to any finding of fact or conclusion of law by an 
    Administrative Law Judge (ALJ) or by the Chief Administrative Hearing 
    Officer (CAHO); an ``order'' means a determination or mandate by an 
    ALJ, CAHO, or the Attorney General that resolves some point or directs 
    some action in the proceeding; an ``interlocutory order'' is an order 
    that decides some intervening matter pertaining to the cause of action 
    and is not a final decision of the whole controversy; a ``final order'' 
    is an order by an ALJ that disposes of a particular proceeding or a 
    distinct portion thereof, thereby concluding the jurisdiction of the 
    ALJ with respect to the portion referred to in the order; and a ``final 
    agency order'' is an ALJ's final order or a CAHO's order that has not 
    been modified, vacated, or remanded in any way within the time period 
    set forth in the regulation, or, alternatively, an order by the 
    Attorney General. Finally, the definition of ``issued'' is also amended 
    to clarify that it refers to the action taken when an order becomes a 
    final agency order.
        The definitions for ``prohibition of indemnity bond cases,'' 
    ``unfair immigration related employment practice cases,'' and 
    ``unlawful employment cases'' are reduced to simple cross-references to 
    the applicable statutes. It was determined that summarizing these 
    statutory causes of action in the regulations is not essential and 
    could conceivably lead to unnecessary litigation over perceived 
    differences between the regulatory definition and the applicable 
    statute itself. A similar approach was taken with regard to the 
    definition of ``document fraud cases'' which had not previously been 
    mentioned in the definitions section.
        The interim regulation also adds or amends certain other 
    definitions. The definition of ``entry'' is amended to clarify that it 
    applies to all orders signed under these regulations as well as to 
    define the term as used in section 274B(i)(1). The definition of 
    ``entry'' is thus amended to clarify that an order is ``entered'' when 
    it is signed by an ALJ, the CAHO, or the Attorney General. A definition 
    for ``respondent'' is added to clarify that it means a party, other 
    than a complainant, to an adjudicatory proceeding against whom findings 
    may be made or who may be required to provide relief or to take 
    remedial action. The interim regulation adds a definition for ``INA'' 
    to clarify that this term in the regulations refers to the Immigration 
    and Nationality Act. Finally, a definition for ``Debt Collection 
    Improvement Act'' is added to clarify that references to that statute 
    in the regulations refer to the Debt Collection Improvement Act of 
    1996.
        The interim regulation renumbers the paragraphs of Sec. 68.2 to 
    incorporate the new entries and to keep the definitions in alphabetical 
    order. Thus, the changes begin with paragraph (a), Adjudicatory 
    proceeding, and end with paragraph (cc), Unfair immigration-related 
    employment practice cases.
    
    Conforming Amendment
    
        The interim regulation amends Sec. 68.3 to add the phrase 
    ``representative of record'' at Sec. 68.3(a)(1) and (3) as a conforming 
    amendment, in light of the new provisions in Sec. 68.33 infra outlining 
    the parameters within which lay representatives are permitted to 
    represent parties before the ALJs.
    
    Service and Filing of Documents
    
        The interim regulation amends Sec. 68.6 to add a provision at 
    Sec. 68.6(c) for the filing of certain documents by facsimile only to 
    toll a time limit. A party may only file by facsimile in response to a 
    time limit that is imposed by statute, regulation, or order. The signed 
    originals of such documents must be forwarded concurrently with the 
    transmission of the facsimile. Service of
    
    [[Page 7068]]
    
    the documents on the opposing party must be made by facsimile or same-
    day hand delivery, or, if neither of those means is feasible, by 
    overnight mail. The serving party must indicate the means of service on 
    the certification of service. Also added are provisions applying the 
    procedure outlined in Sec. 68.6(c) to the service and filing 
    requirements pertaining to administrative review by the CAHO set forth 
    at Sec. 68.54(c) and described infra.
    
    Responsive Pleadings--Answer
    
        In the first sentence of Sec. 68.9(b), the phrase ``shall 
    constitute a waiver'' is changed to ``may be deemed to constitute a 
    waiver.'' This technical correction is necessary to comport with actual 
    practice and with the last sentence of Sec. 68.9(b), which provides 
    that a default judgment is not automatic, but at the discretion of the 
    ALJ.
    
    Motion to Dismiss for Failure to State a Claim Upon Which Relief 
    Can be Granted
    
        The interim regulation amends Sec. 68.10 to clarify that the ALJ 
    may dismiss a complaint for failure to state a claim upon which relief 
    may be granted either upon motion by the respondent or sua sponte. 
    However, in the prehearing phase of a proceeding, the ALJ shall allow 
    the complainant an opportunity to be heard before sua sponte dismissing 
    a complaint in its entirety for failure to state a claim on which 
    relief may be granted.
    
    Consent Findings or Dismissal
    
        The interim regulation amends Sec. 68.14(a)(2) to provide that the 
    ALJ may require parties to file settlement agreements with the ALJ.
    
    Technical Corrections
    
        The interim regulation amends Sec. 68.18 to make the following 
    technical corrections at Sec. 68.18(a): (1) the word ``subsection'' is 
    changed to the word ``paragraph,'' and (2) the phrase ``of this 
    section'' is added to the last sentence of paragraph (a).
    
    Depositions
    
        The interim regulation reorganizes Sec. 68.22 into three 
    paragraphs: (a) Notice; (b) When, how, and by whom taken; and (c) 
    Motion to terminate or limit examination. This reorganization should 
    make it easier to locate particular information within the section.
        The interim regulation also adds a new provision to paragraph (b) 
    regarding recorded depositions. This paragraph provides that an oral 
    deposition may be recorded by audiotape or videotape, at the discretion 
    of the ALJ. Moreover, the costs of recording the deposition must be 
    paid by the party taking the deposition. Either party may arrange for a 
    transcript of the deposition to be made. Also added is a thirty (30) 
    day time limit for witness review of any transcript or recording and a 
    provision for witness corrections.
    
    Motion to Compel Response to Discovery; Sanctions
    
        The interim regulation amends Sec. 68.23 in two ways: first, it 
    specifies that any motion filed with an ALJ to compel either a response 
    to a request for discovery or an inspection must be accompanied by a 
    certification that the movant has ``conferred or attempted to confer'' 
    with the nonmovant in a good faith effort to obtain the information or 
    material sought to be discovered in the absence of participation by the 
    ALJ. Second, a new paragraph (d) is added: ``Evasive or incomplete 
    response.'' This paragraph provides that an evasive or incomplete 
    response to discovery may be treated as a failure to respond to the 
    discovery request, thus permitting the party seeking discovery to seek 
    an order to compel the discovery in accordance with the rest of this 
    section.
    
    Use of Depositions at Hearings
    
        The interim regulation amends Sec. 68.24 by adding paragraph (a)(7) 
    to allow a party to offer deposition testimony in stenographic or 
    nonstenographic form. The party shall be required to provide a 
    transcript of the testimony offered in nonstenographic form, a 
    requirement that parallels the Federal Rules of Evidence.
    
    Participation of the Parties and Representation
    
        The interim regulation amends Sec. 68.33 by using ``Participation 
    of the Parties'' instead of ``Appearance'' and uses ``proceeding'' 
    instead of ``hearing'' to make the provision clearer. References to 
    ``counsel'' have been changed to reflect the fact that a representative 
    in an OCAHO proceeding is not required to be an attorney. The sentence 
    allowing representation at no expense to the government was moved to 
    Sec. 68.33(e). The interim regulation amends Sec. 68.33 to allow a law 
    student under supervision of an attorney to appear before an ALJ. In 
    addition, the interim regulation establishes that upon a motion for 
    substitution or withdrawal of an attorney, the ALJ shall enter a 
    written order either granting or denying the motion.
        The interim regulation also outlines the parameters within which 
    lay representation of parties before the ALJs is permitted. An 
    individual who is neither an attorney nor a law student and who wishes 
    to represent a party must file a detailed written application with the 
    ALJ demonstrating that the individual possesses the knowledge and 
    skills essential to rendering valuable service in the proceedings. The 
    individual must file the application within ten days from the receipt 
    of the Notice of Hearing and Complaint by the party on whose behalf the 
    individual is filing the application, unless the ALJ extends this time 
    period. The ALJ may inquire as to the qualification or ability of any 
    non-attorney to act as a representative at any time, and may issue an 
    order denying any individual the privilege of appearing if the ALJ 
    finds that such individual meets any of the following characteristics: 
    does not possess the requisite qualifications to represent others; is 
    lacking in character or integrity; has engaged in unethical or improper 
    professional conduct; or has engaged in an act involving moral 
    turpitude. The ALJ may not deny the privilege of appearing on the basis 
    of the aforementioned characteristics to any person who appears on his 
    or her own behalf, or who appears on behalf of a corporation, 
    partnership or association of which the person is a partner or general 
    officer. Similarly, any person who represents him or herself or any 
    corporation, partnership or unincorporated association of which that 
    individual is a partner or general officer need not file a written 
    application to appear. However, such persons must file a notice of 
    appearance as set forth in Sec. 68.33(f). The interim regulation 
    changes the caption and substance of Sec. 68.33(g) to reflect the fact 
    that lay representatives are permitted to represent parties before the 
    ALJs and that they also may withdraw from OCAHO proceedings.
    
    Standards of Conduct
    
        The current OCAHO regulations require in Sec. 68.35(a) that ``[A]ll 
    persons appearing before an ALJ are expected to act with integrity, and 
    in an ethical manner.'' Under Sec. 68.35(b) of the current regulations, 
    an ALJ may exclude from OCAHO proceedings parties, witnesses, and their 
    representatives for, among other things, ``refusal to adhere to 
    reasonable standards of orderly and ethical conduct [and] failure to 
    act in good faith. * * *'' This interim rule does not endeavor to amend 
    or amplify these general standards. However, persons seeking further 
    guidance on the standards of conduct expected in OCAHO proceedings are 
    encouraged to consult the Federal Bar Association
    
    [[Page 7069]]
    
    Standards of Civility in Professional Conduct (``FBA Standards''), as 
    published in 45 The Federal Lawyer, No. 1 (Jan. 1998). Copies of the 
    FBA Standards may be obtained from The Office of the Chief 
    Administrative Hearing Officer, 5107 Leesburg Pike Suite 2519, Falls 
    Church, Virginia 22041. A copy of the FBA Standards will also be 
    attached to each notice of hearing served by OCAHO pursuant to 28 CFR 
    Sec. 68.3.
    
    Motion for Summary Decision
    
        The interim regulation amends Sec. 68.38(a) to clarify that a 
    motion for summary decision is directed to the ``complaint,'' as 
    opposed to the ``proceeding.'' Section 68.38(c) is amended to clarify 
    that a summary decision shall be entered if the ALJ determines that 
    there is no genuine issue as to any material fact and that a party is 
    entitled to summary decision. Section 68.38(d) is also amended to 
    clarify that a summary decision may be a final order and is consistent 
    with the changes in the definitions in Sec. 68.2.
    
    In Camera and Protective Orders
    
        Section 68.42(b) is amended by deleting ``to a respondent'' and 
    inserting ``producing'' before ``party'' to take account of situations 
    in which a complainant may seek material sensitive to a respondent.
    
    Final Order of the Administrative Law Judge
    
        The interim regulation amends Sec. 68.52 in a number of ways. 
    First, it changes the heading from Decision and order of the 
    Administrative Law Judge to Final order of the Administrative Law 
    Judge, and uses the term final order throughout the section. This 
    change was necessary because Sec. 68.52 pertains to final orders and 
    this change is consistent with the definitions provided in Sec. 68.2. 
    The interim regulation also adds a provision to paragraph (a) that 
    permits an ALJ to order a copy of any proposed order submitted to the 
    ALJ by a party to be submitted on a 3.5'' microdisk.
        The interim regulation further amends Sec. 68.52 in several ways in 
    order to comply with the Debt Collection Improvement Act and IIRIRA. 
    The Debt Collection Improvement Act amends the Federal Civil Penalties 
    Inflation Adjustment Act of 1990, Pub. L. No. 101-410, Sec. 5(b), 104 
    Stat. 890, 28 U.S.C.A. Sec. 2461 (note), to mandate the adjustment of 
    all civil monetary penalties assessed or enforced by Federal agencies 
    to reflect inflation. The amounts of the adjustments are determined 
    according to a formula set forth in the Federal Civil Penalties 
    Inflation Adjustment Act of 1990, and incorporate a ``cost-of-living 
    adjustment'' that is defined as:
    
    the percentage (if any) for each civil monetary penalty by which--
        (1) the Consumer Price Index for the month of June of the 
    calendar year preceding the adjustment, exceeds
        (2) the Consumer Price Index for the month of June of the 
    calendar year in which the amount of such civil monetary penalty was 
    last set or adjusted pursuant to law. Id. Sec. 5(b).
    
    The formula multiplies the current penalty amount by the appropriate 
    cost-of-living adjustment, and then rounds that number to the nearest 
    multiple of $10, $100, $1,000, $5,000, $10,000 or $25,000 in accordance 
    with section 5(a) of the Federal Civil Penalties Inflation Adjustment 
    Act of 1990. The rounded increase is then compared to a maximum penalty 
    increase cap of ten percent (10%) of the current penalty (note that 
    this cap only applies to the first adjustment of any civil monetary 
    penalty). If the maximum allowable increase is lower than the rounded 
    increase, then the maximum increase is added onto the current penalty 
    to form the adjusted penalty. If the maximum allowable increase is 
    greater than the rounded increase--this generally occurs when the 
    rounded increase is $0--then the rounded increase is added onto the 
    current penalty to form the adjusted penalty.
        Following this formula, the OCAHO's civil monetary penalties are 
    adjusted as indicated in figures 1 through 3. The Debt Collection 
    Improvement Act amended the Federal Civil Penalties Inflation 
    Adjustment Act of 1990 to require that ``[a]ny increase under [the] Act 
    in a civil money penalty shall apply only to violations which occur 
    after the date the increase takes effect.'' See 28 U.S.C. 2461 (note). 
    Therefore, violations occurring prior to March 15, 1999, are subject to 
    the unadjusted penalties shown in Figures 1-3 while violations 
    occurring on or after March 15, 1999, are subject to the adjusted 
    penalties as set out in Figures 1-3.
    
                                                                  Figure 1.--Unlawful Employment of Aliens and Employment Verification
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                   Unadjusted                                               CPI factor      Raw                     Rounded        10%        Smaller      Adjusted
          Statutory and regulatory citation         penalty              Min./Max.                Year      (percent)     increase     Rounder      increase     increase     increase     penalty
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Unlawful employment of unauthorized aliens, per person, first order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324a(e)(4)(A)(i).....................         $250  Min..........................         1986        48.89         $122         $100         $100          $25          $25         $275
    28 CFR 68.52(c)(1)(i)
    8 USC 1324a(e)(4)(A)(i).....................        2,000  Max..........................         1986        48.89          978        1,000        1,000          200          200        2,200
    28 CFR 68.52(c)(1)(i)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                            Unlawful employment of unauthorized aliens, per person, second order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324a(e)(4)(A)(ii)....................        2,000  Min..........................         1986        48.89          978        1,000        1,000          200          200        2,200
    28 CFR 68.52(c)(1)(ii)
    8 USC 1324a(e)(4)(A)(ii)....................        5,000  Max..........................         1986        48.89        2,444        1,000        2,000          500          500        5,500
    28 CFR 68.52(c)(1)(ii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Unlawful employment of unauthorized aliens, per person, subsequent order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324a(e)(4)(A)(iii)...................        3,000  Min..........................         1986        48.89        1,467        1,000        1,000          300          300        3,300
    28 CFR 68.52(c)(1)(iii)
    8 USC 1324a(e)(4)(A)(iii)...................       10,000  Max..........................         1986        48.89        4,889        1,000        5,000        1,000        1,000       11,000
    28 CFR 68.52(c)(1)(iii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                              Unlawful employment of unauthorized aliens, paperwork violations
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324a(e)(5)...........................          100  Min..........................         1986        48.89           49           10           50           10           10          110
    28 CFR 68.52(c)(5)
    8 USC 1324a(e)(5)...........................       1,0000  Max..........................         1986        48.89          489          100          500          100          100        1,100
    28 CFR 68.52(c)(5)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    Unlawful employment of unauthorized aliens, violation/prohibition of indemnity bonds
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324a(g)(2)...........................        1,000  Max..........................         1986        48.89          489          100          500          100          100        1,100
    28 CFR 68.52(c)(7)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    
    
    [[Page 7070]]
    
    
                                                                       Figure 2.--Unfair Immigration-Related Employment Practices
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                   Unadjusted                                               CPI factor      Raw                     Rounded        10%        Smaller      Adjusted
          Statutory and regulatory citation         penalty              Min./Max.                Year      (percent)     increase     Rounder      increase     increase     increase     Penalty
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Unfair immigration-related employment practices, per person, first order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324b(g)(2)(B)(iv)(I).................         $250  Min..........................         1990        25.47          $64         $100         $100          $25          $25         $275
    28 CFR 68.52(d)(1)(viii)
    8 USC 1324b(g)(2)(B)(iv)(I).................        2,000  Max..........................         1990        25.47          509        1,000  ...........          200          200        2,200
    28 CFR 68.52(d)(1)(viii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Unfair immigration-related employment practices, per person, second order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324b(g)(2)(B)(iv)(II)................        2,000  Min..........................         1990        25.47          509        1,000  ...........          200          200        2,200
    28 CFR 68.52(d)(1)(ix)
    8 USC 1324b(g)(2)(B)(iv)(II)................        5,000  Max..........................         1990        25.47        1,273        1,000        1,000          500          500        5,500
    28 CFR 68.52(d)(1)(ix)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Unfair immigration-related employment practices, per person, subsequent order
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324b(g)(2)(B)(iv)(III)...............        3,000  Min..........................         1990        25.47          764        1,000        1,000          300          300        3,300
    28 CFR 68.52(d)(1)(x)
    8 USC 1324b(g)(2)(B)(iv)(III)...............       10,000  Max..........................         1990        25.47        2,547        1,000        3,000        1,000        1,000       11,000
    28 CFR 68.52(d)(1)(xii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Unfair immigration-related employment practices, document abuse
                                                                 Per violation
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324b(g)(2)(B)(iv)(IV)................          100  Min..........................         1990        25.47           25           10           30           10           10          110
    28 CFR 68.52(d)(1)(xii)
    8 USC 1324b(g)(2)(B)(iv)(IV)................        1,000  Max..........................         1990        25.47          255          100          300          100          100        1,100
    28 CFR 68.52(d)(1)(xii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    
    
                                                                                 Figure 3.--Civil Penalty Document Fraud
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                            CPI factor      Raw                     Rounded        10%        Smaller      Adjusted
          Statutory and regulatory citation             Unadjusted penalty        Min./Max.       Year      (Percent)     increase     Rounder      increase     increase     increase     penalty
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                 Document fraud, first order
                                                                 Per document
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324c(d)(3)(A)........................  $250.........................         Min.         1990        25.47          $64         $100         $100          $25          $25         $275
    28 CFR 68.52(e)(1)(i)
    8 USC1324c(d)(3)(A).........................  2,000........................         Max.         1990        25.47          509        1,000  ...........          200          200        2,200
    28 CFR 68.52(e)(1)(i)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                Document fraud, second order
                                                                 Per document
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    8 USC 1324c(d)(3)(B)........................  2,000........................         Min.         1990        25.47          509        1,000  ...........          200          200        2,200
    28 CFR 68.52(e)(1)(ii)
    8 USC 1324c(d)(3)(B)........................  5,000........................         Max.         1990        25.47        1,273        1,000        1,000          500          500        5,500
    28 CFR 68.52(e)(1)(ii)
    ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    
        Following this initial adjustment, the Debt Collection Improvement 
    Act requires that penalties be further adjusted at least every four 
    years. The interim regulation adds new paragraphs to this section 
    stating that the OCAHO's civil monetary penalties will be subject to 
    inflationary adjustments at least every four years. These paragraphs 
    are located at Secs. 68.52(c)(8), 68.52(d)(2) and 68.52(e)(3).
        The interim regulation also amends Sec. 68.52 in order to conform 
    the section to the requirements of IIRIRA. Sections 401-05 of IIRIRA 
    require the Attorney General to conduct three pilot programs concerning 
    employment eligibility verification. Section 402(e)(2) of IIRIRA 
    provides that upon a determination by an ALJ that a person or entity 
    has violated section 274A(a)(1)(A) or (a)(2) of the INA (knowingly 
    hiring, recruiting or referring for a fee, or knowingly continuing to 
    employ an unauthorized alien), the ALJ's order may require the 
    respondent to participate in and comply with the terms of one of these 
    pilot programs. The interim regulation adds paragraph (c)(2) to this 
    section in order to reflect this requirement. Former paragraphs 
    (c)(1)(ii) through (c)(1)(iv) are renumbered paragraphs (c)(3) through 
    (c)(5) accordingly.
        The interim regulation also adds a new paragraph (c)(6) to comport 
    with section 403(a)(4)(C)(ii) of IIRIRA, which requires that, where a 
    person or entity participating in one of the pilot programs has failed 
    to provide notice of final nonconfirmation of employment eligibility of 
    an individual to the Attorney General as required by section 
    403(a)(4)(C)(i) of IIRIRA, the civil monetary penalty shall be not less 
    than $500 and not more than $1,000 for each individual with respect to 
    whom a violation occurred. Succeeding paragraphs are renumbered 
    accordingly.
        The interim regulation adds another remedy to the list of 
    requirements that may be included in an ALJ's order against a person or 
    entity whom it has been determined engaged in an unfair immigration-
    related employment practice. As provided in section 402(e)(2) of 
    IIRIRA, the ALJ may require the person or entity to participate in and 
    comply with the terms of one of the pilot programs regarding employment 
    verification set forth in sections 401-05 of IIRIRA. The required 
    participation would be limited to the person's or entity's hiring or 
    recruitment or referral of individuals in a state covered by such a 
    pilot program. This provision of the interim regulation appears as 
    paragraph (d)(1)(xi).
        The heading for paragraph (c)(7) and the text for paragraph (c)(9) 
    were altered to conform to the definition in Sec. 68.2 (y).
        In the renumbered paragraph (d)(1)(xii) of the interim regulation, 
    an intent requirement is added to reflect an amendment to section 
    274B(a)(6) of the INA made by section 421(a) of IIRIRA. A person or 
    entity may only be assessed the civil monetary penalty set forth in 
    this paragraph if the person or entity has requested more or different 
    documents than are required under section 274A(b) or refused to honor 
    documents that on their face reasonably appear to be genuine for the 
    purpose or with the intent of discriminating against an individual in 
    violation of 274B(a)(1). Also, in paragraph (d)(3), the provision 
    stipulating the commencement of the
    
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    period of time for which back pay may be awarded is changed from not 
    earlier than two years prior to the filing of the complaint to not 
    earlier than two years prior to the ``filing of a charge with the 
    Special Counsel.'' This alteration brings the regulation into 
    conformance with the language in the INA.
        In paragraphs (e)(1)(i) through (e)(1)(iv), the interim regulation 
    changes the language indicating how each document fraud penalty is to 
    be applied in order to track the language of the INA as amended by 
    section 212 of IIRIRA. Thus, the current clauses authorizing the 
    assessment of the specified penalty for ``each document used, accepted 
    or created and each instance of use, acceptance or creation,'' as 
    prohibited by section 274C(a) of the INA, are replaced in the interim 
    rule with ``each document that is the subject of a violation'' under 
    section 274C(a). Paragraphs (e)(1)(iii) and (iv) address penalties for 
    violations of the additional document fraud charges added to the INA by 
    IIRIRA pertaining to the false making of documents or applications and 
    the failure to present upon arrival at a United States port of entry a 
    document relating to an alien's eligibility to enter the United States 
    that had previously been presented before boarding a common carrier.
        Finally, paragraph (g) states, in accordance with sections 
    274A(e)(7) and 274C(d)(4) of the INA, that if the CAHO does not modify, 
    vacate, or remand the ALJ's final order and the order is not referred 
    to the Attorney General for review (see discussion of Sec. 68.55 
    infra), then the ALJ's order becomes the final agency order sixty (60) 
    days after the date of the ALJ's order. In a case arising under section 
    274B of the INA, the ALJ's order becomes the final agency order on the 
    date the order is issued.
    
    Administrative and Judicial Review
    
        The interim regulation makes a number of changes for purposes of 
    clarification to former Sec. 68.53 of the OCAHO's regulations. For 
    clarity and greater ease of reference, Sec. 68.53 was divided in order 
    to address discrete topics in separate sections. Section 68.53(a)(2), 
    addressing when the ALJ's order becomes a final agency order in the 
    absence of review by the CAHO or the Attorney General, was relocated as 
    a new Sec. 68.52(g). Section 68.53(d), addressing review of an 
    interlocutory order of an ALJ in cases arising under sections 274A and 
    274C of the INA, was redesignated as Sec. 68.53. Section 68.53(a)(1), 
    addressing administrative review of an order of an ALJ in cases arising 
    under sections 274A and 274C of the INA was redesignated as Sec. 68.54. 
    Section 68.53(a)(3), addressing judicial review of a final agency order 
    in cases arising under sections 274A and 274C of the INA, was 
    redesignated as a new Sec. 68.56. Section 68.53(b), addressing judicial 
    review of the final agency order of the ALJ in cases arising under 
    section 274B of the INA, was redesignated as a new Sec. 68.57. Section 
    68.54, ``Filing of the official record,'' was renumbered accordingly as 
    Sec. 68.58.
        The provisions of Sec. 68.53, governing CAHO review of an 
    interlocutory order of an ALJ in cases arising under sections 274A and 
    274C of the INA, have been revised to allow a party to move for CAHO 
    review of such an order without first seeking ALJ certification of the 
    order for review. The revision requires that such a motion for CAHO 
    review be made within ten (10) days of the entry of the order. In 
    addition, the current five (5) day deadline for ALJ certification of an 
    interlocutory order has been eliminated and replaced with a requirement 
    that the ALJ state in the order itself if interlocutory review is 
    appropriate. The CAHO is given ten (10) days from the date of the entry 
    of the order to determine on the CAHO's own initiative to review an 
    interlocutory order. The standards to be used in determining if 
    interlocutory review is appropriate have been simplified by providing 
    that both the ALJ and the CAHO shall use the same standards to 
    determine if interlocutory review is warranted.
        The authority to stay the proceeding pending review of an 
    interlocutory order, currently limited to the ALJ, has been extended to 
    the CAHO as well, in keeping with the current law governing the federal 
    court system, which permits the district judge or the court of appeals 
    or a judge thereof to stay proceedings in district court pending an 
    interlocutory appeal. See 28 U.S.C. Sec. 1292(b). The CAHO continues to 
    have thirty (30) days to modify or vacate an interlocutory order; 
    however, the more systematic briefing deadlines and service 
    requirements of Sec. 68.54(b)-(d) infra are incorporated by reference.
        Paragraph (d) clarifies the effect of interlocutory review. An 
    order by the CAHO modifying or vacating an interlocutory order shall 
    also remand the case to the ALJ. Further proceedings in the case shall 
    be conducted consistent with the CAHO's order. Whether or not an 
    interlocutory order is reviewed by the CAHO, all parties retain the 
    right to request administrative review of the final order of the ALJ 
    with respect to all issues in the case.
        Although the separate step of certifying an interlocutory order for 
    CAHO review has been eliminated in this interim rule as a streamlining 
    measure, Sec. 68.53 still requires that the standards governing the 
    appropriateness of interlocutory review must be met as a threshold 
    matter before a review of the merits of any such order can take place. 
    This is because, under established administrative law principles, 
    interlocutory review is disfavored and should not be readily available 
    to the parties as a regular means of challenging interlocutory orders 
    of the ALJ during a proceeding. Interlocutory review can be not only 
    disruptive of the trial proceedings but can also impose a burden on the 
    reviewing authority, which would be asked to render judgment on an 
    interlocutory issue without the benefit of a full record below. For 
    these reasons, Sec. 68.53 is intended to make clear to the parties that 
    interlocutory review is not a matter of routine and is strictly 
    controlled by the ALJ and the CAHO.
        In the title for Sec. 68.54 (formerly Sec. 68.53(a)), the interim 
    regulation adds the word ``Administrative'' in front of the word 
    ``review'' to clarify that this portion of the regulation deals with 
    administrative--not judicial--review of orders entered by an ALJ in 
    cases arising under sections 274A and 274C of the INA.
        Throughout Sec. 68.54 the term ``decision and order'' is changed to 
    ``order'' or ``final order'' in order to clarify existing ambiguity and 
    conform with the definitions in Sec. 68.2.
        Paragraph 68.54(a) discusses the CAHO's discretionary authority to 
    review ALJs' final orders. Paragraph (a)(1) specifies that a party may 
    file with the CAHO a written request for administrative review of an 
    ALJ's order within ten (10) days of the entry of the ALJ's order. 
    Paragraph (a)(2) clarifies the procedure to be used when the CAHO 
    decides to review an order on the CAHO's own motion. The CAHO will 
    issue a notification of review containing the issues to be reviewed 
    within ten (10) days of the entry of the ALJ's order.
        Paragraph (b) provides for written and oral arguments in cases in 
    which administrative review has been requested or ordered. The parties 
    may file briefs or other written statements within twenty-one (21) days 
    of the date of entry of the ALJ's order. Paragraph (b)(2) grants the 
    CAHO discretion to permit or require additional filings or to conduct 
    arguments in person or telephonically. Given the thirty (30) day 
    statutory time limit for CAHO review, it is anticipated that this 
    discretion would be exercised sparingly.
        Experience has indicated that the time limits imposed by 
    Sec. 68.54(a) and (b) for seeking review and filing briefs are
    
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    necessary to provide for an orderly consideration of the parties' 
    submissions within the thirty (30) day review period specified in 
    sections 274A(e)(7) and 274C(d)(4) of the INA.
        Similarly, in light of the thirty (30) day review period, paragraph 
    (c) requires that filing or service of all requests for review, 
    notifications of review, briefs or other filings relating to review by 
    the CAHO be made by facsimile or same day hand delivery, or if such 
    filing or service cannot be made, by overnight delivery.
        Paragraph (d)(1) adds an explicit provision for remand to clarify 
    that, in addition to modification or vacation of an ALJ's order within 
    thirty (30) days of the entry of such order, the CAHO also has the 
    option to remand an ALJ's order back to the ALJ for further proceedings 
    consistent with the CAHO's order. In addition, paragraph (d)(2) 
    clarifies the procedures in the event of remand by the CAHO. Paragraph 
    (d)(3) states that the CAHO has thirty (30) days from the date of his 
    or her order to make any necessary technical corrections so that the 
    CAHO may do so without having to issue a formal erratum order.
        Paragraph (e) states that the CAHO's order becomes the final agency 
    order thirty (30) days subsequent to the date of the CAHO's 
    modification or vacation, unless it is referred to the Attorney General 
    for further administrative review (see discussion of Sec. 68.55 infra).
        Section 68.55 implements section 379 of IIRIRA, which provides for 
    Attorney General review of ALJ or CAHO final orders in cases arising 
    under section 274A or 274C of the INA. Under paragraph (a), the CAHO 
    shall refer to the Attorney General for review any final order which 
    the Attorney General directs the CAHO to refer to the Attorney General 
    within thirty (30) days of the entry of an order modifying or vacating 
    the ALJ's final order or within sixty (60) days of the entry of the 
    ALJ's final order if the CAHO does not modify or vacate the ALJ's final 
    order.
        Paragraph (b) provides that the CAHO will refer to the Attorney 
    General for review any final order that the Commissioner of Immigration 
    and Naturalization requests be referred to the Attorney General within 
    thirty (30) days of the entry of an order modifying or vacating the 
    ALJ's final order or within sixty (60) days of the entry of the ALJ's 
    final order if the CAHO does not modify or vacate the ALJ's final 
    order. Pursuant to paragraph (b)(1), the Commissioner cannot request 
    referral of an ALJ's order to the Attorney General unless the 
    Immigration and Naturalization Service has first sought review of that 
    order by the CAHO. In addition, under paragraph (b)(2), the request 
    must be in writing, must contain a succinct statement of the reasons 
    the case should be reviewed by the Attorney General, and copies must be 
    transmitted to all other parties to the case and to the ALJ. Under 
    paragraph (b)(3), the Attorney General, in the exercise of the Attorney 
    General's discretion, may accept the Commissioner's request for 
    referral of the case for review by issuing a written notice of 
    acceptance within sixty (60) days of the date of the request. Copies of 
    such written notice shall be transmitted to all parties in the case and 
    the CAHO.
        Paragraph (c) provides the procedure for Attorney General review. 
    Under paragraph (c)(1), when a case is referred to the Attorney 
    General, all parties must have an opportunity to respond to the 
    referral and submit briefs or other written statements. Under paragraph 
    (c)(2), when the Attorney General directs the CAHO to refer a final 
    order to the Attorney General or when the Commissioner of Immigration 
    and Naturalization requests referral of a final order to the Attorney 
    General and the Attorney General accepts that referral, then the 
    Attorney General shall enter an order that adopts, modifies, vacates, 
    or remands the order. Any order of the Attorney General under this 
    provision must be in writing and be transmitted to all parties in the 
    case and to the CAHO. No specific deadline is established for the 
    Attorney General's review. Under paragraph (c)(3), if the Attorney 
    General remands either the CAHO's order or the ALJ's order, further 
    proceedings will be conducted in accordance with the Attorney General's 
    order, and administrative review of the ALJ's or CAHO's subsequent 
    final order will be conducted in accordance with Secs. 68.54 and 68.55.
        Paragraph (d)(1) clarifies that if the Attorney General does issue 
    an adoption, modification, or a vacation, that order becomes the final 
    agency order on the date it is entered. Paragraph (d)(2) indicates that 
    any final order referred to the Attorney General pursuant to 
    Sec. 68.55(b) becomes the final agency order sixty (60) days subsequent 
    to such referral unless the Attorney General issues a written 
    notification of acceptance of the referral before the sixty (60) day 
    period expires.
    
    Miscellaneous Changes
    
        In Secs. 68.14, 68.27, 68.38, 68.42, 68.52, 68.53 and 68.54 all 
    references to ``issue'' or ``issuance'' have been changed to ``enter'' 
    or ``entry'' in order to comport with the amended definitions of 
    ``entry'' and ``issue'' in Sec. 68.2.
    
    Good Cause Exception
    
        The decision of the Executive Office for Immigration Review to 
    implement this rule as an interim rule, with provision for post-
    promulgation public comment, is based upon the ``good cause'' exception 
    found at 5 U.S.C. 553(d). It is necessary and proper to implement this 
    interim rule promptly because, to a significant extent, the language of 
    the regulation merely tracks the language of the implementing statute. 
    Moreover, because this interim rule implements amendments to sections 
    274A, 274B and 274C of the INA which became effective September 30, 
    1996, prompt implementation is necessary to provide corresponding rules 
    of practice and procedure for administrative hearings under 274A, 274B 
    and 274C. Finally, these regulations do not make any substantive 
    changes or take away rights which that established in the statute or 
    earlier rules of practice and procedure.
    
    Unfunded Mandates Reform Act of 1995
    
        This rule will not result in the expenditure by state, local and 
    tribal governments, in the aggregate, or by the private sector, of 
    $100,000,000 or more in any one year, and it will not significantly or 
    uniquely affect small governments. Therefore, no actions were deemed 
    necessary under the provisions of the Unfunded Mandates Reform Act of 
    1995.
    
    Small Business Regulatory Enforcement Fairness Act of 1996
    
        This rule is not a major rule as defined by section 251 of the 
    Small Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 
    804. This rule will not result in an annual effect on the economy of 
    $100,000,000 or more; a major increase in costs or prices; or 
    significant adverse effects on competition, employment, investment, 
    productivity, innovation, or the ability of the United States-based 
    companies to compete with foreign-based companies in domestic and 
    export markets.
    
    Regulatory Flexibility Act
    
        In accordance with 5 U.S.C. 605(b), the Attorney General certifies 
    that this rule does not have a significant economic impact on a 
    substantial number of small entities. No additional costs will be 
    incurred as a result of this rule.
    
    Executive Order 12866
    
        The Attorney General has determined that this rule is not a 
    significant regulatory action under Executive Order No. 12866, and 
    accordingly this rule has
    
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    not been reviewed by the Office of Management and Budget.
    
    Executive Order 12612
    
        This rule has no Federalism implications warranting the preparation 
    of a Federalism Assessment in accordance with Executive Order No. 
    12612.
    
    Executive Order 12988
    
        This rule complies with the applicable standards provided in 
    sections 3(a) and 3(b)(2) of Executive Order No. 12988.
    
    Public Comment
    
        The Executive Office for Immigration Review invites public comments 
    within sixty days of the publication date of these rules. In 
    particular, any suggestions for changes that might make the 
    Administrative Law Judge hearing process more accessible for small 
    businesses, including the possibility of streamlined procedures, would 
    be appreciated.
    
    List of Subjects in 28 CFR Part 68
    
        Administrative practices and procedure, Aliens, Citizenship and 
    naturalization, Civil Rights, Discrimination in employment, Employment, 
    Equal employment opportunity, Immigration, Nationality, Non-
    discrimination.
    
        Accordingly, title 28, part 68 of the Code of Federal Regulations 
    is amended as follows:
    
    PART 68--RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE 
    HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING 
    ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-
    RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD
    
        1. The authority citation continues to read as follows:
    
        Authority: 5 U.S.C. 301, 554; 8 U.S.C. 1103, 1324a, 1324b, and 
    1324c.
    
        2. The heading of part 68 is revised to read as set forth in the 
    heading above.
        3. Revise Secs. 68.1, 68.2, 68.3, 68.6, 68.7, 68.9, 68.10, 68.14, 
    68.18, 68.22, 68.23, 68.24, 68.27, 68.33, 68.38, 68.42, 68.52, 68.53, 
    and 68.54, and add Secs. 68.55 through 68.58 to read as follows:
    
    
    Sec. 68.1  Scope of rules.
    
        The rules of practice in this part are applicable to adjudicatory 
    proceedings before Administrative Law Judges of the Executive Office 
    for Immigration Review, United States Department of Justice, with 
    regard to unlawful employment cases under section 274A of the INA, 
    unfair immigration-related employment practice cases under section 274B 
    of the INA, and document fraud cases under section 274C of the INA. 
    Such proceedings shall be conducted expeditiously, and the parties 
    shall make every effort at each stage of a proceeding to avoid delay. 
    To the extent that these rules may be inconsistent with a rule of 
    special application as provided by statute, executive order, or 
    regulation, the latter is controlling. The Federal Rules of Civil 
    Procedure may be used as a general guideline in any situation not 
    provided for or controlled by these rules, by the Administrative 
    Procedure Act, or by any other applicable statute, executive order, or 
    regulation.
    
    
    Sec. 68.2  Definitions.
    
        For purposes of this part:
        Adjudicatory proceeding means an administrative judicial-type 
    proceeding, before the Office of the Chief Administrative Hearing 
    Officer, commencing with the filing of a complaint and leading to the 
    formulation of a final agency order;
        Administrative Law Judge means an Administrative Law Judge 
    appointed pursuant to the provisions of 5 U.S.C. 3105;
        Administrative Procedure Act means those provisions of the 
    Administrative Procedure Act, as codified, which are contained in 5 
    U.S.C. 551 through 559;
        Certification means a formal assertion in writing of the specified 
    fact(s), signed by the person(s) making the certification and thereby 
    attesting to the truth of the content of the writing, except as 
    follows:
        (1) ``Certified court reporter'' means a person who has been deemed 
    by an appropriate body to be qualified to transcribe or record 
    testimony during formal legal proceedings,
        (2) ``Certified mail'' means a form of mail similar to registered 
    mail by which sender may require return receipt from addressee, and
        (3) ``Certified copy'' means a copy of a document or record, signed 
    by the officer to whose custody the original is entrusted, thereby 
    attesting that the copy is a true copy;
        Certify means the act of executing a certification;
        Chief Administrative Hearing Officer or an official who has been 
    designated to act as the Chief Administrative Hearing Officer, is the 
    official who, under the Director, Executive Office for Immigration 
    Review, generally administers the Administrative Law Judge program, 
    exercises administrative supervision over Administrative Law Judges and 
    others assigned to the Office of the Chief Administrative Hearing 
    Officer, and who, in accordance with sections 274A(e)(7) and 274C(d)(4) 
    of the INA, exercises discretionary authority to review the decisions 
    and orders of Administrative Law Judges adjudicated under sections 274A 
    and 274C of the INA;
        Complainant means the Immigration and Naturalization Service in 
    cases arising under sections 274A and 274C of the INA. In cases arising 
    under section 274B of the INA, ``complainant'' means the Special 
    Counsel (as defined in this section), and also includes the person or 
    entity who has filed a charge with the Special Counsel, or, in private 
    actions, an individual or private organization;
        Complaint means the formal document initiating an adjudicatory 
    proceeding;
        Consent order means any written document containing a specified 
    remedy or other relief agreed to by all parties and entered as an order 
    by the Administrative Law Judge;
        Debt Collection Improvement Act means the Debt Collection 
    Improvement Act of 1996, Pub. L. 104-134, Title III, 110 Stat. 1321 
    (1996);
        Decision means any findings of fact or conclusions of law by an 
    Administrative Law Judge or the Chief Administrative Hearing Officer;
        Document fraud cases means cases involving allegations under 
    section 274C of the INA.
        Entry means the date the Administrative Law Judge, Chief 
    Administrative Hearing Officer, or the Attorney General signs the 
    order; Entry as used in section 274B(i)(1) of the INA means the date 
    the Administrative Law Judge signs the order;
        Final agency order is an Administrative Law Judge's final order, in 
    cases arising under sections 274A and 274C of the INA, that has not 
    been modified, vacated, or remanded by the Chief Administrative Hearing 
    Officer pursuant to Sec. 68.54, referred to the Attorney General for 
    review pursuant to Sec. 68.55(a), or accepted by the Attorney General 
    for review pursuant to Sec. 68.55(b)(3). Alternatively, if the Chief 
    Administrative Hearing Officer modifies or vacates the final order 
    pursuant to Sec. 68.54, the modification or vacation becomes the final 
    agency order if it has not been referred to the Attorney General for 
    review pursuant to Sec. 68.55(a) or accepted by the Attorney General 
    for review pursuant to Sec. 68.55(b)(3). If the Attorney General enters 
    an order that modifies or vacates either the Chief Administrative 
    Hearing Officer's or the Administrative Law Judge's order, the Attorney 
    General's
    
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    order is the final agency order. In cases arising under section 274B of 
    the INA, an Administrative Law Judge's final order is also the final 
    agency order;
        Final order is an order by an Administrative Law Judge that 
    disposes of a particular proceeding or a distinct portion of a 
    proceeding, thereby concluding the jurisdiction of the Administrative 
    Law Judge over that proceeding or portion thereof;
        Hearing means that part of a proceeding that involves the 
    submission of evidence, either by oral presentation or written 
    submission;
        Interlocutory order means an order that decides some point or 
    matter, but is not a final order or a final decision of the whole 
    controversy; it decides some intervening matter pertaining to the cause 
    of action and requires further steps to be taken in order for the 
    Administrative Law Judge to adjudicate the cause on the full merits;
        INA means the Immigration and Nationality Act of 1952, ch. 477, 
    Pub. L. 82-414, 66 Stat. 163, as amended;
        Issued as used in section 274A(e)(8) and section 274C(d)(5) of the 
    INA means the date on which an Administrative Law Judge's final order, 
    the Chief Administrative Hearing Officer's order, or an adoption, 
    modification, or vacation by the Attorney General becomes a final 
    agency order;
        Motion means an oral or written request, made by a person or a 
    party, for some action by an Administrative Law Judge;
        Order means a determination or mandate by an Administrative Law 
    Judge, the Chief Administrative Hearing Officer, or the Attorney 
    General that resolves some point or directs some action in the 
    proceeding;
        Ordinary mail refers to the mail service provided by the United 
    States Postal Service using only standard postage fees, exclusive of 
    special systems, electronic transfers, and other means that have the 
    effect of providing expedited service;
        Party includes all persons or entities named or admitted as a 
    complainant, respondent, or intervenor in a proceeding; or any person 
    filing a charge with the Special Counsel under section 274B of the INA, 
    resulting in the filing of a complaint, concerning an unfair 
    immigration-related employment practice;
        Pleading means the complaint, motions, the answer thereto, any 
    supplement or amendment thereto, and reply that may be permitted to any 
    answer, supplement, or amendment submitted to the Administrative Law 
    Judge or, when no judge is assigned, the Chief Administrative Hearing 
    Officer;
        Prohibition of indemnity bond cases means cases involving 
    allegations under section 274A(g) of the INA;
        Respondent means a party to an adjudicatory proceeding, other than 
    a complainant, against whom findings may be made or who may be required 
    to provide relief or take remedial action;
        Special Counsel means the Special Counsel for Unfair Immigration-
    Related Employment Practices appointed by the President under section 
    274B of the INA, or his or her designee or in the case of a vacancy in 
    the Office of Special Counsel, the officer or employee designated by 
    the President who shall act as Special Counsel during such vacancy;
        Unfair immigration-related employment practice cases means cases 
    involving allegations under section 274B of the INA.
        Unlawful employment cases means cases involving allegations under 
    section 274A of the INA, other than prohibition of indemnity bond 
    cases;
    
    
    Sec. 68.3  Service of complaint, notice of hearing, written orders, and 
    decisions.
    
        (a) Service of complaint, notice of hearing, written orders, and 
    decisions shall be made by the Office of the Chief Administrative 
    Hearing Officer or the Administrative Law Judge to whom the case is 
    assigned either:
        (1) By delivering a copy to the individual party, partner of a 
    party, officer of a corporate party, registered agent for service of 
    process of a corporate party, or attorney or representative of record 
    of a party;
        (2) By leaving a copy at the principal office, place of business, 
    or residence of a party; or
        (3) By mailing to the last known address of such individual, 
    partner, officer, or attorney or representative of record.
        (b) Service of complaint and notice of hearing is complete upon 
    receipt by addressee.
        (c) In circumstances where the Office of the Chief Administrative 
    Hearing Officer or the Administrative Law Judge encounters difficulty 
    with perfecting service, the Chief Administrative Hearing Officer or 
    the Administrative Law Judge may direct that a party execute service of 
    process.
    * * * * *
    
    
    Sec. 68.6  Service and filing of documents.
    
        (a) Generally. An original and four copies of the complaint shall 
    be filed with the Chief Administrative Hearing Officer. An original and 
    two copies of all other pleadings, including any attachments, shall be 
    filed with the Chief Administrative Hearing Officer by the parties 
    presenting the pleadings until an Administrative Law Judge is assigned 
    to a case. Thereafter, all pleadings shall be delivered or mailed for 
    filing to the Administrative Law Judge assigned to the case, and shall 
    be accompanied by a certification indicating service to all parties of 
    record. When a party is represented by an attorney, service shall be 
    made upon the attorney. Except as required by Sec. 68.54(c) and 
    paragraph (c) of this section, service of any document upon any party 
    may be made by personal delivery or by mailing a copy to the last known 
    address. The person serving the document shall certify to the manner 
    and date of service.
        (b) Discovery. The parties shall not file requests for discovery, 
    answers, or responses thereto with the Administrative Law Judge. The 
    Administrative Law Judge may, however, upon motion of a party or on his 
    or her own initiative, order that such requests for discovery, answers, 
    or responses thereto be filed.
        (c) Where a time limit is imposed by statute, regulation, or order. 
    Pleadings and briefs may be filed by facsimile with either an 
    Administrative Law Judge or, in the case of a complaint, with the Chief 
    Administrative Hearing Officer, only to toll the running of a time 
    limit. All original signed pleadings and other documents must be 
    forwarded concurrently with the transmission of the facsimile. Any 
    party filing documents by facsimile must include in the certification 
    of service a certification that service on the opposing party has also 
    been made by facsimile or by same-day hand delivery, or, if service by 
    facsimile or same-day hand delivery cannot be made, a certification 
    that the document has been served instead by overnight delivery 
    service. In the case of requests for administrative review, briefs or 
    other filings relating to review by the Chief Administrative Hearing 
    Officer, filing, or service shall be made using the procedure set forth 
    in this paragraph pursuant to Sec. 68.54(c).
    
    
    Sec. 68.7  Form of pleadings.
    
        (a) Every pleading shall contain a caption setting forth the 
    statutory provision under which the proceeding is instituted, the title 
    of the proceeding, the docket number assigned by the Office of the 
    Chief Administrative Hearing Officer, the names of all parties (or, 
    after the complaint, at least the first party named as a complainant or 
    respondent), and a designation of the type of pleading (e.g., 
    complaint, motion to dismiss). The pleading shall be signed, dated, and 
    shall contain the
    
    [[Page 7075]]
    
    address and telephone number of the party or person representing the 
    party. The pleading shall be on standard size (8\1/2\ x 11) paper and 
    should also be typewritten when possible.
        (b) A complaint filed pursuant to section 274A, 274B, or 274C of 
    the INA shall contain the following:
        (1) A clear and concise statement of facts, upon which an assertion 
    of jurisdiction is predicated;
        (2) The names and addresses of the respondents, agents, and/or 
    their representatives who have been alleged to have committed the 
    violation;
        (3) The alleged violations of law, with a clear and concise 
    statement of facts for each violation alleged to have occurred; and,
        (4) A short statement containing the remedies and/or sanctions 
    sought to be imposed against the respondent.
        (5) The complaint must be accompanied by a statement identifying 
    the party or parties to be served by the Office of the Chief 
    Administrative Hearing Officer with notice of the complaint pursuant to 
    Sec. 68.3.
        (c) Complaints filed pursuant to sections 274A and 274C of the INA 
    shall be signed by an attorney and shall be accompanied by a copy of 
    the Notice of Intent to Fine and Request for Hearing. Complaints filed 
    pursuant to section 274B of the INA shall be accompanied by a copy of 
    the charge, previously filed with the Special Counsel pursuant to 
    section 274B(b)(1), and a copy of the Special Counsel's letter of 
    determination regarding the charges.
        (d) Illegible documents, whether handwritten, typewritten, 
    photocopied, or otherwise, will not be accepted. Papers may be 
    reproduced by any duplicating process, provided that all copies are 
    clear and legible.
        (e) All documents presented by a party in a proceeding must be in 
    the English language or, if in a foreign language, accompanied by a 
    certified translation.
    * * * * *
    
    
    Sec. 68.9  Responsive pleadings--answer.
    
        (a) Time for answer. Within thirty (30) days after the service of a 
    complaint, each respondent shall file an answer.
        (b) Default. Failure of the respondent to file an answer within the 
    time provided may be deemed to constitute a waiver of his or her right 
    to appear and contest the allegations of the complaint. The 
    Administrative Law Judge may enter a judgment by default.
        (c) Answer. Any respondent contesting any material fact alleged in 
    a complaint, or contending that the amount of a proposed penalty or 
    award is excessive or inappropriate, or contending that he or she is 
    entitled to judgment as a matter of law, shall file an answer in 
    writing. The answer shall include:
        (1) A statement that the respondent admits, denies, or does not 
    have and is unable to obtain sufficient information to admit or deny 
    each allegation; a statement of lack of information shall have the 
    effect of a denial (any allegation not expressly denied shall be deemed 
    to be admitted); and
        (2) A statement of the facts supporting each affirmative defense.
        (d) Reply. Complainants may file a reply responding to each 
    affirmative defense asserted.
        (e) Amendments and supplemental pleadings. If a determination of a 
    controversy on the merits will be facilitated thereby, the 
    Administrative Law Judge may, upon such conditions as are necessary to 
    avoid prejudicing the public interest and the rights of the parties, 
    allow appropriate amendments to complaints and other pleadings at any 
    time prior to the issuance of the Administrative Law Judge's final 
    order based on the complaint. When issues not raised by the pleadings 
    are reasonably within the scope of the original complaint and are tried 
    by express or implied consent of the parties, they shall be treated in 
    all respects as if they had been raised in the pleadings, and such 
    amendments may be made as necessary to make the pleading conform to the 
    evidence. The Administrative Law Judge may, upon reasonable notice and 
    such terms as are just, permit supplemental pleadings setting forth 
    transactions, occurrences, or events that have occurred or new law 
    promulgated since the date of the pleadings and which are relevant to 
    any of the issues involved.
    
    
    Sec. 68.10  Motion to dismiss for failure to state a claim upon which 
    relief can be granted.
    
        (a) The respondent, without waiving the right to offer evidence in 
    the event that the motion is not granted, may move for a dismissal of 
    the complaint on the ground that the complainant has failed to state a 
    claim upon which relief can be granted. The filing of a motion to 
    dismiss does not affect the time period for filing an answer.
        (b) The Administrative Law Judge may dismiss the complaint, based 
    on a motion by the respondent or without a motion from the respondent, 
    if the Administrative Law Judge determines that the complainant has 
    failed to state a claim upon which relief can be granted. However, in 
    the prehearing phase of an adjudicatory proceeding brought under this 
    part, the Administrative Law Judge shall not dismiss a complaint in its 
    entirety for failure to state a claim upon which relief may be granted, 
    upon his or her own motion, without affording the complainant an 
    opportunity to show cause why the complaint should not be dismissed.
    * * * * *
    
    
    Sec. 68.14  Consent findings or dismissal.
    
        (a) Submission. Where the parties or their authorized 
    representatives or their counsel have entered into a settlement 
    agreement, they shall:
        (1) Submit to the presiding Administrative Law Judge:
        (i) The agreement containing consent findings; and
        (ii) A proposed decision and order; or
        (2) Notify the Administrative Law Judge that the parties have 
    reached a full settlement and have agreed to dismissal of the action. 
    Dismissal of the action shall be subject to the approval of the 
    Administrative Law Judge, who may require the filing of the settlement 
    agreement.
        (b) Content. Any agreement containing consent findings and a 
    proposed decision and order disposing of a proceeding or any part 
    thereof shall also provide:
        (1) That the decision and order based on consent findings shall 
    have the same force and effect as a decision and order made after full 
    hearing;
        (2) That the entire record on which any decision and order may be 
    based shall consist solely of the complaint, notice of hearing, and any 
    other such pleadings and documents as the Administrative Law Judge 
    shall specify;
        (3) A waiver of any further procedural steps before the 
    Administrative Law Judge; and
        (4) A waiver of any right to challenge or contest the validity of 
    the decision and order entered into in accordance with the agreement.
        (c) Disposition. In the event an agreement containing consent 
    findings and an interim decision and order is submitted, the 
    Administrative Law Judge, within thirty (30) days or as soon as 
    practicable thereafter, may, if satisfied with its timeliness, form, 
    and substance, accept such agreement by entering a decision and order 
    based upon the agreed findings. In his or her discretion, the 
    Administrative Law Judge may conduct a hearing to determine the 
    fairness of the agreement, consent findings, and proposed decision and 
    order.
    * * * * *
    
    [[Page 7076]]
    
    Sec. 68.18  Discovery--general provisions.
    
        (a) General. Parties may obtain discovery by one or more of the 
    following methods: depositions upon oral examination or written 
    questions; written interrogatories; production of documents or things, 
    or permission to enter upon land or other property, for inspection and 
    other purposes; physical and mental examinations; and requests for 
    admissions. The frequency or extent of these methods may be limited by 
    the Administrative Law Judge upon his or her own initiative or pursuant 
    to a motion under paragraph (c) of this section.
        (b) Scope of discovery. Unless otherwise limited by order of the 
    Administrative Law Judge in accordance with the rules in this part, the 
    parties may obtain discovery regarding any matter, not privileged, 
    which is relevant to the subject matter involved in the proceeding, 
    including the existence, description, nature, custody, condition, and 
    location of any books, documents, or other tangible things, and the 
    identity and location of persons having knowledge of any discoverable 
    matter.
        (c) Protective orders. Upon motion by a party or the person from 
    whom discovery is sought, and for good cause shown, the Administrative 
    Law Judge may make any order that justice requires to protect a party 
    or person from annoyance, harassment, embarrassment, oppression, or 
    undue burden or expense, including one or more of the following:
        (1) The discovery not be had;
        (2) The discovery may be had only on specified terms and 
    conditions, including a designation of the time, amount, duration, or 
    place;
        (3) The discovery may be had only by a method of discovery other 
    than that selected by the party seeking discovery; or
        (4) Certain matters not relevant may not be inquired into, or that 
    the scope of discovery be limited to certain matters.
        (d) Supplementation of responses. A party who has responded to a 
    request for discovery with a response that was complete when made is 
    under no duty to supplement his or her response to include information 
    thereafter acquired, except as follows:
        (1) A party is under a duty to supplement timely his or her 
    response with respect to any question directly addressed to:
        (i) The identity and location of persons having knowledge of 
    discoverable matters; and
        (ii) The identity of each person expected to be called as an expert 
    witness at the hearing, the subject matter on which he or she is 
    expected to testify, and the substance of his or her testimony.
        (2) A party is under a duty to amend timely a prior response if he 
    or she later obtains information upon the basis of which:
        (i) He or she knows the response was incorrect when made; or
        (ii) He or she knows that the response, though correct when made, 
    is no longer true and the circumstances are such that a failure to 
    amend the response is in substance a knowing concealment.
        (3) A duty to supplement responses may be imposed by order of the 
    Administrative Law Judge upon motion of a party or agreement of the 
    parties.
    * * * * *
    
    
    Sec. 68.22  Depositions.
    
        (a) Notice. Any party desiring to take the deposition of a witness 
    shall give notice in writing to the witness and other parties of the 
    time and place of the deposition, and the name and address of each 
    witness. If documents are requested, the notice shall include a written 
    request for the production of documents. Not less than ten (10) days 
    written notice shall be given when the deposition is to be taken within 
    the continental United States, and not less then twenty (20) days 
    written notice shall be given when the deposition is to be taken 
    elsewhere, unless otherwise permitted by the Administrative Law Judge 
    or agreed to by the parties.
        (b) When, how, and by whom taken. The following procedures shall 
    apply to depositions:
        (1) Depositions may be taken by oral examination or upon written 
    interrogatories before any person having power to administer oaths. The 
    party taking a deposition upon oral examination shall state in the 
    notice the method by which the testimony shall be recorded. Unless the 
    Administrative Law Judge orders otherwise, it may be recorded by sound, 
    sound-and-visual, or stenographic means, and the party taking the 
    deposition shall bear the cost of the recording. Any party may arrange 
    for a transcription to be made from the recording of a deposition taken 
    by non-stenographic means.
        (2) Each witness testifying upon deposition shall testify under 
    oath and any other party shall have the right to cross-examine. The 
    questions asked and the answers thereto, together with all objections 
    made, shall be recorded as provided by paragraph (b)(1) of this 
    section. The person administering the oath shall certify in writing 
    that the transcript or recording is a true record of the testimony 
    given by the witness. The witness shall review the transcript or 
    recording within thirty (30) days of notification that it is available 
    and subscribe in writing to the deposition, indicating in writing any 
    changes in form or substance, unless such review is waived by the 
    witness and the parties by stipulation.
        (c) Motion to terminate or limit examination. During the taking of 
    a deposition, a party or deponent may request suspension of the 
    deposition on grounds of bad faith in the conduct of the examination, 
    oppression of a deponent or party, or improper questions asked. The 
    deposition will then be adjourned. However, the objecting party or 
    deponent must immediately move the Administrative Law Judge for a 
    ruling on his or her objections to the deposition conduct or 
    proceedings.
    
    
    Sec. 68.23  Motion to compel response to discovery; sanctions.
    
        (a) If a deponent fails to answer a question asked, or a party upon 
    whom a discovery request is made pursuant to Secs. 68.18 through 68.22 
    fails to respond adequately or objects to the request or to any part 
    thereof, or fails to permit inspection as requested, the discovering 
    party may move the Administrative Law Judge for an order compelling a 
    response or inspection in accordance with the request. A party who has 
    taken a deposition or has requested admissions or has served 
    interrogatories may move to determine the sufficiency of the answers or 
    objections thereto. Unless the objecting party sustains his or her 
    burden of showing that the objection is justified, the Administrative 
    Law Judge may order that an answer be served. If the Administrative Law 
    Judge determines that an answer does not comply with the requirements 
    of the rules in this part, he or she may order either that the matter 
    is admitted or that an amended answer be served.
        (b) The motion shall set forth and include:
        (1) The nature of the questions or request;
        (2) The response or objections of the party upon whom the request 
    was served;
        (3) Arguments in support of the motion; and
        (4) A certification that the movant has in good faith conferred or 
    attempted to confer with the person or party failing to make the 
    discovery in an effort to secure information or material without action 
    by the Administrative Law Judge.
        (c) If a party, an officer or an agent of a party, or a witness, 
    fails to comply with an order, including, but not limited to, an order 
    for the taking of a deposition, the production of
    
    [[Page 7077]]
    
    documents, the answering of interrogatories, a response to a request 
    for admissions, or any other order of the Administrative Law Judge, the 
    Administrative Law Judge may, for the purposes of permitting resolution 
    of the relevant issues and disposition of the proceeding and to avoid 
    unnecessary delay, take the following actions:
        (1) Infer and conclude that the admission, testimony, documents, or 
    other evidence would have been adverse to the non-complying party;
        (2) Rule that for the purposes of the proceeding the matter or 
    matters concerning which the order was issued be taken as established 
    adversely to the non-complying party;
        (3) Rule that the non-complying party may not introduce into 
    evidence or otherwise rely upon testimony by such party, officer, or 
    agent, or the documents or other evidence, in support of or in 
    opposition to any claim or defense;
        (4) Rule that the non-complying party may not be heard to object to 
    introduction and use of secondary evidence to show what the withheld 
    admission, testimony, documents, or other evidence would have shown;
        (5) Rule that a pleading, or part of a pleading, or a motion or 
    other submission by the non-complying party, concerning which the order 
    was issued, be stricken, or that a decision of the proceeding be 
    rendered against the non-complying party, or both;
        (6) In the case of failure to comply with a subpoena, the 
    Administrative Law Judge may also take the action provided in 
    Sec. 68.25(e); and
        (7) In ruling on a motion made pursuant to this section, the 
    Administrative Law Judge may make and enter a protective order such as 
    he or she is authorized to enter on a motion made pursuant to 
    Sec. 68.42.
        (d) Evasive or incomplete response. For the purposes of this 
    section, an evasive or incomplete response to discovery may be treated 
    as a failure to respond.
    
    
    Sec. 68.24  Use of depositions at hearings.
    
        (a) Generally. At the hearing, any part or all of a deposition, so 
    far as admissible, may be used against any party who was present or 
    represented at the taking of the deposition or who had due notice 
    thereof, in accordance with any one of the following provisions:
        (1) Any deposition may be used by any party for the purpose of 
    contradicting or impeaching the testimony of the deponent as a witness;
        (2) The deposition of an expert witness may be used by any party 
    for any purpose, unless the Administrative Law Judge rules that such 
    use would be unfair or a violation of due process;
        (3) The deposition of a party or of anyone who at the time of 
    taking the deposition was an officer, director, or duly authorized 
    agent of a public or private corporation, partnership, or association 
    which is a party, may be used by any other party for any purpose;
        (4) The deposition of a witness, whether or not a party, may be 
    used by any party for any purpose if the Administrative Law Judge 
    finds:
        (i) That the witness is dead;
        (ii) That the witness is out of the United States or more than 100 
    miles from the place of hearing unless it appears that the absence of 
    the witness was procured by the party offering the deposition;
        (iii) That the witness is unable to attend to testify because of 
    age, sickness, infirmity, or imprisonment;
        (iv) That the party offering the deposition has been unable to 
    procure the attendance of the witness by subpoena; or
        (v) Upon application and notice, that such exceptional 
    circumstances exist to make it desirable, in the interest of justice, 
    and with due regard to the importance of presenting the testimony of 
    witnesses orally in open hearing, to allow the deposition to be used;
        (5) If only part of a deposition is offered in evidence by a party, 
    any other party may require him or her to introduce all of it which is 
    relevant to the part introduced, and any party may introduce any other 
    parts; and
        (6) Substitution of parties does not affect the right to use 
    depositions previously taken; and, when a proceeding in any hearing has 
    been dismissed and another proceeding involving the parties or their 
    representatives or successors in interest has been brought (or 
    commenced), all depositions lawfully taken and duly filed in the former 
    proceeding may be used in the latter if originally taken therefor.
        (7) A party offering deposition testimony may offer it in 
    stenographic or nonstenographic form, but if in nonstenographic form, 
    the party shall also be responsible for providing a transcript of the 
    portions so offered.
        (b) Objections to admissibility. Except as provided in this 
    paragraph, objections may be made at the hearing to receiving in 
    evidence any deposition or part thereof for any reason that would 
    require the exclusion of the evidence if the witness were then present 
    and testifying.
        (1) Objections to the competency of a witness or to the competency, 
    relevancy, or materiality of testimony are not waived by failure to 
    make them before or during the taking of the deposition, unless the 
    ground of the objection is one that might have been obviated or removed 
    if presented at that time.
        (2) Errors and irregularities occurring at the oral examination in 
    the manner of taking the deposition, in the form of the questions or 
    answers, in the oath or affirmation, or in the conduct of parties and 
    errors of any kind which might be obviated, removed, or cured if 
    promptly presented, are waived unless reasonable objection thereto is 
    made at the taking of the deposition.
    * * * * *
    
    
    Sec. 68.27  Continuances.
    
        (a) When granted. Continuances shall only be granted in cases where 
    the requester has a prior judicial commitment or can demonstrate undue 
    hardship, or a showing of other good cause.
        (b) Time limit for requesting. Except for good cause arising 
    thereafter, requests for continuances must be filed not later than 
    fourteen (14) days prior to the date of the scheduled proceeding.
        (c) How filed. Motions for continuances shall be in writing, unless 
    made during the prehearing conference or the hearing. Copies shall be 
    served on all parties. Any motions for continuances filed fewer than 
    fourteen (14) days before the date of the scheduled proceeding shall, 
    in addition to the written request, be telephonically communicated to 
    the Administrative Law Judge or a member of the Judge's staff and to 
    all other parties.
        (d) Ruling. Time permitting, the Administrative Law Judge shall 
    enter a written order in advance of the scheduled proceeding date that 
    either grants or denies the request. Otherwise, the ruling shall be 
    made orally by telephonic communication to the party requesting the 
    continuance, who shall be responsible for telephonically notifying all 
    other parties. Oral orders shall be confirmed in writing by the 
    Administrative Law Judge.
    * * * * *
    
    
    Sec. 68.33  Participation of parties and representation.
    
        (a) Participation of parties. Any party shall have the right to 
    appear in a proceeding and may examine and cross-examine witnesses and 
    introduce into the record documentary or other relevant evidence, 
    except that the participation of any intervenor shall be limited to the 
    extent prescribed by the Administrative Law Judge.
        (b) Person compelled to testify. Any person compelled to testify in 
    a
    
    [[Page 7078]]
    
    proceeding in response to a subpoena may be accompanied, represented, 
    and advised by an individual meeting the requirements of paragraph (c) 
    of this section.
        (c) Representation for respondents. Persons who may appear before 
    the Administrative Law Judges on behalf of respondents include:
        (1) An attorney at law who is admitted to practice before the 
    federal courts or before the highest court of any state, the District 
    of Columbia, or any territory or commonwealth of the United States, may 
    practice before the Administrative Law Judges. An attorney's own 
    representation that the attorney is in good standing before any of such 
    courts shall be sufficient proof thereof, unless otherwise ordered by 
    the Administrative Law Judge.
        (2) A law student, enrolled in an accredited law school, may 
    practice before an Administrative Law Judge. The law student must seek 
    advance approval by filing a statement with the Administrative Law 
    Judge proving current participation in a legal assistance program or 
    clinic conducted by the law school. Practice before the Administrative 
    Law Judge shall be under direct supervision of a faculty member or an 
    attorney. An appearance by a law student shall be without direct or 
    indirect remuneration. The Administrative Law Judge may determine the 
    amount of supervision required of the supervising faculty member or 
    attorney.
        (3) An individual who is neither an attorney nor a law student may 
    be allowed to provide representation to a party upon a written order 
    from the Administrative Law Judge assigned to the case granting 
    approval of the representation. The individual must file a written 
    application with the Administrative Law Judge demonstrating that the 
    individual possesses the knowledge of administrative procedures, 
    technical expertise, or other qualifications necessary to render 
    valuable service in the proceedings and is otherwise competent to 
    advise and assist in the presentation of matters in the proceedings.
        (i) Application. A written application by an individual who is 
    neither an attorney nor a law student for admission to represent a 
    party in proceedings shall be submitted to the Administrative Law Judge 
    within ten (10) days from the receipt of the Notice of Hearing and 
    complaint by the party on whose behalf the individual wishes to file 
    the application. This period of time for filing the application may be 
    extended upon approval of the Administrative Law Judge. The application 
    shall set forth in detail the requesting individual's qualifications to 
    represent the party.
        (ii) Inquiry on qualifications or ability. The Administrative Law 
    Judge may, at any time, inquire as to the qualifications or ability of 
    any non-attorney to render assistance in proceedings before the 
    Administrative Law Judge.
        (iii) Denial of authority to appear. Except as provided in 
    paragraph (c)(3)(iv) of this section, the Administrative Law Judge may 
    enter an order denying the privilege of appearing to any individual 
    whom the Judge does not possess the requisite qualifications to 
    represent others; is lacking in character or integrity; has engaged in 
    unethical or improper professional conduct; or has engaged in an act 
    involving moral turpitude.
        (iv) Exception. Any individual may represent him or herself or any 
    corporation, partnership or unincorporated association of which that 
    individual is a partner or general officer in proceedings before the 
    Administrative Law Judge without prior approval of the Administrative 
    Law Judge and without filing the written application required by this 
    paragraph. Such individuals must, however, file a notice of appearance 
    in the manner set forth in paragraph (e) of this section.
        (d) Representation for the Department of Justice. The Department of 
    Justice may be represented by the appropriate counsel in these 
    proceedings.
        (e) Proof of authority. Any individual acting in a representative 
    capacity in any adjudicative proceeding may be required by the 
    Administrative Law Judge to show his or her authority to act in such 
    capacity. Representation of a respondent shall be at no expense to the 
    Government.
        (f) Notice of appearance. Except for a government attorney filing a 
    complaint pursuant to section 274A, 274B, or 274C of the INA, each 
    attorney shall file a notice of appearance. Such notice shall indicate 
    the name of the case or controversy, the case number if assigned, and 
    the party on whose behalf the appearance is made. The notice of 
    appearance shall be signed by the attorney, and shall be accompanied by 
    a certification indicating that such notice was served on all parties 
    of record. A request for a hearing signed by an attorney and filed with 
    the Immigration and Naturalization Service pursuant to section 
    274A(e)(3)(A) or 274C(d)(2)(A) of the INA, and containing the same 
    information as required by this section, shall be considered a notice 
    of appearance on behalf of the respondent for whom the request was 
    made.
        (g) Withdrawal or substitution of a representative. Withdrawal or 
    substitution of an attorney or representative may be permitted by the 
    Administrative Law Judge upon written motion. The Administrative Law 
    Judge shall enter an order granting or denying such motion for 
    withdrawal or substitution.
    * * * * *
    
    
    Sec. 68.38  Motion for summary decision.
    
        (a) A complainant, not fewer than thirty (30) days after receipt by 
    respondent of the complaint, may move with or without supporting 
    affidavits for summary decision on all or any part of the complaint. 
    Motions by any party for summary decision on all or any part of the 
    complaint will not be entertained within the twenty (20) days prior to 
    any hearing, unless the Administrative Law Judge decides otherwise. Any 
    other party, within ten (10) days after service of a motion for summary 
    decision, may respond to the motion by serving supporting or opposing 
    papers with affidavits, if appropriate, or countermove for summary 
    decision. The Administrative Law Judge may set the matter for argument 
    and/or call for submission of briefs.
        (b) Any affidavits submitted with the motion shall set forth such 
    facts as would be admissible in evidence in a proceeding subject to 5 
    U.S.C. 556 and 557 and shall show affirmatively that the affiant is 
    competent to testify to the matters stated therein. When a motion for 
    summary decision is made and supported as provided in this section, a 
    party opposing the motion may not rest upon the mere allegations or 
    denials of such pleading. Such response must set forth specific facts 
    showing that there is a genuine issue of fact for the hearing.
        (c) The Administrative Law Judge shall enter a summary decision for 
    either party if the pleadings, affidavits, material obtained by 
    discovery or otherwise, or matters officially noticed show that there 
    is no genuine issue as to any material fact and that a party is 
    entitled to summary decision.
        (d) Form of summary decisions. Any final order entered as a summary 
    decision shall conform to the requirements for all final orders. A 
    final order made under this section shall include a statement of:
        (1) Findings of fact and conclusions of law, and the reasons 
    therefor, on all issues presented; and
        (2) Any terms and conditions of the final order.
        (e) Hearings on issue of fact. Where a genuine question of material 
    fact is
    
    [[Page 7079]]
    
    raised, the Administrative Law Judge shall set the case for an 
    evidentiary hearing.
    * * * * *
    
    
    Sec. 68.42  In camera and protective orders.
    
        (a) Privileged communications. Upon application of any person, the 
    Administrative Law Judge may limit discovery or introduction of 
    evidence or enter such protective or other orders as in the Judge's 
    judgment may be consistent with the objective of protecting privileged 
    communications and of protecting data and other material the disclosure 
    of which would unreasonably prejudice a party, witness, or third party.
        (b) Classified or sensitive matter. (1) Without limiting the 
    discretion of the Administrative Law Judge to give effect to any other 
    applicable privilege, it shall be proper for the Administrative Law 
    Judge to limit discovery or introduction of evidence or to enter such 
    protective or other orders as in the Judge's judgment may be consistent 
    with the objective of preventing undue disclosure of classified or 
    sensitive matter. When the Administrative Law Judge determines that 
    information in documents containing sensitive matter should be made 
    available the Judge may direct the producing party to prepare an 
    unclassified or nonsensitive summary or extract of the original. The 
    summary or extract may be admitted as evidence in the record.
        (2) If the Administrative Law Judge determines that this procedure 
    is inadequate and that classified or otherwise sensitive matter must 
    form part of the record in order to avoid prejudice to any party, the 
    Judge may so advise the parties and provide an opportunity for 
    arrangements to permit a party or a representative to have access to 
    such matter. Such arrangements may include obtaining security 
    clearances or giving counsel for a party access to sensitive 
    information and documents subject to assurances against further 
    disclosure.
    * * * * *
    
    
    Sec. 68.52  Final order of the Administrative Law Judge.
    
        (a) Proposed final order. (1) Within twenty (20) days of filing of 
    the transcript of the testimony, or within such additional time as the 
    Administrative Law Judge may allow, the Administrative Law Judge may 
    require the parties to file proposed findings of fact, conclusions of 
    law, and orders, together with supporting briefs expressing the reasons 
    for such proposals. Such proposals and briefs shall be served on all 
    parties and shall refer to all portions of the record and to all 
    authorities relied upon in support of each proposal.
        (2) The Administrative Law Judge may, by order, require that when a 
    proposed order is filed for the Administrative Law Judge's 
    consideration, the filing party shall submit to the Administrative Law 
    Judge a copy of the proposed order on a 3.5'' microdisk.
        (b) Entry of final order. Unless an extension of time is given by 
    the Chief Administrative Hearing Officer for good cause, the 
    Administrative Law Judge shall enter the final order within sixty (60) 
    days after receipt of the hearing transcript or of post-hearing briefs, 
    proposed findings of fact, and conclusions of law, if any, by the 
    Administrative Law Judge. The final order entered by the Administrative 
    Law Judge shall be based upon the whole record. It shall be supported 
    by reliable and probative evidence. The standard of proof shall be by a 
    preponderance of the evidence.
        (c) Contents of final order with respect to unlawful employment of 
    unauthorized aliens.
        (1) If, upon the preponderance of the evidence, the Administrative 
    Law Judge determines that a person or entity named in the complaint has 
    violated section 274A(a)(1)(A) or (a)(2) of the INA, the final order 
    shall require the person or entity to cease and desist from such 
    violations and to pay a civil penalty in an amount of:
        (i) Not less than $250 and not more than $2,000 for each 
    unauthorized alien with respect to whom there was a violation of either 
    such paragraph occurring before March 15, 1999; not less than $275 and 
    not more than $2,200 for each unauthorized alien with respect to whom 
    there was a violation of either such paragraph occurring on or after 
    March 15, 1999;
        (ii) In the case or a person or entity previously subject to one 
    final order under this paragraph (c)(1), not less than $2,000 and not 
    more than $5,000 for each unauthorized alien with respect to whom there 
    was a violation of either such paragraph occurring before March 15, 
    1999, and not less than $2,200 and not more than $5,500 for each 
    unauthorized alien with respect to whom there was a violation of either 
    such paragraph occurring on or after March 15, 1999; or
        (iii) In the case of a person or entity previously subject to more 
    than one final order under paragraph (c)(1) of this section, not less 
    than $3,000 and not more than $10,000 for each unauthorized alien with 
    respect to whom there was a violation of each such paragraph occurring 
    before March 15, 1999, and not less than $3,300 and not more than 
    $11,000 for each unauthorized alien with respect to whom there was a 
    violation of each such paragraph occurring on or after March 15, 1999.
        (2) The final order may also require the respondent to participate 
    in, and comply with the terms of, one of the pilot programs set forth 
    in Pub. L. 104-208, Div. C, sections 401-05, 110 Stat. 3009, 3009-655 
    to 3009-665 (1996) (codified at 8 U.S.C. 1324a (note)), with respect to 
    the respondent's hiring or recruitment or referral of individuals in a 
    state (as defined in section 101(a)(36) of the INA) covered by such a 
    program.
        (3) The final order may also require the respondent to comply with 
    the requirements of section 274A(b) of the INA with respect to 
    individuals hired (or recruited or referred for employment for a fee) 
    during a period of up to three years; and to take such other remedial 
    action as is appropriate.
        (4) In the case of a person or entity composed of distinct, 
    physically separate subdivisions, each of which provides separately for 
    the hiring, recruiting, or referring for employment, without reference 
    to the practices of, and under the control of, or common control with, 
    another subdivision, each such subdivision shall be considered a 
    separate person or entity.
        (5) If, upon a preponderance of the evidence, the Administrative 
    Law Judge determines that a person or entity named in the complaint has 
    violated section 274A(a)(1)(B) of the INA, except as set forth in 
    paragraph (c)(6) of this section, the final order under this paragraph 
    shall require the person or entity to pay a civil penalty in an amount 
    of not less than $100 and not more than $1,000 for each individual with 
    respect to whom such violation occurred before March 15, 1999, and not 
    less than $110 and not more than $1,100 for each individual with 
    respect to whom such violation occurred on or after March 15, 1999,. In 
    determining the amount of the penalty, due consideration shall be given 
    to the size of the business of the employer being charged, the good 
    faith of the employer, the seriousness of the violation, whether or not 
    the individual was an unauthorized alien, and the history of previous 
    violations.
        (6) With respect to a violation of section 274A(a)(1)(B) of the INA 
    where a person or entity participating in a pilot program has failed to 
    provide notice of final nonconfirmation of employment eligibility of an 
    individual to the Attorney General as required by Pub. L. 104-208, Div. 
    C, section 403(a)(4)(C),
    
    [[Page 7080]]
    
    110 Stat. 3009, 3009-661 (1996) (codified at 8 U.S.C. 1324a (note)), 
    the final order under this paragraph shall require the person or entity 
    to pay a civil penalty in an amount of not less than $500 and not more 
    than $1,000 for each individual with respect to whom such violation 
    occurred.
        (7) Prohibition of indemnity bond cases. If, upon the preponderance 
    of the evidence, the Administrative Law Judge determines that a person 
    or entity has violated section 274A(g)(1) of the INA, the final order 
    shall require the person or entity to pay a civil penalty of $1,000 for 
    each individual with respect to whom such violation occurred before 
    March 15, 1999, and $1,100 for each individual with respect to whom 
    such violation occurred on or after March 15, 1999, and require the 
    return of any amounts received in such violation to the individual or, 
    if the individual cannot be located, to the general fund of the 
    Treasury.
        (8) Adjustment of penalties for inflation. The civil penalties 
    cited in paragraph (c) of this section shall be subject to adjustments 
    for inflation at least every four years in accordance with the Debt 
    Collection Improvement Act.
        (9) Attorney's fees. A prevailing respondent may receive, pursuant 
    to 5 U.S.C. 504, an award of attorney's fees in unlawful employment and 
    prohibition of indemnity bond cases. Any application for attorney's 
    fees shall be accompanied by an itemized statement from the attorney or 
    representative, stating the actual time expended and the rate at which 
    fees and other expenses were computed. An award of attorney's fees will 
    not be made if the Administrative Law Judge determines that the 
    complainant's position was substantially justified or special 
    circumstances make the award unjust.
        (d) Contents of final order with respect to unfair immigration-
    related employment practice cases.
        (1) If, upon the preponderance of the evidence, the Administrative 
    Law Judge determines that any person or entity named in the complaint 
    has engaged in or is engaging in an unfair immigration-related 
    employment practice, the final order shall include a requirement that 
    the person or entity cease and desist from such practice. The final 
    order may also require the person or entity:
        (i) To comply with the requirements of section 274A(b) of the INA 
    with respect to individuals hired (or recruited or referred for 
    employment for a fee) during a period of up to three years;
        (ii) To retain for a period of up to three years, and only for 
    purposes consistent with section 274A(b)(5) of the INA, the name and 
    address of each individual who applies, in person or in writing, for 
    hiring for an existing position, or for recruiting or referring for a 
    fee, for employment in the United States;
        (iii) To hire individuals directly and adversely affected, with or 
    without back pay;
        (iv) To post notices to employees about their rights under section 
    274B and employers' obligations under section 274A;
        (v) To educate all personnel involved in hiring and in complying 
    with section 274A or 274B about the requirements of 274A or 274B;
        (vi) To order, in an appropriate case, the removal of a false 
    performance review or false warning from an employee's personnel file;
        (vii) To order, in an appropriate case, the lifting of any 
    restrictions on an employee's assignments, work shifts, or movements;
        (viii) Except as provided in paragraph (d)(1)(xii) of this section, 
    to pay a civil penalty of not less than $250 and not more than $2,000 
    for each individual discriminated against before March 15, 1999, and 
    not less than $275 and not more than $2,200 for each individual 
    discriminated against on or after March 15, 1999;
        (ix) Except as provided in paragraph (d)(1)(xii) of this section, 
    in the case of a person or entity previously subject to a single final 
    order under section 274B(g)(2) of the INA, to pay a civil penalty of 
    not less than $2,000 and not more than $5,000 for each individual 
    discriminated against before March 15, 1999, and not less than $2,200 
    and not more than $5,500 for each individual discriminated against on 
    or after March 15, 1999;
        (x) Except as provided in paragraph (d)(1)(xii) of this section, in 
    the case of a person or entity previously subject to more than one 
    final order under section 274B(g)(2) of the INA, to pay a civil penalty 
    of not less than $3,000 and not more than $10,000 for each individual 
    discriminated against before March 15, 1999, and not less than $3,300 
    and not more than $11,000 for each individual discriminated against on 
    or after March 15, 1999;
        (xi) To participate in, and comply with the terms of, one of the 
    pilot programs set forth in Pub. L. 104-208, Div. C, sections 401-05, 
    110 Stat. 3009, 3009-655 to 3009-665 (1996) (codified at 8 U.S.C. 1324a 
    (note)), with respect to the respondent's hiring or recruitment or 
    referral of individuals in a state (as defined in section 101(a)(36) of 
    the INA) covered by such a program; and
        (xii) In the case of an unfair immigration-related employment 
    practice where a person or entity, for the purpose or with the intent 
    of discriminating against an individual in violation of section 
    274B(a), requests more or different documents than are required under 
    section 274A(b) or refuses to honor documents that on their face 
    reasonably appear to be genuine, to pay a civil penalty of not less 
    than $100 and not more than $1,000 for each individual discriminated 
    against before March 15, 1999, and not less than $110 and not more than 
    $1,100 for each individual discriminated against on or after March 15, 
    1999, or to order any of the remedies listed as paragraphs (d)(1)(i) 
    through (d)(1)(vii) of this section.
        (2) The civil penalties cited in paragraph (d) of this section 
    shall be subject to adjustments for inflation at least every four years 
    in accordance with the Debt Collection Improvement Act.
        (3) Back pay liability shall not accrue from a date more than two 
    years prior to the date of the filing of a charge with the Special 
    Counsel. In no event shall back pay accrue from before November 6, 
    1986. Interim earnings or amounts earnable with reasonable diligence by 
    the individual or individuals discriminated against shall operate to 
    reduce the back pay otherwise allowable. No order shall require the 
    hiring of an individual as an employee, or the payment to an individual 
    of any back pay, if the individual was refused employment for any 
    reason other than discrimination on account of national origin or 
    citizenship status unless it is determined that an unfair immigration-
    related employment practice exists under section 274B(a)(5) of the INA.
        (4) In applying paragraph (d) of this section in the case of a 
    person or entity composed of distinct, physically separate 
    subdivisions, each of which provides separately for the hiring, 
    recruiting, or referring for employment, without reference to the 
    practices of, and not under the control of or common control with 
    another subdivision, each such subdivision shall be considered a 
    separate person or entity.
        (5) If, upon the preponderance of the evidence, the Administrative 
    Law Judge determines that a person or entity named in the complaint has 
    not engaged in and is not engaging in an unfair immigration-related 
    employment practice, then the final order shall dismiss the complaint.
        (6) Attorney's fees. The Administrative Law Judge in his or her
    
    [[Page 7081]]
    
    discretion may allow a prevailing party, other than the United States, 
    a reasonable attorney's fee if the losing party's argument is without 
    reasonable foundation in law and fact. Any application for attorney's 
    fees shall be accompanied by an itemized statement from the attorney or 
    representative stating the actual time expended and the rate at which 
    fees and other expenses were computed.
        (e) Contents of final order with respect to document fraud cases. 
    (1) If, upon the preponderance of the evidence, the Administrative Law 
    Judge determines that a person or entity has violated section 274C of 
    the INA, the final order shall include a requirement that the 
    respondent cease and desist from such violations and pay a civil money 
    penalty in an amount of:
        (i) Not less than $250 and not more than $2,000 for each document 
    that is the subject of a violation under section 274C(a)(1) through (6) 
    of the INA before March 15, 1999, and not less than $275 and not more 
    than $2,200 for each document that is the subject of a violation under 
    section 274C(a)(1) through (6) of the INA on or after March 15, 1999; 
    or,
        (ii) In the case of a respondent previously subject to one or more 
    final orders under section 274C(d)(3) of the INA, not less than $2,000 
    and not more than $5,000 for each document that is the subject of a 
    violation under section 274C(a)(1) through (6) of the INA before March 
    15, 1999, and not less than $2,200 and not more than $5,500 for each 
    document that is the subject of a violation under section 274C(a) (1) 
    through (6) of the INA on or after March 15, 1999.
        (2) In the case of a person or entity composed of distinct, 
    physically separate subdivisions, each of which provides separately for 
    the hiring, recruiting, or referring for employment, without reference 
    to the practices of, and under the control of, or common control with, 
    another subdivision, each such subdivision shall be considered a 
    separate person or entity.
        (3) Adjustment of penalties for inflation. The civil penalties 
    cited in paragraph (e) of this section shall be subject to adjustments 
    for inflation at least every four years in accordance with the Debt 
    Collection Improvement Act.
        (4) Attorney's fees. A prevailing respondent may receive, pursuant 
    to 5 U.S.C. 504, an award of attorney's fees in document fraud cases. 
    Any application for attorney's fees shall be accompanied by an itemized 
    statement from the attorney or representative, stating the actual time 
    expended and the rate at which fees and other expenses were computed. 
    An award of attorney's fees shall not be made if the Administrative Law 
    Judge determines that the complainant's position was substantially 
    justified or special circumstances make the award unjust.
        (f) Corrections to orders. An Administrative Law Judge may, in the 
    interest of justice, correct any clerical mistakes or typographical 
    errors contained in a final order entered in a case arising under 
    section 274A or 274C of the INA at any time within thirty (30) days 
    after the entry of the final order. Changes other than clerical 
    mistakes or typographical errors will be considered in cases arising 
    under sections 274A and 274C of the INA by filing a request for review 
    to the Chief Administrative Hearing Officer by a party under 
    Sec. 68.54, or the Chief Administrative Hearing Officer may exercise 
    discretionary review to make such changes pursuant to Sec. 68.54. In 
    cases arising under section 274B of the INA, an Administrative Law 
    Judge may correct any substantive, clerical, or typographical errors or 
    mistakes in a final order at any time within sixty (60) days after the 
    entry of the final order.
        (g) Final agency order. In a case arising under section 274A or 
    274C of the INA, the Administrative Law Judge's order becomes the final 
    agency order sixty (60) days after the date of the Administrative Law 
    Judge's order, unless the Chief Administrative Hearing Officer 
    modifies, vacates, or remands the Administrative Law Judge's final 
    order pursuant to Sec. 68.54, or unless the order is referred to the 
    Attorney General pursuant to Sec. 68.55. In a case arising under 
    section 274B of the INA, the Administrative Law Judge's order becomes 
    the final agency order on the date the order is issued.
    
    
    Sec. 68.53  Review of an interlocutory order of an Administrative Law 
    Judge in cases arising under section 274A or 274C.
    
        (a) Authority. In a case arising under section 274A or 274C of the 
    Immigration and Nationality Act, the Chief Administrative Hearing 
    Officer may, within thirty (30) days of the date of an Administrative 
    Law Judge's interlocutory order, issue an order that modifies or 
    vacates the interlocutory order. The Chief Administrative Hearing 
    Officer may review an Administrative Law Judge's interlocutory order 
    if:
        (1) An Administrative Law Judge, when issuing an interlocutory 
    order, states in writing that the Judge believes:
        (i) That the order concerns an important question of law on which 
    there is a substantial difference of opinion; and
        (ii) That an immediate appeal will advance the ultimate termination 
    of the proceeding or that subsequent review will be an inadequate 
    remedy; or
        (2) Within ten (10) days of the date of the entry of an 
    interlocutory order a party requests by motion that the Chief 
    Administrative Hearing Officer review the interlocutory order. This 
    motion shall contain a clear statement of why interlocutory review is 
    appropriate under the standards set out in paragraph (a)(1) of this 
    section; or
        (3) Within ten (10) days of the entry of the interlocutory order, 
    the Chief Administrative Hearing Officer, upon the Officer's own 
    initiative, determines that such order is appropriate for interlocutory 
    review pursuant to the standards set out in paragraph (a)(1) and issues 
    a notification of review. This notification shall state the issues to 
    be reviewed.
        (b) Stay of proceedings. Review of an Administrative Law Judge's 
    interlocutory order will not stay the proceeding unless the 
    Administrative Law Judge or the Chief Administrative Hearing Officer 
    determines that the circumstances require a postponement.
        (c) Review by Chief Administrative Hearing Officer. Review by the 
    Chief Administrative Hearing Officer of an interlocutory order shall be 
    conducted in the same manner as is provided for review of final orders 
    in Sec. 68.54(b) through (d). An interlocutory order, or an order 
    modifying, vacating, or remanding an interlocutory order, shall not be 
    considered a final agency order. If the Chief Administrative Hearing 
    Officer does not modify, vacate, or remand an interlocutory order 
    reviewed pursuant to paragraph (a) within thirty (30) days of the date 
    that the order is entered, the Administrative Law Judge's interlocutory 
    order is deemed adopted.
        (d) Effect of interlocutory review. (1) An order by the Chief 
    Administrative Hearing Officer modifying or vacating an interlocutory 
    order shall also remand the case to the Administrative Law Judge. 
    Further proceedings in the case shall be conducted consistent with the 
    Chief Administrative Hearing Officer's order.
        (2) Whether or not an interlocutory order is reviewed by the Chief 
    Administrative Hearing Officer, all parties retain the right to request 
    administrative review of the final order of the Administrative Law 
    Judge pursuant to Sec. 68.54 with respect to all issues in the case.
    
    [[Page 7082]]
    
    Sec. 68.54  Administrative review of a final order of an Administrative 
    Law Judge in cases arising under section 274A or 274C.
    
        (a) Authority of the Chief Administrative Hearing Officer. In a 
    case arising under section 274A or 274C of the INA, the Chief 
    Administrative Hearing Officer has discretionary authority, pursuant to 
    sections 274A(e)(7) and 274C(d)(4) of the INA and 5 U.S.C. 557, to 
    review any final order of an Administrative Law Judge in accordance 
    with the provisions of this section.
        (1) A party may file with the Chief Administrative Hearing Officer 
    a written request for administrative review within ten (10) days of the 
    date of entry of the Administrative Law Judge's final order, stating 
    the reasons for or basis upon which it seeks review.
        (2) The Chief Administrative Hearing Officer may review an 
    Administrative Law Judge's final order on his or her own initiative by 
    issuing a notification of administrative review within ten (10) days of 
    the date of entry of the Administrative Law Judge's order. This 
    notification shall state the issues to be reviewed.
        (b) Written and oral arguments. (1) In any case in which 
    administrative review has been requested or ordered pursuant to 
    paragraph (a) of this section, the parties may file briefs or other 
    written statements within twenty-one (21) days of the date of entry of 
    the Administrative Law Judge's order.
        (2) At the request of a party, or on the Officer's own initiative, 
    the Chief Administrative Hearing Officer may, at the Officer's 
    discretion, permit or require additional filings or may conduct oral 
    argument in person or telephonically.
        (c) Filing and service of documents relating to administrative 
    review. All requests for administrative review, briefs, and other 
    filings relating to review by the Chief Administrative Hearing Officer 
    shall be filed and served by facsimile or same-day hand delivery, or if 
    such filing or service cannot be made, by overnight delivery, as 
    provided in Sec. 68.6(c). A notification of administrative review by 
    the Chief Administrative Hearing Officer shall also be served by 
    facsimile or same-day hand delivery, or if such service cannot be made, 
    by overnight delivery service.
        (d) Review by the Chief Administrative Hearing Officer. (1) On or 
    before thirty (30) days subsequent to the date of entry of the 
    Administrative Law Judge's final order, but not before the time for 
    filing briefs has expired, the Chief Administrative Hearing Officer may 
    enter an order that modifies or vacates the Administrative Law Judge's 
    order, or remands the case to the Administrative Law Judge for further 
    proceedings consistent with the Chief Administrative Hearing Officer's 
    order. However, the Chief Administrative Hearing Officer is not 
    obligated to enter an order unless the Administrative Law Judge's order 
    is modified, vacated or remanded.
        (2) If the Chief Administrative Hearing Officer enters an order 
    that remands the case to the Administrative Law Judge, the 
    Administrative Law Judge will conduct further proceedings consistent 
    with the Chief Administrative Hearing Officer's order. Any 
    administrative review of the Administrative Law Judge's subsequent 
    order shall be conducted in accordance with this section.
        (3) The Chief Administrative Hearing Officer may make technical 
    corrections to the Officer's order up to and including thirty (30) days 
    subsequent to the issuance of that order.
        (e) Final agency order. If the Chief Administrative Hearing Officer 
    enters a final order that modifies or vacates the Administrative Law 
    Judge's final order, and the Chief Administrative Hearing Officer's 
    order is not referred to the Attorney General pursuant to Sec. 68.55, 
    the Chief Administrative Hearing Officer's order becomes the final 
    agency order thirty (30) days subsequent to the date of the 
    modification or vacation.
    
    
    Sec. 68.55  Referral of cases arising under sections 274A or 274C to 
    the Attorney General for review.
    
        (a) Referral of cases by direction of the Attorney General. Within 
    thirty (30) days of the entry of a final order by the Chief 
    Administrative Hearing Officer modifying or vacating an Administrative 
    Law Judge's final order, or within sixty (60) days of the entry of an 
    Administrative Law Judge's final order, if the Chief Administrative 
    Hearing Officer does not modify or vacate the Administrative Law 
    Judge's final order, the Chief Administrative Hearing Officer shall 
    promptly refer to the Attorney General for review any final order in 
    cases arising under section 274A or 274C of the INA if the Attorney 
    General so directs the Chief Administrative Hearing Officer. When a 
    final order is referred to the Attorney General in accordance with this 
    paragraph, the Chief Administrative Hearing Officer shall give the 
    Administrative Law Judge and all parties a copy of the referral.
        (b) Request by Commissioner of Immigration and Naturalization for 
    review by the Attorney General. The Chief Administrative Hearing 
    Officer shall promptly refer to the Attorney General for review any 
    final order in cases arising under sections 274A or 274C of the INA at 
    the request of the Commissioner of Immigration and Naturalization 
    within thirty (30) days of the entry of a final order modifying or 
    vacating the Administrative Law Judge's final order or within sixty 
    (60) days of the entry of an Administrative Law Judge's final order, if 
    the Chief Administrative Hearing Officer does not modify or vacate the 
    Administrative Law Judge's final order.
        (1) The Immigration and Naturalization Service must first seek 
    review of an Administrative Law Judge's final order by the Chief 
    Administrative Hearing Officer, in accordance with Sec. 68.54 before 
    the Commissioner of Immigration and Naturalization may request that an 
    Administrative Law Judge's final order be referred to the Attorney 
    General for review.
        (2) To request referral of a final order to the Attorney General, 
    the Commissioner of Immigration and Naturalization must submit a 
    written request to the Chief Administrative Hearing Officer and 
    transmit copies of the request to all other parties to the case and to 
    the Administrative Law Judge at the time the request is made. The 
    written statement shall contain a succinct statement of the reasons the 
    case should be reviewed by the Attorney General and the grounds for 
    appeal.
        (3) The Attorney General, in the exercise of the Attorney General's 
    discretion, may accept the Commissioner's request for referral of the 
    case for review by issuing a written notice of acceptance within sixty 
    (60) days of the date of the request. Copies of such written notice 
    shall be transmitted to all parties in the case and to the Chief 
    Administrative Hearing Officer.
        (c) Review by the Attorney General. When a final order of an 
    Administrative Law Judge or the Chief Administrative Hearing Officer is 
    referred to the Attorney General pursuant to paragraph (a) of this 
    section, or a referral is accepted in accordance with paragraph (b)(3) 
    of this section, the Attorney General shall review the final order 
    pursuant to section 274A(e)(7) or 274C(d)(4) of the INA and 5 U.S.C. 
    557. No specific time limit is established for the Attorney General's 
    review.
        (1) All parties shall be given the opportunity to submit briefs or 
    other written statements pursuant to a schedule established by the 
    Chief Administrative Hearing Officer or the Attorney General.
        (2) The Attorney General shall enter an order that adopts, 
    modifies, vacates, or remands the final order under review.
    
    [[Page 7083]]
    
    The Attorney General's order shall be stated in writing and shall be 
    transmitted to all parties in the case and to the Chief Administrative 
    Hearing Officer.
        (3) If the Attorney General remands the case for further 
    administrative proceedings, the Chief Administrative Hearing Officer or 
    the Administrative Law Judge shall conduct further proceedings 
    consistent with the Attorney General's order. Any subsequent final 
    order of the Administrative Law Judge or the Chief Administrative 
    Hearing Officer shall be subject to administrative review in accordance 
    with Sec. 68.54 and this section.
        (d) Final agency order. (1) The Attorney General's order pursuant 
    to paragraph (c) of this section (other than a remand as provided in 
    paragraph (c)(3)) shall become the final agency order on the date of 
    the Attorney General's order.
        (2) If the Attorney General declines the Commissioner's request for 
    referral of a case pursuant to paragraph (b) of this section, or does 
    not issue a written notice of acceptance within sixty (60) days of the 
    date of the Commissioner's request, then the final order of the 
    Administrative Law Judge or the Chief Administrative Hearing Officer 
    that was the subject of a referral pursuant to paragraph (b) shall 
    become the final agency order on the day after that sixty (60) day 
    period has expired.
    
    
    Sec. 68.56  Judicial review of a final agency order in cases arising 
    under section 274A or 274C.
    
        A person or entity adversely affected by a final agency order may 
    file, within forty-five (45) days after the date of the final agency 
    order, a petition in the United States Court of Appeals for the 
    appropriate circuit for review of the final agency order. Failure to 
    request review by the Chief Administrative Hearing Officer of a final 
    order by an Administrative Law Judge shall not prevent a party from 
    seeking judicial review.
    
    
    Sec. 68.57  Judicial review of the final agency order of an 
    Administrative Law Judge in cases arising under section 274B.
    
        Any person aggrieved by a final agency order issued under 
    Sec. 68.52(d) may, within sixty (60) days after entry of the order, 
    seek review of the final agency order in the United States Court of 
    Appeals for the circuit in which the violation is alleged to have 
    occurred or in which the employer resides or transacts business. If a 
    final agency order issued under Sec. 68.52(d) is not appealed, the 
    Special Counsel (or, if the Special Counsel fails to act, the person 
    filing the charge, other than the Immigration and Naturalization 
    Service officer) may file a petition in the United States District 
    Court for the district in which the violation that is the subject of 
    the final agency order is alleged to have occurred, or in which the 
    respondent resides or transacts business, requesting that the order be 
    enforced.
    
    
    Sec. 68.58  Filing of the official record.
    
        Upon timely receipt of notification that an appeal has been taken, 
    a certified copy of the record will be filed promptly with the 
    appropriate United States Court.
    
        Dated: January 8, 1999.
    Janet Reno,
    Attorney General.
    [FR Doc. 99-1899 Filed 2-11-99; 8:45 am]
    BILLING CODE 4410-30-P
    
    
    

Document Information

Effective Date:
3/15/1999
Published:
02/12/1999
Department:
Justice Department
Entry Type:
Rule
Action:
Interim rule with request for comments.
Document Number:
99-1899
Dates:
This interim rule is effective March 15, 1999. Written comments must be submitted on or before April 13, 1999.
Pages:
7066-7083 (18 pages)
Docket Numbers:
EOIR No. 116P, A.G. Order No. 2203-99
RINs:
1125-AA17: Rules of Practice and Procedure for Administrative Hearings Before Administrative Law Judges
RIN Links:
https://www.federalregister.gov/regulations/1125-AA17/rules-of-practice-and-procedure-for-administrative-hearings-before-administrative-law-judges
PDF File:
99-1899.pdf
CFR: (27)
28 CFR 68.6(c)
28 CFR 68.52(d)
28 CFR 68.25(e)
28 CFR 68.33(e)
28 CFR 68.1
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