{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 68 sorted by section_id", "rows": [["14:14:2.0.1.1.6.0.1.1", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.1 Applicability.", "FAA", "", "", "", "This part prescribes the medical education and examination requirements for operating an aircraft under \u00a7 61.113(i) of this chapter without holding a medical certificate issued under part 67 of this chapter."], ["14:14:2.0.1.1.6.0.1.2", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.3 Medical education course requirements.", "FAA", "", "", "[Docket FAA-2016-9157, Amdt. 68-1, 82 FR 3165, Jan. 11, 2017, as amended by Docket FAA-2021-1040, Amdt. 61-152, 87 FR 71236, Nov. 22, 2022]", "(a) The medical education course required to act as pilot in command or serve as a required flightcrew member in an operation under \u00a7 61.113(i) of this chapter must\u2014\n\n(1) Educate pilots on conducting medical self-assessments;\n\n(2) Advise pilots on identifying warning signs of potential serious medical conditions;\n\n(3) Identify risk mitigation strategies for medical conditions;\n\n(4) Increase awareness of the impacts of potentially impairing over-the-counter and prescription drug medications;\n\n(5) Encourage regular medical examinations and consultations with primary care physicians;\n\n(6) Inform pilots of the regulations pertaining to the prohibition on operations during medical deficiency and medically disqualifying conditions; and\n\n(7) Provide the checklist developed by the FAA in accordance with \u00a7 68.7.\n\n(b) Upon successful completion of the medical education course, the following items must be electronically provided to the individual seeking to act as pilot in command or serve as a required flightcrew member under the conditions and limitations of \u00a7 61.113(i) of this chapter and transmitted to the FAA\u2014\n\n(1) A certification of completion of the medical education course, which shall be retained in the individual's logbook and made available upon request, and shall contain the individual's name, address, and airman certificate number;\n\n(2) A release authorizing single access to the National Driver Register through a designated State Department of Motor Vehicles to furnish to the FAA information pertaining to the individual's driving record;\n\n(3) A certification by the individual that the individual is under the care and treatment of a physician if the individual has been diagnosed with any medical condition that may impact the ability of the individual to fly, as required under \u00a7 61.23(c)(3) of this chapter;\n\n(4) A form that includes\u2014\n\n(i) The name, address, telephone number, and airman certificate number of the individual;\n\n(ii) The name, address, telephone number, and State medical license number of the physician performing the comprehensive medical examination;\n\n(iii) The date of the comprehensive medical examination; and\n\n(iv) A certification by the individual that the checklist described in \u00a7 68.7 was followed and signed by the physician during the medical examination required by this section; and\n\n(5) A statement, which shall be signed by the individual certifying that the individual understands the existing prohibition on operations during medical deficiency by stating: \u201cI understand that I cannot act as pilot in command, or any other capacity as a required flight crew member, if I know or have reason to know of any medical condition that would make me unable to operate the aircraft in a safe manner.\u201d."], ["14:14:2.0.1.1.6.0.1.3", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.5 Comprehensive medical examination.", "FAA", "", "", "", "(a) Prior to the medical examination required by \u00a7 61.23(c)(3) of this chapter, an individual must\u2014\n\n(1) Complete the individual's section of the checklist described in \u00a7 68.7; and\n\n(2) Provide the completed checklist to the State-licensed physician performing the medical examination.\n\n(b) The physician must\u2014\n\n(1) Conduct the medical examination in accordance with the checklist set forth in \u00a7 68.7,\n\n(2) Check each item specified during the examination; and\n\n(3) Address, as medically appropriate, every medical condition listed and any medications the individual is taking."], ["14:14:2.0.1.1.6.0.1.4", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.7 Comprehensive medical examination checklist.", "FAA", "", "", "[Docket FAA-2016-9157, Amdt. 68-1, 82 FR 3165, Jan. 11, 2017, as amended by Docket FAA-2024-2580, Amdt. 68-3, 89 FR 90577, Nov. 18, 2024]", "The comprehensive medical examination required to conduct operations under \u00a7 61.113(i) must include a checklist containing the following:\n\n(a) A section, for the individual to complete that contains\u2014\n\n(1) Boxes 3 through 13 and boxes 16 through 19 of the FAA Form 8500-8 (3-99), or any successor form; and\n\n(2) A signature line for the individual to affirm that\u2014\n\n(i) The answers provided by the individual on that checklist, including the individual's answers regarding medical history, are true and complete;\n\n(ii) The individual understands that he or she is prohibited under FAA regulations from acting as pilot in command, or any other capacity as a required flight crew member, if he or she knows or has reason to know of any medical deficiency or medically disqualifying condition that would make the individual unable to operate the aircraft in a safe manner; and\n\n(iii) The individual is aware of the regulations pertaining to the prohibition on operations during medical deficiency and has no medically disqualifying conditions in accordance with applicable law;\n\n(b) A section with instructions for the individual to provide the completed checklist to the State-licensed physician performing the comprehensive medical examination required under \u00a7 68.5; and\n\n(c) A section, for the physician to complete, that instructs the physician\u2014\n\n(1) To perform a clinical examination of\u2014\n\n(i) Head, face, neck, and scalp;\n\n(ii) Nose, sinuses, mouth, and throat;\n\n(iii) Ears, general (internal and external canals), and eardrums (perforation);\n\n(iv) Eyes (general), ophthalmoscopic, pupils (equality and reaction), and ocular motility (associated parallel movement, nystagmus);\n\n(v) Lungs and chest (not including breast examination);\n\n(vi) Heart (precordial activity, rhythm, sounds, and murmurs);\n\n(vii) Vascular system (pulse, amplitude, and character, and arms, legs, and others);\n\n(viii) Abdomen and viscera (including hernia);\n\n(ix) Anus (not including digital examination);\n\n(x) Skin;\n\n(xi) G-U system (not including pelvic examination);\n\n(xii) Upper and lower extremities (strength and range of motion);\n\n(xiii) Spine and other musculoskeletal;\n\n(xiv) Identifying body marks, scars, and tattoos (size and location);\n\n(xv) Lymphatics;\n\n(xvi) Neurologic (tendon reflexes, equilibrium, senses, cranial nerves, and coordination, etc.);\n\n(xvii) Psychiatric (appearance, behavior, mood, communication, and memory);\n\n(xviii) General systemic;\n\n(xix) Hearing;\n\n(xx) Vision (distant, near, and intermediate vision, field of vision, color vision, and ocular alignment);\n\n(xxi) Blood pressure and pulse; and\n\n(xxii) Anything else the physician, in his or her medical judgment, considers necessary;\n\n(2) To exercise medical discretion to address, as medically appropriate, any medical conditions identified, and to exercise medical discretion in determining whether any medical tests are warranted as part of the comprehensive medical examination;\n\n(3) To discuss all drugs the individual reports taking (prescription and nonprescription) and their potential to interfere with the safe operation of an aircraft or motor vehicle;\n\n(4) To sign the checklist, stating: \u201cI certify that I discussed all items on this checklist with the individual during my examination, discussed any medications the individual is taking that could interfere with his or her ability to safely operate an aircraft or motor vehicle, and performed an examination that included all of the items on this checklist. I certify that I am not aware of any medical condition that, as presently treated, could interfere with the individual's ability to safely operate an aircraft.\u201d; and\n\n(5) To provide the date the comprehensive medical examination was completed, and the physician's full name, address, telephone number, and State medical license number."], ["14:14:2.0.1.1.6.0.1.5", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.9 Special Issuance process.", "FAA", "", "", "[Docket FAA-2016-9157, Amdt. 68-1, 82 FR 3165, Jan. 11, 2017, as amended by Docket FAA-2021-1040, Amdt. 61-152, 87 FR 71238, Nov. 22, 2022]", "(a)  General.  An individual who has met the qualifications to operate an aircraft under \u00a7 61.113(i) of this chapter and is seeking to act as a pilot in command or serve as a required flightcrew member under that section must have completed the process for obtaining an Authorization for Special Issuance of a Medical Certificate for each of the following:\n\n(1) A mental health disorder, limited to an established medical history or clinical diagnosis of\u2014\n\n(i) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts;\n\n(ii) A psychosis, defined as a case in which an individual\u2014\n\n(A) Has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis; or\n\n(B) May reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis;\n\n(iii) A bipolar disorder; or\n\n(iv) A substance dependence within the previous 2 years, as defined in \u00a7 67.307(a)(4) of this chapter.\n\n(2) A neurological disorder, limited to an established medical history or clinical diagnosis of any of the following:\n\n(i) Epilepsy;\n\n(ii) Disturbance of consciousness without satisfactory medical explanation of the cause; or\n\n(iii) A transient loss of control of nervous system functions without satisfactory medical explanation of the cause.\n\n(3) A cardiovascular condition, limited to a one-time special issuance for each diagnosis of the following:\n\n(i) Myocardial infarction;\n\n(ii) Coronary heart disease that has required treatment;\n\n(iii) Cardiac valve replacement; or\n\n(iv) Heart replacement.\n\n(b)  Special rule for cardiovascular conditions.  In the case of an individual with a cardiovascular condition, the process for obtaining an Authorization for Special Issuance of a Medical Certificate shall be satisfied with the successful completion of an appropriate clinical evaluation without a mandatory wait period.\n\n(c)  Special rule for mental health conditions.  (1) In the case of an individual with a clinically diagnosed mental health condition, the ability to operate an aircraft under \u00a7 61.113(i) of this chapter shall not apply if\u2014\n\n(i) In the judgment of the individual's State-licensed medical specialist, the condition\u2014\n\n(A) Renders the individual unable to safely perform the duties or exercise the airman privileges required to operate an aircraft under \u00a7 61.113(i) of this chapter; or\n\n(B) May reasonably be expected to make the individual unable to perform the duties or exercise the privileges required to operate an aircraft under \u00a7 61.113(i) of this chapter; or\n\n(ii) The individual's driver's license is revoked by the issuing agency as a result of a clinically diagnosed mental health condition.\n\n(2) Subject to paragraph (c)(1) of this section, an individual clinically diagnosed with a mental health condition shall certify every 2 years, in conjunction with the certification under \u00a7 68.3(b)(3), that the individual is under the care of a State-licensed medical specialist for that mental health condition.\n\n(d)  Special rule for neurological conditions.  (1) In the case of an individual with a clinically diagnosed neurological condition, the ability to operate an aircraft under \u00a7 61.113(i) of this chapter shall not apply if\u2014\n\n(i) In the judgment of the individual's State-licensed medical specialist, the condition\u2014\n\n(A) Renders the individual unable to safely perform the duties or exercise the airman privileges required to operate an aircraft under \u00a7 61.113(i) of this chapter; or\n\n(B) May reasonably be expected to make the individual unable to perform the duties or exercise the privileges required to operate an aircraft under \u00a7 61.113(i) of this chapter; or\n\n(ii) The individual's driver's license is revoked by the issuing agency as a result of a clinically diagnosed neurological condition.\n\n(2) Subject to paragraph (d)(1) of this section, an individual clinically diagnosed with a neurological condition shall certify every 2 years, in conjunction with the certification under \u00a7 68.3(b)(3), that the individual is under the care of a State-licensed medical specialist for that neurological condition."], ["14:14:2.0.1.1.6.0.1.6", 14, "Aeronautics and Space", "I", "D", "68", "PART 68\u2014REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE", "", "", "", "\u00a7 68.11 Authority to require additional information.", "FAA", "", "", "", "(a) If the Administrator receives credible or urgent information, including from the National Driver Register or the Administrator's Safety Hotline, that reflects on an individual's ability to safely operate an aircraft under \u00a7 61.113(i) of this chapter, the Administrator may require the individual to provide additional information or history so that the Administrator may determine whether the individual is safe to continue operating under that section.\n\n(b) The Administrator may use credible or urgent information received under paragraph (a) to request an individual to provide additional information or to take actions under 49 U.S.C. 44709(b)."], ["28:28:2.0.1.1.22.0.1.1", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.1 Scope of rules.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7073, Feb. 12, 1999]", "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."], ["28:28:2.0.1.1.22.0.1.10", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.10 Motion to dismiss for failure to state a claim upon which relief can be granted.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7075, Feb. 12, 1999]", "(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.11", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.11 Motions and requests.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a)  Generally.  The Chief Administrative Hearing Officer is authorized to act on non-adjudicatory matters relating to a proceeding prior to the appointment of an Administrative Law Judge. After the complaint is referred to an Administrative Law Judge, any application for an order or any other request shall be made by motion which shall be made in writing unless the Administrative Law Judge in the course of an oral hearing consents to accept such motion orally. The motion or request shall state with particularity the grounds therefor, and shall set forth the relief or order sought. Motions or requests made during the course of any oral hearing or appearance before an Administrative Law Judge shall be stated orally and made part of the transcript. Whether a motion is made orally or in writing, all parties shall be given reasonable opportunity to respond or to object to the motion or request.\n\n(b)  Responses to motions.  Within ten (10) days after a written motion is served, or within such other period as the Administrative Law Judge may fix, any party to the proceeding may file a response in support of, or in opposition to, the motion, accompanied by such affidavits or other evidence upon which he/she desires to rely. Unless the Administrative Law Judge provides otherwise, no reply to a response, counter-response to a reply, or any further responsive document shall be filed.\n\n(c)  Oral arguments or briefs.  No oral argument will be heard on motions unless the Administrative Law Judge otherwise directs. Written memoranda or briefs may be filed with motions or answers to motions, stating the points and authorities relied upon in support of the position taken."], ["28:28:2.0.1.1.22.0.1.12", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.12 Prehearing statements.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) At any time prior to the commencement of the hearing, the Administrative Law Judge may order any party to file a prehearing statement of position.\n\n(b) A prehearing statement shall state the name of the party or parties on whose behalf it is presented and shall briefly set forth the following matters, unless otherwise ordered by the Administrative Law Judge:\n\n(1) Issues involved in the proceedings;\n\n(2) Facts stipulated to together with a statement that the party or parties have communicated or conferred in a good faith effort to reach stipulation to the fullest extent possible;\n\n(3) Facts in dispute;\n\n(4) Witnesses, except to the extent that disclosure would be privileged, and exhibits by which disputed facts will be litigated;\n\n(5) A brief statement of applicable law;\n\n(6) The conclusions to be drawn;\n\n(7) The estimated time required for presentation of the party's or parties' case; and\n\n(8) Any appropriate comments, suggestions, or information which might assist the parties or the Administrative Law Judge in preparing for the hearing or otherwise aid in the disposition of the proceeding."], ["28:28:2.0.1.1.22.0.1.13", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.13 Conferences.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991, as amended by Dir. Order No. 04-2026, 91 FR 9997, Mar. 2, 2026]", "(a)  Purpose and scope.  (1) Upon motion of a party or in the Administrative Law Judge's discretion, the judge may direct the parties or their counsel to participate in a prehearing conference at any reasonable time prior to the hearing, or in a conference during the course of the hearing, when the Administrative Law Judge finds that the proceeding would be expedited by such a conference. Prehearing conferences normally shall be conducted by conference telephonic communication unless, in the opinion of the Administrative Law Judge, such method would be impractical, or when such conferences can be conducted in a more expeditious or effective manner by correspondence or personal appearance. Reasonable notice of the time, place, and manner of the prehearing conference shall be given.\n\n(2) At the conference, the following matters may be considered:\n\n(i) The simplification of issues;\n\n(ii) The necessity of amendments to pleadings;\n\n(iii) The possibility of obtaining stipulations of facts and of the authenticity, accuracy, and admissibility of documents, which will avoid unnecessary proof;\n\n(iv) The limitations on the number of expert or other witnesses;\n\n(v) Negotiation, compromise, or settlement of issues;\n\n(vi) The exchange of copies of proposed exhibits;\n\n(vii) The identification of documents or matters of which official notice may be requested;\n\n(viii) A schedule to be followed by the parties for completion of the actions decided at the conference; and\n\n(ix) Such other matters, including the disposition of pending motions, as may expedite and aid in the disposition of the proceeding.\n\n(b)  Reporting.  A verbatim record of the conference will not be kept unless directed by the Administrative Law Judge.\n\n(c)  Order.  Actions taken as a result of a conference shall be reduced to a written order, unless the Administrative Law Judge concludes that a stenographic report shall suffice, or, if the conference takes place within seven (7) days of the beginning of the hearing, the Administrative Law Judge elects to make a statement on the record at the hearing summarizing the actions taken.\n\n(d)  Settlement officers and conferences.  With the consent of all parties to a case, the presiding Administrative Law Judge may refer a case to another Administrative Law Judge\u2014or, in cases under section 274B of the INA, to the Chief Administrative Hearing Officer\u2014to act as a settlement officer in order to facilitate settlement negotiations between the parties.\n\n(1) The settlement officer shall convene and preside over settlement conferences by video teleconference, in person, or by telephone.\n\n(2) The settlement officer may require that a representative for each party be present at or participate in settlement conferences, and may require that the parties or agents of the parties with full settlement authority be present or available by telephone or video teleconference.\n\n(3) Settlement proceedings under this paragraph shall be conducted in accordance with the confidentiality provisions outlined in 5 U.S.C. 574. The settlement officer shall not discuss any aspect of the case with the presiding Administrative Law Judge. Furthermore, any evidence regarding statements, conduct, offers of settlement, and concessions of the parties made in proceedings before the settlement officer shall be inadmissible in any proceeding before the presiding Administrative Law Judge, except by stipulation of the parties."], ["28:28:2.0.1.1.22.0.1.14", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.14 Consent findings or dismissal.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7075, Feb. 12, 1999]", "(a)  Submission.  Where the parties or their authorized representatives or their counsel have entered into a settlement agreement, they shall:\n\n(1) Submit to the presiding Administrative Law Judge:\n\n(i) The agreement containing consent findings; and\n\n(ii) A proposed decision and order; or\n\n(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.\n\n(b)  Content.  Any agreement containing consent findings and a proposed decision and order disposing of a proceeding or any part thereof shall also provide:\n\n(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;\n\n(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;\n\n(3) A waiver of any further procedural steps before the Administrative Law Judge; and\n\n(4) A waiver of any right to challenge or contest the validity of the decision and order entered into in accordance with the agreement.\n\n(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."], ["28:28:2.0.1.1.22.0.1.15", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.15 Intervenor in unfair immigration-related employment cases.", "DOJ", "", "", "[Order No. 1534-91, 56 FR 50054, Oct. 3, 1991, as amended by AG Order No. 4840-2020, 85 FR 63207, Oct. 7, 2020]", "The Special Counsel, or any other interested person or private organization, other than an officer of the Department of Homeland Security, may petition to intervene as a party in unfair immigration-related employment cases. The Administrative Law Judge, in his or her discretion, may grant or deny such a petition."], ["28:28:2.0.1.1.22.0.1.16", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.16 Consolidation of hearings.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "When two or more hearings are to be held, and the same or substantially similar evidence is relevant and material to the matters at issue at each such hearing, the Administrative Law Judge assigned may, upon motion by any party, or on his or her own motion, order that a consolidated hearing be conducted. Where consolidated hearings are held, a single record of the proceedings may be made and the evidence introduced in one matter may be considered as introduced in the others, and a separate or joint decision shall be made at the discretion of the Administrative Law Judge."], ["28:28:2.0.1.1.22.0.1.17", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.17 Amicus curiae.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "A brief of an amicus curiae may be filed by leave of the Administrative Law Judge upon motion or petition of the amicus curiae. The amicus curiae shall not participate in any way in the conduct of the hearing, including the presentation of evidence and the examination of witnesses."], ["28:28:2.0.1.1.22.0.1.18", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.18 Discovery\u2014general provisions.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7076, Feb. 12, 1999, as amended by Dir. Order No. 04-2026, 91 FR 9997, Mar. 2, 2026]", "(a)  General.  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. 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.\n\n(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.\n\n(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:\n\n(1) The discovery not be had;\n\n(2) The discovery may be had only on specified terms and conditions, including a designation of the time, amount, duration, or place;\n\n(3) The discovery may be had only by a method of discovery other than that selected by the party seeking discovery; or\n\n(4) Certain matters not relevant may not be inquired into, or that the scope of discovery be limited to certain matters.\n\n(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:\n\n(1) A party is under a duty to supplement timely his or her response with respect to any question directly addressed to:\n\n(i) The identity and location of persons having knowledge of discoverable matters; and\n\n(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.\n\n(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:\n\n(i) He or she knows the response was incorrect when made; or\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.19", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.19 Written interrogatories to parties.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) Any party may serve upon any other party written interrogatories to be answered in writing by the party served, or if the party served is a public or private corporation or a partnership or association or governmental agency, by any authorized officer or agent, who shall furnish such information as is available to the party. A copy of the interrogatories shall be served on all parties to the proceeding.\n\n(b) Each interrogatory shall be answered separately and fully in writing under oath or affirmation, unless it is objected to, in which event the reasons of objection shall be stated in lieu of an answer. The answers and objections shall be signed by the person making them. The party upon whom the interrogatories were served shall serve a copy of the answer or objections upon all parties to the proceeding within thirty (30) days after service of the interrogatories, or within such shorter or longer period as the Administrative Law Judge upon motion may allow.\n\n(c) An interrogatory otherwise proper is not necessarily objectionable merely because an answer to the interrogatory involves an opinion or contention that relates to fact or the application of law to fact, but the Administrative Law Judge may upon motion order that such an interrogatory need not be answered until after designated discovery has been completed or until a prehearing conference or other later time.\n\n(d) A person or entity upon whom interrogatories are served may respond by the submission of business records, indicating to which interrogatory the documents respond, if they are sufficient to answer said interrogatories."], ["28:28:2.0.1.1.22.0.1.2", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.2 Definitions.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7073, Feb. 12, 1999, as amended by Order No. 2255-99, 64 FR 49660, Sept. 14, 1999; AG Order No. 4840-2020, 85 FR 63206, Oct. 7, 2020; AG Order No.5812-2023, 88 FR 70590, Oct. 12, 2023; Dir. Order No. 04-2026, 91 FR 9995, Mar. 2, 2026]", "For purposes of this part:\n\nAdjudicatory 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;\n\nAdministrative Law Judge  means an Administrative Law Judge appointed pursuant to the provisions of 5 U.S.C. 3105;\n\nAdministrative Procedure Act  means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559;\n\nCertification  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:\n\n(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,\n\n(2)  Certified mail  means a form of mail similar to registered mail by which sender may require return receipt from addressee, and\n\n(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;\n\nCertify  means the act of executing a certification;\n\nChief Administrative Hearing Officer  is the official who, under the Director, Executive Office for Immigration Review, exercises administrative supervision over the Chief Administrative Law Judge and others assigned to the Office of the Chief Administrative Hearing Officer (OCAHO). Subject to the supervision of the Director, the Chief Administrative Hearing Officer shall be responsible for the management and direction of hearings and duties within the jurisdiction of OCAHO. The Chief Administrative Hearing Officer shall have no authority to direct the result of an adjudication assigned to an administrative law judge unless done so in accordance with the review process in this part, provided, however, that nothing in this part otherwise shall be construed to limit the authority of the Chief Administrative Hearing Officer to carry out his or her duties. In coordination with the Director, and following consultation with the Chief Administrative Law Judge, the Chief Administrative Hearing Officer is authorized to:\n\n(1) Advise the Office of Policy on the issuance of operational instructions and policy, including procedural instructions regarding the implementation of new statutory or regulatory authorities;\n\n(2) Advise the Office of Policy on the provision of appropriate training of the administrative law judges and other OCAHO staff on the conduct of their authorities and duties;\n\n(3) Direct the conduct of employees assigned to OCAHO to ensure the efficient disposition of all pending cases, including the authority to regulate the initial assignment of administrative law judges to cases and to set priorities or time frames for the resolution of cases;\n\n(4) Evaluate the activities performed by OCAHO by making appropriate reports and inspections, and taking corrective action where needed, provided that nothing in this part shall be construed as providing for the performance evaluation of an administrative law judge;\n\n(5) Adjudicate cases on administrative review, as provided in this part; and\n\n(6) Exercise such other authorities as the Director may provide;\n\nChief Administrative Law Judge  means an Administrative Law Judge who, in addition to performing the general duties of an Administrative Law Judge, serves as the immediate supervisor of all other Administrative Law Judges in the Office of the Chief Administrative Hearing Officer and performs other regulatory duties as identified in this part and elsewhere. Subject to the supervision of the Director and the Chief Administrative Hearing Officer, the Chief Administrative Law Judge shall be responsible for the supervision, direction, and scheduling of the administrative law judges in the conduct of the hearings and duties assigned to them. The Chief Administrative Law Judge shall have no authority to direct the result of an adjudication assigned to another Administrative Law Judge, provided, however, that nothing in this part shall otherwise be construed to limit the authority of the Chief Administrative Law Judge to carry out his or her duties. In coordination with the Director and the Chief Administrative Hearing Officer, the Chief Administrative Law Judge is authorized to:\n\n(1) Advise the Office of Policy on the issuance of operational instructions and policy, including procedural instructions regarding the implementation of new statutory or regulatory authorities;\n\n(2) Advise the Office of Policy on the provision of appropriate training of the administrative law judges and other OCAHO staff on the conduct of their authorities and duties;\n\n(3) Direct the conduct of employees assigned to an administrative law judge team in OCAHO to ensure the efficient disposition of all pending cases, including the authority to regulate the assignment of administrative law judges to cases to promote administrative efficiency and the authority to set priorities or time frames for the resolution of cases;\n\n(4) Evaluate the activities performed by administrative law judge teams by making appropriate reports and inspections, and take corrective action where needed, provided that nothing in this part shall be construed as providing for the performance evaluation of an administrative law judge;\n\n(5) Adjudicate cases as an administrative law judge; and\n\n(6) Exercise such other authorities as the Director or Chief Administrative Hearing Officer may provide;\n\nComplainant  means the Department of Homeland Security in cases arising under sections 274A and 274C of the INA. In cases arising under section 274B of the INA, \u201ccomplainant\u201d 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;\n\nComplainant  means the Department of Homeland Security in cases arising under sections 274A and 274C of the INA. In cases arising under section 274B of the INA, \u201ccomplainant\u201d 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;\n\nComplaint  means the formal document initiating an adjudicatory proceeding;\n\nConsent 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;\n\nDebt Collection Improvement Act  means the Debt Collection Improvement Act of 1996, Pub. L. 104-134, Title III, 110 Stat. 1321 (1996);\n\nDecision  means any findings of fact or conclusions of law by an Administrative Law Judge or the Chief Administrative Hearing Officer;\n\nDocument fraud cases  means cases involving allegations under section 274C of the INA.\n\nEntry  means the date the Administrative Law Judge, the Chief Administrative Hearing Officer, or the Attorney General signs the order;\n\nFinal agency order  is an Administrative Law Judge's final order, in cases arising under sections 274A, 274B, and 274C of the INA, that has not been modified, vacated, or remanded by the Chief Administrative Hearing Officer pursuant to \u00a7 68.54, referred to the Attorney General for review pursuant to \u00a7 68.55(a) or accepted by the Attorney General for review pursuant to \u00a7 68.55(b)(3). Alternatively, if the Chief Administrative Hearing Officer modifies or vacates the final order pursuant to \u00a7 68.54, the modification or vacatur becomes the final agency order if it has not been referred to the Attorney General for review pursuant to \u00a7 68.55(a) or accepted by the Attorney General for review pursuant to \u00a7 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 order is the final agency order.\n\nFinal 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;\n\nHearing  means that part of a proceeding that involves the submission of evidence, either by oral presentation or written submission;\n\nInterlocutory 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;\n\nINA  means the Immigration and Nationality Act of 1952, ch. 477, Pub. L. 82-414, 66 Stat. 163, as amended;\n\nIssued  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;\n\nMotion  means an oral or written request, made by a person or a party, for some action by an Administrative Law Judge;\n\nNotice of hearing  means the Notice of Case Assignment or other, similar document served by the Office of the Chief Administrative Hearing Officer on the parties to a case.\n\nOrder  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;\n\nOrdinary 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;\n\nParty  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;\n\nPleading  means the complaint, the answer thereto, any motions, any supplements or amendments to any motions or amendments, and any 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 Law Judge;\n\nProhibition of indemnity bond cases  means cases involving allegations under section 274A(g) of the INA;\n\nRespondent  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;\n\nSpecial 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;\n\nUnfair immigration-related employment practice cases  means cases involving allegations under section 274B of the INA;\n\nUnlawful employment cases  means cases involving allegations under section 274A of the INA, other than prohibition of indemnity bond cases."], ["28:28:2.0.1.1.22.0.1.20", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.20 Production of documents, things, and inspection of land.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) Any party may serve on any other party a request to:\n\n(1) Produce and permit the party making the request, or a person acting on his/her behalf, to inspect and copy any designated documents or things or to inspect land, in the possession, custody, or control of the party upon whom the request is served; and\n\n(2) Permit the party making the request, or a person acting on his/her behalf, to enter the premises of the party upon whom the request is served to accomplish the purposes stated in paragraph (1) of this section.\n\n(b) The request may be served on any party without leave of the Administrative Law Judge.\n\n(c) The request shall:\n\n(1) Set forth the items to be inspected either by individual item or by category;\n\n(2) Describe each item or category with reasonable particularity; and\n\n(3) Specify a reasonable time, place, and manner of making the inspection and performing the related acts.\n\n(d) The party upon whom the request is served shall serve on the party submitting the request a written response within thirty (30) days after service of the request.\n\n(e) The response shall state, with respect to each item or category:\n\n(1) That inspection and related activities will be permitted as requested; or\n\n(2) That objection is made in whole or in part, in which case the reasons for objection shall be stated.\n\n(f) A copy of each request for production and each written response shall be served on all parties."], ["28:28:2.0.1.1.22.0.1.21", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.21 Admissions.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) A party may serve upon any other party a written request for the admission, for purposes of the pending action only, of the genuineness and authenticity of any relevant document described in or attached to the request, or for the admission of the truth of any specified relevant matter of fact.\n\n(b) Each matter of which an admission is requested is admitted unless, within thirty (30) days after service of the request or such shorter or longer time as the Administrative Law Judge may allow, the party to whom the request is directed serves on the requesting party:\n\n(1) A written statement denying specifically the relevant matters of which an admission is requested;\n\n(2) A written statement setting forth in detail the reasons why he/she can neither truthfully admit nor deny them; or\n\n(3) Written objections on the ground that some or all of the matters involved are privileged or irrelevant or that the request is otherwise improper in whole or in part.\n\n(c) An answering party may not give lack of information or knowledge as a reason for failure to admit or deny unless the party states that he/she has made reasonable inquiry and that the information known or readily obtainable by him/her is insufficient to enable the party to admit or deny.\n\n(d) Any matter admitted under this section is conclusively established unless the Administrative Law Judge upon motion permits withdrawal or amendment of the admission.\n\n(e) A copy of each request for admission and each written response shall be served on all parties."], ["28:28:2.0.1.1.22.0.1.22", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.22 Depositions.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7076, Feb. 12, 1999]", "(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.\n\n(b)  When, how, and by whom taken.  The following procedures shall apply to depositions:\n\n(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.\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.23", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.23 Motion to compel response to discovery; sanctions.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7076, Feb. 12, 1999]", "(a) If a deponent fails to answer a question asked, or a party upon whom a discovery request is made pursuant to \u00a7\u00a7 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.\n\n(b) The motion shall set forth and include:\n\n(1) The nature of the questions or request;\n\n(2) The response or objections of the party upon whom the request was served;\n\n(3) Arguments in support of the motion; and\n\n(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.\n\n(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 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:\n\n(1) Infer and conclude that the admission, testimony, documents, or other evidence would have been adverse to the non-complying party;\n\n(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;\n\n(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;\n\n(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;\n\n(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;\n\n(6) In the case of failure to comply with a subpoena, the Administrative Law Judge may also take the action provided in \u00a7 68.25(e); and\n\n(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 \u00a7 68.42.\n\n(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."], ["28:28:2.0.1.1.22.0.1.24", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.24 Use of depositions at hearings.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7077, Feb. 12, 1999]", "(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:\n\n(1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness;\n\n(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;\n\n(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;\n\n(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:\n\n(i) That the witness is dead;\n\n(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;\n\n(iii) That the witness is unable to attend to testify because of age, sickness, infirmity, or imprisonment;\n\n(iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or\n\n(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;\n\n(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\n\n(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.25", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.25 Subpoenas.", "DOJ", "", "", "[Order No. 1534-91, 56 FR 50055, Oct. 3, 1991, as amended by Order No. 1635-92, 57 FR 57672, Dec. 7, 1992]", "(a) An Administrative Law Judge, upon his or her own initiative or upon request of an individual or entity before a complaint is filed or by a party once a complaint has been filed, may issue subpoenas as authorized by statute, either prior to or subsequent to the filing of a complaint. Such subpoena may require attendance and testimony of witnesses and production of things including, but not limited to, papers, books, documents, records, correspondence, or tangible things in their possession and under their control and access to such things for the purposes of examination and copying. A subpoena may be served by overnight courier service or overnight mail, certified mail, or by any person who is not less than 18 years of age. A witness, other than a witness subpoenaed on behalf of the Federal Government, may not be required to attend a deposition or hearing unless the mileage and witness fee applicable to witnesses in courts of the United States for each date of attendance is paid in advance of the date of the proceeding. Mileage and witness fees need not be paid to a witness at the time of service of the subpoena if the witness is subpoenaed by the Federal Government.\n\n(b) The subpoena shall identify the person or things subpoenaed, the person to whom it is returnable and the place, date, and time at which it is returnable; or the subpoena shall identify the nature of the evidence to be examined and copied, and the date and time when access is requested. Where a non-party is subpoenaed, the requestor of the subpoena must give notice to all parties, or if no complaint has been filed, then notice shall be given to individuals or entities who have been charged with an unfair immigration-related employment practice under section 274B of the INA, the individual initiating the alleged unfair immigration-related employment practice, and the Office of Special Counsel. For purposes of this subsection, the receipt of the subpoena or a copy of the subpoena shall serve as the notice.\n\n(c) Any person served with a subpoena issued by an Administrative Law Judge who intends not to comply with it shall, within ten (10) days after the date of service of the subpoena upon such person or within such other time the Administrative Law Judge deems appropriate, petition the Administrative Law Judge to revoke or modify the subpoena. A copy of the petition shall be served on all parties. If a complaint has not been filed in the matter, a copy of the petition shall be served on the individual or entity that requested the subpoena. The petition shall separately identify each portion of the subpoena with which the petitioner does not intend to comply and shall state, with respect to each such portion, the grounds upon which the petitioner relies. A copy of the subpoena shall be attached to the petition. Within eight (8) days after receipt of the petition, the individual or entity that applied for the subpoena may respond to such petition, and the Administrative Law Judge shall then make a final determination upon the petition. The Administrative Law Judge shall cause a copy of the final determination of the petition to be served upon all parties, or, if a complaint has not been filed, upon the individuals or entities requesting and responding to the subpoena.\n\n(d) A party shall have standing to challenge a subpoena issued to a non-party if the party can claim a personal right or privilege in the discovery sought.\n\n(e) Failure to comply. Upon the failure of any person to comply with an order to testify or a subpoena issued under this section, the Administrative Law Judge may, where authorized by law, apply through appropriate counsel to the appropriate district court of the United States for an order requiring compliance with the order or subpoena."], ["28:28:2.0.1.1.22.0.1.26", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.26 Designation of Administrative Law Judge.", "DOJ", "", "", "[AG Order No. 4840-2020, 85 FR 63207, Oct. 7, 2020]", "Hearings shall be held before an Administrative Law Judge appointed under 5 U.S.C. 3105 and assigned to the Department of Justice. The presiding judge in any case shall be initially designated by the Chief Administrative Hearing Officer. The Chief Administrative Law Judge may reassign a case previously assigned to an Administrative Law Judge to promote administrative efficiency. In unfair-immigration-related employment practice cases, only Administrative Law Judges specially designated by the Attorney General as having special training respecting employment discrimination may be chosen by the Chief Administrative Hearing Officer or Chief Administrative Law Judge to preside."], ["28:28:2.0.1.1.22.0.1.27", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.27 Continuances.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7077, Feb. 12, 1999]", "(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.\n\n(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.\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.28", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.28 Authority of Administrative Law Judge.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated and amended by Order No. 1534-91, 56 FR 50053, 50055, Oct. 3, 1991; Order No. 1635-92, 57 FR 57672, Dec. 7, 1992]", "(a)  General powers.  In any proceeding under this part, the Administrative Law Judge shall have all appropriate powers necessary to conduct fair and impartial hearings, including, but not limited to, the following:\n\n(1) Conduct formal hearings in accordance with the provisions of the Administrative Procedure Act and of this part;\n\n(2) Administer oaths and examine witnesses;\n\n(3) Compel the production of documents and appearance of witnesses in control of the parties;\n\n(4) Compel the appearance of witnesses by the issuance of subpoenas as authorized by law;\n\n(5) Issue decisions and orders;\n\n(6) Take any action authorized by the Administrative Procedure Act;\n\n(7) Exercise, for the purpose of the hearing and in regulating the conduct of the proceeding, such powers vested in the Attorney General as are necessary and appropriate therefore; and\n\n(8) Take other appropriate measures necessary to enable him or her to discharge the duties of the office.\n\n(b)  Enforcement.  If any person in proceedings before an Administrative Law Judge disobeys or resists any lawful order or process, or misbehaves during a hearing or so near the place thereof as to obstruct the same, or neglects to produce, after having been ordered to do so, any pertinent book, paper, or document, or refuses to appear after having been subpoenaed, or upon appearing refuses to take the oath as a witness, or after having taken the oath refuses to be examined according to law, the Administrative Law Judge responsible for the adjudication may, where authorized by statute or law, apply through appropriate counsel to the Federal District Court having jurisdiction in the place in which he/she is sitting to request appropriate remedies."], ["28:28:2.0.1.1.22.0.1.29", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.29 Unavailability of Administrative Law Judge.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991, and amended by AG Order No. 4840-2020, 85 FR 63208, Oct. 7, 2020]", "In the event the Administrative Law Judge designated to conduct the hearing becomes unavailable, the Chief Administrative Law Judge,  may designate another Administrative Law Judge for the purpose of further hearing or other appropriate action."], ["28:28:2.0.1.1.22.0.1.3", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.3 Service of complaints, notices, written orders, and decisions.", "DOJ", "", "", "[Dir. Order No. 04-2026, 91 FR 9995, Mar. 2, 2026]", "(a) Service of complaints, notices, 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:\n\n(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;\n\n(2) By leaving a copy at the principal office, place of business, or residence of a party;\n\n(3) By mailing to the last known address of such individual, partner, officer, or attorney or representative of record; or\n\n(4) By delivering a copy or providing notification by email to such individual, party, partner of a party, officer, registered agent for service of process, or attorney or representative of record of a party.\n\n(b) Service of the complaint and notice of hearing is complete upon receipt by the addressee.\n\n(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."], ["28:28:2.0.1.1.22.0.1.30", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.30 Disqualification.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991, and amended by AG Order No. 4840-2020, 85 FR 63208, Oct. 7, 2020]", "(a) When an Administrative Law Judge deems himself or herself disqualified to preside in a particular proceeding, such judge shall withdraw therefrom by notice on the record directed to the Chief Administrative Law Judge.\n\n(b) Whenever any party shall deem the Administrative Law Judge for any reason to be disqualified to preside, or to continue to preside, in a particular proceeding, that party shall file with the Administrative Law Judge a motion to recuse. The motion shall be supported by an affidavit setting forth the alleged grounds for disqualification. The Administrative Law Judge shall rule upon the motion.\n\n(c) In the event of disqualification or recusal of an Administrative Law Judge as provided in paragraph (a) or (b) of this section, the Chief Administrative Law Judge shall refer the matter to another Administrative Law Judge for further proceedings.\n\n(d) In the event of disqualification or recusal of the Chief Administrative Law Judge as provided in this section, the Chief Administrative Hearing Officer shall refer the matter to another Administrative Law Judge for further proceedings.\n\n(e) The disqualification procedures in this section apply to reviews by the Chief Administrative Hearing Officer conducted under \u00a7 68.53 or \u00a7 68.54. In the event of disqualification or recusal of the Chief Administrative Hearing Officer as provided in this section, the review shall be referred to the Director for further proceedings. For a case referred to the Director under this paragraph (e), the Director shall exercise delegated authority from the Attorney General identical to that of the Chief Administrative Hearing Officer as described in \u00a7 68.53 or 68.54."], ["28:28:2.0.1.1.22.0.1.31", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.31 Separation of functions.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "No officer, employee, or agent of the Federal Government engaged in the performance of investigative or prosecutorial functions in connection with any proceeding shall, in that proceeding or a factually related proceeding, participate or advise in the decision of the Administrative Law Judge, except as a witness or counsel in the proceedings."], ["28:28:2.0.1.1.22.0.1.32", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.32 Expedition.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "Hearings shall proceed with all reasonable speed, insofar as practicable and with due regard to the convenience of the parties."], ["28:28:2.0.1.1.22.0.1.33", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.33 Participation of parties and representation.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7077, Feb. 12, 1999, as amended by Order No. 2255-99, 64 FR 49660, Sept. 14, 1999; AG Order No. 4840-2020, 85 FR 63208, Oct. 7, 2020]", "(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.\n\n(b)  Person compelled to testify.  Any person compelled to testify in a proceeding in response to a subpoena may be accompanied, represented, and advised by an individual meeting the requirements of paragraph (c) of this section.\n\n(c)  Representation for parties other than the Department of Justice.  Persons who may appear before the Administrative Law Judges on behalf of parties other than the Department of Justice include:\n\n(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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 who the Judge finds 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.\n\n(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 (f) of this section.\n\n(d)  Representation for the Department of Justice.  The Department of Justice may be represented by the appropriate counsel in these proceedings.\n\n(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.\n\n(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 Department of Homeland Security 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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.34", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.34 Legal assistance.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "The Office of the Chief Administrative Hearing Officer does not have authority to appoint counsel."], ["28:28:2.0.1.1.22.0.1.35", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.35 Standards of conduct.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) All persons appearing in proceedings before an Administrative Law Judge are expected to act with integrity, and in an ethical manner.\n\n(b) The Administrative Law Judge may exclude from proceedings parties, witnesses, and their representatives for refusal to comply with directions, continued use of dilatory tactics, refusal to adhere to reasonable standards of orderly and ethical conduct, failure to act in good faith, or violation of the prohibition against  ex parte  communications. The Administrative Law Judge shall state in the record the cause for barring an attorney or other individual from participation in a particular proceeding. The Administrative Law Judge may suspend the proceeding for a reasonable time for the purpose of enabling a party to obtain another attorney or representative."], ["28:28:2.0.1.1.22.0.1.36", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.36", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a)  General.  Except for other employees of the Executive Office for Immigration Review, the Administrative Law Judge shall not consult any person, or party, on any fact in issue unless upon notice and opportunity for all parties to participate. Communications by the Office of the Chief Administrative Hearing Officer, the assigned judge, or any party for the sole purpose of scheduling hearings, or requesting extensions of time are not considered  ex parte  communications, except that all other parties shall be notified of such request by the requesting party and be given an opportunity to respond thereto.\n\n(b)  Sanctions.  A party or participant who makes a prohibited  ex parte  communication, or who encourages or solicits another to make any such communication, may be subject to any appropriate sanction or sanctions, including but not limited to, exclusion from the proceedings and adverse ruling on the issue which is the subject of the prohibited communication."], ["28:28:2.0.1.1.22.0.1.37", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.37 Waiver of right to appear and failure to participate or to appear.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated and amended by Order No. 1534-91, 56 FR 50053, 50056, Oct. 3, 1991; Order No. 1635-92, 57 FR 57672, Dec. 7, 1992]", "(a)  Waiver of right to appear.  If all parties waive in writing their right to appear before the Administrative Law Judge or to present evidence or argument personally or by representative, it shall not be necessary to give notice of and conduct an oral hearing. A waiver of the right to appear and present evidence and allegations as to facts and law shall be made in writing and filed with the Chief Administrative Hearing Officer or the Administrative Law Judge. Where such a waiver has been filed by all parties and they do not appear before the Administrative Law Judge personally or by representative, the Administrative Law Judge shall make a record of the relevant written evidence submitted by the parties, together with any pleadings they may submit with respect to the issues in the case. Such documents shall be considered as all of the evidence in the case and decision shall be based on them.\n\n(b)  Dismissal\u2014Abandonment by party.  A complaint or a request for hearing may be dismissed upon its abandonment by the party or parties who filed it. A party shall be deemed to have abandoned a complaint or a request for hearing if:\n\n(1) A party or his or her representative fails to respond to orders issued by the Administrative Law Judge; or\n\n(2) Neither the party nor his or her representative appears at the time and place fixed for the hearing and either\n\n(i) Prior to the time for hearing, such party does not show good cause as to why neither he or she nor his or her representative can appear; or\n\n(ii) Within ten (10) days after the time for hearing or within such other period as the Administrative Law Judge may allow, such party does not show good cause for such failure to appear.\n\n(c)  Default\u2014Failure to appear.  A default decision, under \u00a7 68.9(b), may be entered, with prejudice, against any party failing, without good cause, to appear at a hearing."], ["28:28:2.0.1.1.22.0.1.38", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.38 Motion for summary decision.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7078, Feb. 12, 1999]", "(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.\n\n(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.\n\n(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.\n\n(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:\n\n(1) Findings of fact and conclusions of law, and the reasons therefor, on all issues presented; and\n\n(2) Any terms and conditions of the final order.\n\n(e)  Hearings on issue of fact.  Where a genuine question of material fact is raised, the Administrative Law Judge shall set the case for an evidentiary hearing."], ["28:28:2.0.1.1.22.0.1.39", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.39 Formal hearings.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a)  Public.  Hearings shall be open to the public. The Administrative Law Judge may order a hearing or any part thereof closed, where to do so would be in the best interests of the parties, a witness, the public, or other affected persons. Any order closing the hearing shall set forth the reasons for the decision. Any objections thereto shall be made a part of the record.\n\n(b)  Jurisdiction.  The Administrative Law Judge shall have jurisdiction to decide all issues of fact and related issues of law.\n\n(c)  Rights of parties.  Every party shall have the right of timely notice and all other rights essential to a fair hearing, including, but not limited to, the right to present evidence, to conduct such cross-examination as may be necessary for a full and complete disclosure of the facts, and to be heard by objection, motion, and argument.\n\n(d)  Rights of participation.  Every party shall have the right to make a written or oral statement of position. At the discretion of the Administrative Law Judge, participants may file proposed findings of fact, conclusions of law, and a post hearing brief.\n\n(e)  Amendments to conform to the evidence.  When issues not raised by the request for hearing, prehearing stipulation, or prehearing order 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. Such amendment of the pleadings as may be necessary to cause them to conform to the evidence may be made on motion of any party at any time; but failure to so amend does not affect the result of the hearing of these issues. The Administrative Law Judge may grant a continuance to enable the objecting party to meet such evidence."], ["28:28:2.0.1.1.22.0.1.4", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.4 Complaints regarding unfair immigration-related employment practices.", "DOJ", "", "", "[Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a)  Generally.  An individual must file a charge with the Special Counsel within one hundred and eighty (180) days of the date of the alleged unfair immigration-related employment practice.\n\n(b) The Special Counsel shall, within one hundred and twenty (120) days of the date of receipt of the charge:\n\n(1) Determine whether there is a reasonable cause to believe the charge is true and whether to bring a complaint respecting the charge with the Chief Administrative Hearing Officer within the 120-day period; or,\n\n(2) Notify the party within the 120-day period that the Special Counsel will not file a complaint with the Chief Administrative Hearing Officer within the 120-day period.\n\n(c) The charging individual may file a complaint directly with the Chief Administrative Hearing Officer within ninety (90) days after the date of receipt of notice that the Special Counsel will not be filing a complaint within the 120-day period. However, the Special Counsel's failure to file a complaint within the 120-day period will not affect the right of the Special Counsel to investigate the charge or bring a complaint within the 90-day period."], ["28:28:2.0.1.1.22.0.1.40", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.40 Evidence.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a)  Applicability of Federal rules of evidence.  Unless otherwise provided by statute or these rules, the Federal Rules of Evidence will be a general guide to all proceedings held pursuant to these rules.\n\n(b)  Admissibility.  All relevant material and reliable evidence is admissible, but may be excluded if its probative value is substantially outweighed by unfair prejudice or confusion of the issues, or by considerations of undue delay, waste of time, immateriality, or needless presentation of cumulative evidence. Stipulations of fact may be introduced in evidence with respect to any issue. Every party shall have the right to present his/her case or defense by oral or documentary evidence, depositions, and duly authenticated copies of records and documents; to submit rebuttal evidence; and to conduct such reasonable cross-examination as may be required for a full and true disclosure of the facts. The Administrative Law Judge shall have the right in his/her discretion to limit the number of witnesses whose testimony may be merely cumulative and shall, as a matter of policy, not only exclude irrelevant, immaterial, or unduly repetitious evidence but shall also limit the cross-examination of witnesses to reasonable bounds so as not to prolong the hearing unnecessarily, and unduly burden the record. Material and relevant evidence shall not be excluded because it is not the best evidence, unless its authenticity is challenged, in which case reasonable time shall be given to establish its authenticity. When only portions of a document are to be relied upon, the offering party shall prepare the pertinent excerpts, adequately identified, and shall supply copies of such excerpts, together with a statement indicating the purpose for which such materials will be offered, to the Administrative Law Judge and to the other parties. Only the excerpts, so prepared and submitted, shall be received in the record. However, the original document should be made available for examination and for use by opposing counsel for purposes of cross-examination. Compilations, charts, summaries of data, and photostatic copies of documents may be admitted in evidence if the proceedings will thereby be expedited, and if the material upon which they are based is available for examination by the parties.\n\n(c)  Objections to evidence.  Objections to the admission or exclusion of evidence shall be in short form, stating the grounds of objections relied upon, and to the extent permitted by the Administrative Law Judge, the transcript shall include argument or debate thereon. Rulings on such objections shall be made at the time of objection or prior to the receipt of further evidence. Such ruling shall be a part of the record.\n\n(d)  Exceptions.  Formal exceptions to the rulings of the Administrative Law Judge made during the course of the hearing are unnecessary. For all purposes for which an exception otherwise would be taken, it is sufficient that a party, at the time the ruling of the Administrative Law Judge is made or sought, makes known the action he/she desires the Administrative Law Judge to take or his/her objection to an action taken, and his/her grounds therefor.\n\n(e)  Offers of proof.  Any offer of proof made in connection with an objection taken to any ruling of the Administrative Law Judge rejecting or excluding proffered oral testimony shall consist of a statement of the substance of the evidence which counsel contends would be adduced by such testimony, and, if the excluded evidence consists of evidence in documentary or written form or of reference to documents or records, a copy of such evidence shall be marked for identification and shall constitute the offer of proof."], ["28:28:2.0.1.1.22.0.1.41", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.41 Official notice.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "Official notice may be taken of any material fact, not appearing in evidence in the record, which is among the traditional matters of judicial notice. Provided, however, that the parties shall be given adequate notice, at the hearing or by reference in the Administrative Law Judge's decision, of the matters so noticed, and shall be given adequate opportunity to show the contrary."], ["28:28:2.0.1.1.22.0.1.42", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.42 In camera and protective orders.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7079, Feb. 12, 1999]", "(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.\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.43", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.43 Exhibits.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991, and amended by Order No. 1635-92, 57 FR 57672, Dec. 7, 1992]", "(a)  Identification.  All exhibits offered in evidence shall be numbered and marked with a designation identifying the party or intervenor by whom the exhibit is offered.\n\n(b)  Exchange of exhibits.  When written exhibits are offered in evidence, one copy must be furnished to each of the parties at the hearing, and two copies to the Administrative Law Judge, unless the parties previously have been furnished with copies or the Administrative Law Judge directs otherwise. If the Administrative Law Judge has not fixed a time for the exchange of exhibits, the parties shall exchange copies of exhibits at the earliest practicable time, preferably before the hearing or, at the latest, at the commencement of the hearing.\n\n(c)  Substitution of copies for original exhibits.  The Administrative Law Judge may permit a party to withdraw original documents offered in evidence and substitute true copies in lieu thereof."], ["28:28:2.0.1.1.22.0.1.44", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.44 Records in other proceedings.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "In case any portion of the record in any other proceeding or civil or criminal action is offered in evidence, a true copy of such portion shall be presented for the record in the form of an exhibit unless the Administrative Law Judge directs otherwise."], ["28:28:2.0.1.1.22.0.1.45", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.45 Designation of parts of documents.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "Where relevant and material matter offered in evidence is embraced in a document containing other matter not material or relevant and not intended to be put in evidence, the participant offering the same shall plainly designate the matter so offered, segregating and excluding insofar as practicable the immaterial or irrelevant parts. If other matter in such document is in such bulk or extent as would necessarily encumber the record, such document will not be received in evidence, but may be marked for identification, and if properly authenticated, the relevant and material parts thereof may be read into the record, or if the Administrative Law Judge so directs, a true copy of such matter in proper form shall be received in evidence as an exhibit, and copies shall be delivered by the participant offering the same to the other parties or their attorneys appearing at the hearing, who shall be afforded an opportunity to examine the entire document and to offer in evidence in like manner other material and relevant portions thereof."], ["28:28:2.0.1.1.22.0.1.46", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.46 Authenticity.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "The authenticity of all documents submitted as proposed exhibits in advance of the hearing shall be deemed admitted unless written objection therto is filed prior to the hearing, except that a party will be permitted to challenge such authenticity at a later time upon a clear showing of good cause for failure to have filed such written objection."], ["28:28:2.0.1.1.22.0.1.47", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.47 Stipulations.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "The parties may by stipulation in writing at any stage of the proceeding, or by stipulation made orally at the hearing, agree upon any pertinent facts in the processing. It is desirable that the facts be thus agreed upon so far as and whenever practicable. Stipulations may be received in evidence at a hearing or prior thereto, and when received in evidence, shall be binding on the parties thereto."], ["28:28:2.0.1.1.22.0.1.48", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.48 Record of hearings.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991, and amended by Order No. 1635-92, 57 FR 57672, Dec. 7, 1992]", "(a)  General.  A verbatim written record of all hearings shall be kept, except in cases where the proceedings are terminated in accordance with \u00a7 68.14. All evidence upon which the Administrative Law Judge relies for decision shall be contained in the transcript of testimony, either directly or by appropriate reference. All exhibits introduced as evidence shall be marked for identification and incorporated into the record. Transcripts may be obtained by the parties and the public from the official court reporter of record. Any fees in connection therewith shall be the responsibility of the parties.\n\n(b)  Corrections.  Corrections to the official transcript will be permitted upon motion. Motions for correction must be submitted within ten (10) days of the receipt of the transcript by the Administrative Law Judge or such other time as may be permitted by the Administrative Law Judge. Corrections of the official transcript will be permitted only when errors of substance are involved and only upon approval of the Administrative Law Judge."], ["28:28:2.0.1.1.22.0.1.49", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.49 Closing the record.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "(a) When there is a hearing, the record shall be closed at the conclusion of the hearing unless the Administrative Law Judge directs otherwise.\n\n(b) If any party waives a hearing, the record shall be closed on the date set by the Administrative Law Judge as the final date for the receipt of submissions of the parties to the matter.\n\n(c) Once the record is closed, no additional evidence shall be accepted into the record except upon a showing that new and material evidence has become available which was not readily available prior to the closing of the record. However, the Administrative Law Judge shall make part of the record any motions for attorney's fees authorized by statutes, and any supporting documentation, any determinations thereon, and any approved correction to the transcript."], ["28:28:2.0.1.1.22.0.1.5", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.5 Notice of date, time, and place of hearing.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated and amended by Order No. 1534-91, 56 FR 50053, 50054, Oct. 3, 1991; Order No. 1635-92, 57 FR 57672, Dec. 7, 1992; Dir. Order No. 04-2026, 91 FR 9996, Mar. 2, 2026]", "(a)  Generally.  The Administrative Law Judge to whom the case is assigned shall notify the parties of a date, time, and place set for hearing thereon or for a prehearing conference, or both.\n\n(b)  Place of hearing.  In cases under sections 274A and 274C of the INA, pursuant to sections 274A(e)(3)(B) and 274C(d)(2)(B) of the INA, hearings shall be held at the nearest practicable place to the place where the person or entity resides or to the place where the alleged violation occurred. In cases under section 274B of the INA, pursuant to section 554 of title 5, United States Code, due regard shall be given to the convenience of the parties and the witnesses in selecting a place for a hearing. Hearings under sections 274A, 274B, and 274C of the INA may be conducted by video teleconference."], ["28:28:2.0.1.1.22.0.1.50", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.50 Receipt of documents after hearing.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "Documents submitted for the record after the close of the hearing will not be received in evidence except upon ruling of the Administrative Law Judge. Such documents when submitted shall be accompanied by proof that copies have been served upon all parties, who shall have an opportunity to comment thereon. Copies shall be received not later than twenty (20) days after the close of the hearing except for good cause shown, and not less than ten (10) days prior to the date set for filing briefs. Exhibit numbers should be assigned by counsel or the party."], ["28:28:2.0.1.1.22.0.1.51", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.51 Restricted access.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated by Order No. 1534-91, 56 FR 50053, Oct. 3, 1991]", "On his/her own motion, or on the motion of any party, the Administrative Law Judge may direct that there be a restricted access portion of the record to contain any material in the record to which public access is restricted by law or by the terms of a protective order entered in the proceedings. This portion of the record shall be placed in a separate file and clearly marked to avoid improper disclosure and to identify it as a portion of the official record in the proceedings."], ["28:28:2.0.1.1.22.0.1.52", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.52 Final order of the Administrative Law Judge.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7079, Feb. 12, 1999, as amended by Order No. 2255-99, 64 FR 49660, Sept. 14, 1999; Order No. 2944-2008, 73 FR 10136, Feb. 26, 2008; AG Order 3690-2016, 81 FR 42499, June 30, 2016; AG Order No.5812-2023, 88 FR 70591, Oct. 12, 2023; Dir. Order No. 04-2026, 91 FR 9997, Mar. 2, 2026]", "(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.\n\n(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 in an electronic format.\n\n(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.\n\n(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:\n\n(i) 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 before March 27, 2008; not less than $375 and not more than $3,200 for each unauthorized alien with respect to whom there was a violation of either such paragraph occurring on or after March 27, 2008;\n\n(ii) In the case of a person or entity previously subject to one final order under this paragraph (c)(1), 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 before March 27, 2008, and not less than $3,200 and not more than $6,500 for each unauthorized alien with respect to whom there was a violation of either such paragraph occurring on or after March 27, 2008; or\n\n(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 $3,300 and not more than $11,000 for each unauthorized alien with respect to whom there was a violation of each such paragraph occurring before March 27, 2008, and not less than $4,300 and not more than $16,000 for each unauthorized alien with respect to whom there was a violation of each such paragraph occurring on or after March 27, 2008.\n\n(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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), 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 before March 27, 2008, and not less than $550 and not more than $1,100 for each individual with respect to whom such violation occurred on or after March 27, 2008.\n\n(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.\n\n(8)  Civil penalties assessed after August 1, 2016.  For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (c) of this section occurred after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5.\n\n(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.\n\n(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:\n\n(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;\n\n(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;\n\n(iii) To hire individuals directly and adversely affected, with or without back pay;\n\n(iv) To post notices to employees about their rights under section 274B and employers' obligations under section 274A;\n\n(v) To educate all personnel involved in hiring and in complying with section 274A or 274B about the requirements of 274A or 274B;\n\n(vi) To order, in an appropriate case, the removal of a false performance review or false warning from an employee's personnel file;\n\n(vii) To order, in an appropriate case, the lifting of any restrictions on an employee's assignments, work shifts, or movements;\n\n(viii) Except as provided in paragraph (d)(1)(xii) of this section, to pay a civil penalty of not less than $275 and not more than $2,200 for each individual discriminated against before March 27, 2008, and not less than $375 and not more than $3,200 for each individual discriminated against on or after March 27, 2008;\n\n(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 $2,200 and not more than $5,500 for each individual discriminated against before March 27, 2008, and not less than $3,200 and not more than $6,500 for each individual discriminated against on or after March 27, 2008;\n\n(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 $3,300 and not more than $11,000 for each individual discriminated against before March 27, 2008, and not less than $4,300 and not more than $16,000 for each individual discriminated against on or after March 27, 2008;\n\n(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\n\n(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.\n\n(2)  Civil penalties assessed after August 1, 2016.  For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (d) of this section occurred after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5.\n\n(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.\n\n(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.\n\n(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.\n\n(6)  Attorney's fees.  The Administrative Law Judge in his or her 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.\n\n(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:\n\n(i) 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 (4) of the INA before March 27, 2008, and not less than $375 and not more than $3,200 for each document that is the subject of a violation under section 274C(a)(1) through (4) of the INA on or after March 27, 2008;\n\n(ii) Not less than $250 and not more than $2,000 for each document that is the subject of a violation under section 274C(a)(5) or (6) of the INA before March 27, 2008, 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)(5) or (6) of the INA on or after March 27, 2008;\n\n(iii) 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 $2,200 and not more than $5,500 for each document that is the subject of a violation under section 274C(a)(1) through (4) of the INA before March 27, 2008, and not less than $3,200 and not more than $6,500 for each document that is the subject of a violation under section 274C(a)(1) through (4) of the INA on or after March 27, 2008; or\n\n(iv) 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)(5) or (6) of the INA before March 27, 2008, 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)(5) or (6) of the INA on or after March 27, 2008.\n\n(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.\n\n(3)  Civil penalties assessed after August 1, 2016.  For civil penalties assessed after August 1, 2016, whose associated violations described in paragraph (e) of this section occurred after November 2, 2015, the applicable civil penalty amounts are set forth in 28 CFR 85.5.\n\n(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.\n\n(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 \u00a7 68.54, or the Chief Administrative Hearing Officer may exercise discretionary review to make such changes pursuant to \u00a7 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.\n\n(g)  Final agency order.  In a case arising under section 274A, 274B, or 274C of the INA, the Administrative Law Judge's order becomes the final agency order sixty (60) days after the date of entry of the Administrative Law Judge's order, unless:\n\n(1) In a case arising under section 274A or 274C of the INA, the Chief Administrative Hearing Officer modifies, vacates, or remands the Administrative Law Judge's final order pursuant to \u00a7 68.54; or\n\n(2) In a case arising under section 274A, 274B, or 274C of the INA, the order is referred to the Attorney General pursuant to \u00a7 68.55."], ["28:28:2.0.1.1.22.0.1.53", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.53 Review of an interlocutory order of an Administrative Law Judge in cases arising under section 274A or 274C.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7081, Feb. 12, 1999]", "(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:\n\n(1) An Administrative Law Judge, when issuing an interlocutory order, states in writing that the Judge believes:\n\n(i) That the order concerns an important question of law on which there is a substantial difference of opinion; and\n\n(ii) That an immediate appeal will advance the ultimate termination of the proceeding or that subsequent review will be an inadequate remedy; or\n\n(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\n\n(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.\n\n(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.\n\n(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 \u00a7 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.\n\n(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.\n\n(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 \u00a7 68.54 with respect to all issues in the case."], ["28:28:2.0.1.1.22.0.1.54", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.54 Administrative review of a final order of an Administrative Law Judge in cases arising under section 274A or 274C.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7082, Feb. 12, 1999, as amended by Dir. Order No. 04-2026, 91 FR 9997, Mar. 2, 2026]", "(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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.\n\n(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 must be filed and served electronically through OCAHO's electronic filing application consistent with \u00a7 68.6. If electronic filing is not possible, a request for administrative review, brief, or other filing relating to administrative review must be filed and served by email, same-day hand delivery, or overnight delivery. A notification of administrative review by the Chief Administrative Hearing Officer will also be served by email, same-day hand delivery, or overnight delivery.\n\n(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.\n\n(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.\n\n(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.\n\n(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 \u00a7 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."], ["28:28:2.0.1.1.22.0.1.55", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.55 Referral of cases arising under section 274A, 274B, or 274C to the Attorney General for review.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7082, Feb. 12, 1999, as amended by AG Order No. 4840-2020, 85 FR 63208, Oct. 7, 2020; AG Order No.5812-2023, 88 FR 70591, Oct. 12, 2023]", "(a)  Referral of cases by direction of the Attorney General.  The Chief Administrative Hearing Officer shall promptly refer to the Attorney General for review any final order in cases arising under section 274A, 274B, or 274C of the INA if the Attorney General so directs the Chief Administrative Hearing Officer. For cases arising under section 274A and 274C, the Attorney General may so direct the Chief Administrative Hearing Officer within no more than 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 no more than 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. For cases arising under section 274B, the Attorney General may so direct the Chief Administrative Hearing Officer within no more than sixty (60) days of the entry of a final order by the Administrative Law Judge. When a final order is referred to the Attorney General in accordance with this paragraph (a), the Chief Administrative Hearing Officer shall give the Administrative Law Judge and all parties a copy of the referral.\n\n(b)  Request by Secretary of Homeland Security 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 Secretary of Homeland Security 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.\n\n(1) The Department of Homeland Security must first seek review of an Administrative Law Judge's final order by the Chief Administrative Hearing Officer, in accordance with \u00a7 68.54 before the Secretary of Homeland Security may request that an Administrative Law Judge's final order be referred to the Attorney General for review.\n\n(2) To request referral of a final order to the Attorney General, the Secretary of Homeland Security 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.\n\n(3) The Attorney General, in the exercise of the Attorney General's discretion, may accept the Secretary of Homeland Security'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.\n\n(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 in accordance with the provisions of this section. No specific time limit is established for the Attorney General's review.\n\n(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.\n\n(2) The Attorney General shall enter an order that adopts, modifies, vacates, or remands the final order under review. 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.\n\n(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 \u00a7 68.54 and this section.\n\n(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.\n\n(2) If the Attorney General declines the Secretary of Homeland Security'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 Secretary of Homeland Security'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."], ["28:28:2.0.1.1.22.0.1.56", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.56 Judicial review of a final agency order in cases arising under section 274A or 274C.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7083, Feb. 12, 1999, as amended by AG Order No.5812-2023, 88 FR 70591, Oct. 12, 2023]", "In cases arising under section 274A or 274C of the INA, a person or entity adversely affected by a final agency order issued under \u00a7 68.52(c) or (e), \u00a7 68.54(e), or \u00a7 68.55(d) 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."], ["28:28:2.0.1.1.22.0.1.57", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.57 Judicial review of a final agency order in cases arising under section 274B.", "DOJ", "", "", "[AG Order No.5812-2023, 88 FR 70591, Oct. 12, 2023]", "In cases arising under section 274B of the INA, any person aggrieved by a final agency order issued under \u00a7 68.52(d) or \u00a7 68.55(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 is not appealed, the Special Counsel (or, if the Special Counsel fails to act, the person filing the charge, other than the Department of Homeland Security) 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."], ["28:28:2.0.1.1.22.0.1.58", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.58 Filing of the official record.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7083, Feb. 12, 1999]", "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."], ["28:28:2.0.1.1.22.0.1.6", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.6 Filing and service of documents.", "DOJ", "", "", "[Dir. Order No. 04-2026, 91 FR 9996, Mar. 2, 2026]", "(a)  Filing generally.  This section applies to the filing of all documents in cases before OCAHO.\n\n(1)  Filing a complaint.  Subject to the electronic filing requirements of paragraph (b) of this section, a party must file a complaint either:\n\n(i) Electronically through OCAHO's electronic filing application; or\n\n(ii) By filing an original and four copies with the Chief Administrative Hearing Officer.\n\n(2)  Filing pleadings and documents other than the complaint.  Subject to the electronic filing requirements of paragraph (b) of this section, a party must file pleadings and documents, including any attachments, other than the complaint either:\n\n(i) Electronically through OCAHO's electronic filing application; or\n\n(ii) By filing an original and two copies with the Administrative Law Judge assigned to the case.\n\n(b)  Electronic filing \u2014(1)  Mandatory electronic filing.  The Department of Homeland Security, the Department of Justice, and all attorneys or authorized representatives are required to electronically file all documents, including complaints, with OCAHO through OCAHO's electronic filing application. In individual cases, an Administrative Law Judge or the Chief Administrative Hearing Officer may require unrepresented complainants and respondents to electronically file documents where paper filing is infeasible or impracticable.\n\n(2)  Voluntary electronic filing.  Subject to paragraph (b)(1) of this section, although not required, unrepresented complainants and respondents may electronically file documents with OCAHO through OCAHO's electronic filing application. If an unrepresented complainant or respondent opts to use OCAHO's electronic filing application for a case, the individual must electronically file all documents through OCAHO's electronic filing application for the duration of that case, unless the presiding Administrative Law Judge or the Chief Administrative Hearing Officer grants leave to opt out of electronic filing.\n\n(3)  Unavailability of electronic filing application.  If OCAHO's electronic filing application is unavailable due to an unplanned system outage on the last day for filing in a specific case, the filing deadline will be extended to the first day that the electronic filing application becomes accessible that is not a Saturday, Sunday, or legal holiday. For planned system outages, parties must electronically file documents during system availability within the applicable filing deadline, or paper or email file documents within the applicable filing deadline. EOIR will issue public communications for planned system outages ahead of the scheduled outage. Any planned system outage announced five or fewer business days prior to the start of the outage will be treated as an unplanned outage.\n\n(4)  Discretion to accept paper or email filings.  The Administrative Law Judges and the Chief Administrative Hearing Officer retain discretion to accept paper or email filings in all cases.\n\n(5)  Originals.  Parties must make the originals of all filed documents available to OCAHO or the opposing party for review upon request.\n\n(6)  Classified information.  Notwithstanding any other provisions of this part, classified information is never allowed to be electronically filed.\n\n(7)  Signatures on electronically filed documents.  All documents filed electronically with OCAHO must have an original, handwritten ink signature; an encrypted, digital signature; an electronic signature; or a conformed signature. This paragraph (b)(7) is subject to the signature requirements of the application or document being submitted.\n\n(8)  Misuse.  OCAHO retains the right to suspend a user's access to the OCAHO electronic filing application for repeated misuse or abuse of the system.\n\n(c)  Service of filings.  The service of filings with OCAHO depends on whether all parties are using OCAHO's electronic filing application.\n\n(1)  When all parties are using the electronic filing application.  If all parties in a specific case are using OCAHO's electronic filing application, the parties do not need to serve a document that is filed through OCAHO's electronic filing application on the opposing party. The OCAHO electronic filing application will effectuate service by providing a notification of all electronically filed documents on all parties to a case by email. The filing party must include a certificate of service stating that all parties are using OCAHO's electronic filing application and, therefore, no separate service was completed.\n\n(2)  When not all parties are using the electronic filing application.  If one or more parties in a specific case are not using OCAHO's electronic filing application, or when the electronic filing application is unavailable, parties must serve a copy of all documents filed with OCAHO\u2014except for the complaint as detailed in \u00a7 68.3\u2014on all parties of record by one of the means specified in this paragraph (c)(2), regardless of whether the document is filed electronically or in paper with OCAHO. The filing party must include a certificate of service that specifies the date and manner of service on the other party or parties. When a party is represented by an attorney, service must be made upon the attorney. Service under this paragraph (b)(2) may be made:\n\n(i) By personal delivery;\n\n(ii) By mailing a copy to the last known address of the party or representative; or\n\n(iii) By email, if the party being served has consented to receive electronic service of documents.\n\n(3)  Valid email address.  Use of OCAHO's electronic filing application requires a valid email address for electronic service. OCAHO will use the email address provided by the parties when they register for the electronic filing application for electronic service on participating parties. Users must immediately update their electronic filing application account if their email address changes. OCAHO will consider service completed when the electronic notification is delivered to the last email address on file provided by the user."], ["28:28:2.0.1.1.22.0.1.7", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.7 Form of pleadings.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7074, Feb. 12, 1999, as amended by Dir. Order No. 04-2026, 91 FR 9996, Mar. 2, 2026]", "(a)  Requirements for all pleadings \u2014(1)  Caption.  Every pleading must contain a caption setting forth the statutory provision under which the proceeding is instituted, the title of the proceeding, the case 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).\n\n(2)  Signatures.  Every pleading must be signed by the party or person representing the party who is submitting the pleading. For pleadings filed by paper, the pleading must have an original, handwritten ink signature; an encrypted, digital signature; or an electronic signature. For pleadings filed through OCAHO's electronic filing application, the pleading must have an original, handwritten ink signature; an encrypted, digital signature; an electronic signature; or a conformed signature. This paragraph (a)(2) is subject to the requirements of the application or document being submitted.\n\n(3)  Date and contact information.  All pleadings must contain the date the pleading is being filed, and must contain the mailing address, email address (if available), and telephone number of the party or person representing the party.\n\n(4)  Size and format of pleadings.  Unless otherwise permitted by the Administrative Law Judge or the Chief Administrative Hearing Officer, all pleadings must be submitted on standard size (8\n 1/2  x 11) pages, whether filed electronically or in paper. The Administrative Law Judge or the Chief Administrative Hearing Officer may require that exhibits and other written material presented be indexed, paginated, and accompanied by a table of contents.\n\n(b) A complaint filed pursuant to section 274A, 274B, or 274C of the INA shall contain the following:\n\n(1) A clear and concise statement of facts, upon which an assertion of jurisdiction is predicated;\n\n(2) The names and addresses of the respondents, agents, and/or their representatives who have been alleged to have committed the violation;\n\n(3) The alleged violations of law, with a clear and concise statement of facts for each violation alleged to have occurred; and,\n\n(4) A short statement containing the remedies and/or sanctions sought to be imposed against the respondent.\n\n(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 \u00a7 68.3.\n\n(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.\n\n(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.\n\n(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."], ["28:28:2.0.1.1.22.0.1.8", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.8 Time computations.", "DOJ", "", "", "[54 FR 48596, Nov. 24, 1989. Redesignated and amended by Order No. 1534-91, 56 FR 50053, 50054, Oct. 3, 1991; Order No. 1635-92, 57 FR 57672, Dec. 7, 1992; AG Order No. 4840-2020, 85 FR 63207, Oct. 7, 2020; Dir. Order No. 04-2026, 91 FR 9997, Mar. 2, 2026]", "(a)  Generally.  In computing any period of time under these rules or in an order issued hereunder, the time begins with the day following the act, event, or default, and includes the last day of the period unless it is Saturday, Sunday, or legal holiday observed by the Federal Government in which case the time period includes the next business day. When the period of time prescribed is seven (7) days or less, intermediate Saturdays, Sundays, and holidays shall be excluded in the computation.\n\n(b)  Computation of time for filing.  Pleadings are not deemed filed until received by the Office of the Chief Administrative Hearing Officer or the Administrative Law Judge assigned to the case.\n\n(c)  Computation of time for service.  (1) When service of pleadings (other than the complaint) is accomplished by mail, service is deemed effective at the time of mailing.\n\n(2) When service of pleadings is accomplished by electronic filing through OCAHO's electronic filing application, service is deemed effective at the time that the electronic filing application provides a notification to all parties of the electronically filed pleading.\n\n(3) Whenever a party has the right or is required to take some action within a prescribed period of time after the service upon such party of a pleading, notice, or other document (other than a complaint or a subpoena) and the pleading, notice, or other document is served by ordinary mail, five (5) days will be added to the prescribed period, unless the compliance date is otherwise specified by the Chief Administrative Hearing Officer or the Administrative Law Judge."], ["28:28:2.0.1.1.22.0.1.9", 28, "Judicial Administration", "I", "", "68", "PART 68\u2014RULES 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", "", "", "", "\u00a7 68.9 Responsive pleadings\u2014answer.", "DOJ", "", "", "[Order No. 2203-99, 64 FR 7075, Feb. 12, 1999]", "(a)  Time for answer.  Within thirty (30) days after the service of a complaint, each respondent shall file an answer.\n\n(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.\n\n(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:\n\n(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\n\n(2) A statement of the facts supporting each affirmative defense.\n\n(d)  Reply.  Complainants may file a reply responding to each affirmative defense asserted.\n\n(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."], ["40:40:17.0.1.1.5.1.1.1", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "A", "Subpart A\u2014General", "", "\u00a7 68.1 Scope.", "EPA", "", "", "", "This part sets forth the list of regulated substances and thresholds, the petition process for adding or deleting substances to the list of regulated substances, the requirements for owners or operators of stationary sources concerning the prevention of accidental releases, and the State accidental release prevention programs approved under section 112(r). The list of substances, threshold quantities, and accident prevention regulations promulgated under this part do not limit in any way the general duty provisions under section 112(r)(1)."], ["40:40:17.0.1.1.5.1.1.2", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "A", "Subpart A\u2014General", "", "\u00a7 68.3 Definitions.", "EPA", "", "", "[59 FR 4493, Jan. 31, 1994, as amended at 61 FR 31717, June 20, 1996; 63 FR 644, Jan. 6, 1998; 64 FR 979, Jan. 6, 1999; 65 FR 13250, Mar. 13, 2000; 82 FR 4696, Jan. 13, 2017; 84 FR 69913, Dec. 19, 2019; 89 FR 17685, Mar. 11, 2024]", "For the purposes of this part:\n\nAccidental release  means an unanticipated emission of a regulated substance or other extremely hazardous substance into the ambient air from a stationary source.\n\nAct  means the Clean Air Act as amended (42 U.S.C. 7401  et seq. )\n\nActive measures  mean risk management measures or engineering controls that rely on mechanical or other energy input to detect and respond to process deviations. Examples of active measures include alarms, safety instrumented systems, and detection hardware (such as hydrocarbon sensors).\n\nAdministrative controls  mean written procedural mechanisms used for hazard control.\n\nAdministrator  means the administrator of the U.S. Environmental Protection Agency.\n\nAIChE/CCPS  means the American Institute of Chemical Engineers/Center for Chemical Process Safety.\n\nAPI  means the American Petroleum Institute.\n\nArticle  means a manufactured item, as defined under 29 CFR 1910.1200(b), that is formed to a specific shape or design during manufacture, that has end use functions dependent in whole or in part upon the shape or design during end use, and that does not release or otherwise result in exposure to a regulated substance under normal conditions of processing and use.\n\nASME  means the American Society of Mechanical Engineers.\n\nCAS  means the Chemical Abstracts Service.\n\nCatastrophic release  means a major uncontrolled emission, fire, or explosion, involving one or more regulated substances that presents imminent and substantial endangerment to public health and the environment.\n\nCBI  means confidential business information.\n\nClassified information  means \u201cclassified information\u201d as defined in the Classified Information Procedures Act, 18 U.S.C. App. 3, section 1(a) as \u201cany information or material that has been determined by the United States Government pursuant to an executive order, statute, or regulation, to require protection against unauthorized disclosure for reasons of national security.\u201d\n\nCondensate  means hydrocarbon liquid separated from natural gas that condenses due to changes in temperature, pressure, or both, and remains liquid at standard conditions.\n\nCovered process  means a process that has a regulated substance present in more than a threshold quantity as determined under \u00a7 68.115.\n\nCrude oil  means any naturally occurring, unrefined petroleum liquid.\n\nDesignated agency  means the state, local, or Federal agency designated by the state under the provisions of \u00a7 68.215(d) .\n\nDOT  means the United States Department of Transportation.\n\nEnvironmental receptor  means natural areas such as national or state parks, forests, or monuments; officially designated wildlife sanctuaries, preserves, refuges, or areas; and Federal wilderness areas, that could be exposed at any time to toxic concentrations, radiant heat, or overpressure greater than or equal to the endpoints provided in \u00a7 68.22(a) , as a result of an accidental release and that can be identified on local U. S. Geological Survey maps.\n\nField gas  means gas extracted from a production well before the gas enters a natural gas processing plant.\n\nHot work  means work involving electric or gas welding, cutting, brazing, or similar flame or spark-producing operations.\n\nImplementing agency  means the state or local agency that obtains delegation for an accidental release prevention program under subpart E, 40 CFR part 63. The implementing agency may, but is not required to, be the state or local air permitting agency. If no state or local agency is granted delegation, EPA will be the implementing agency for that state.\n\nInherently safer technology or design  means risk management measures that minimize the use of regulated substances, substitute less hazardous substances, moderate the use of regulated substances, or simplify covered processes in order to make accidental releases less likely, or the impacts of such releases less severe.\n\nInjury  means any effect on a human that results either from direct exposure to toxic concentrations; radiant heat; or overpressures from accidental releases or from the direct consequences of a vapor cloud explosion (such as flying glass, debris, and other projectiles) from an accidental release and that requires medical treatment or hospitalization.\n\nLEPC  means local emergency planning committee as established under 42 U.S.C. 11001(c).\n\nMajor change  means introduction of a new process, process equipment, or regulated substance, an alteration of process chemistry that results in any change to safe operating limits, or other alteration that introduces a new hazard.\n\nMechanical integrity  means the process of ensuring that process equipment is fabricated from the proper materials of construction and is properly installed, maintained, and replaced to prevent failures and accidental releases.\n\nMedical treatment  means treatment, other than first aid, administered by a physician or registered professional personnel under standing orders from a physician.\n\nMitigation or mitigation system  means specific activities, technologies, or equipment designed or deployed to capture or control substances upon loss of containment to minimize exposure of the public or the environment. Passive mitigation means equipment, devices, or technologies that function without human, mechanical, or other energy input. Active mitigation means equipment, devices, or technologies that need human, mechanical, or other energy input to function.\n\nNAICS  means North American Industry Classification System.\n\nNFPA  means the National Fire Protection Association.\n\nNatural gas processing plant (gas plant)  means any processing site engaged in the extraction of natural gas liquids from field gas, fractionation of mixed natural gas liquids to natural gas products, or both, classified as North American Industrial Classification System (NAICS) code 211112 (previously Standard Industrial Classification (SIC) code 1321).\n\nNatural hazard  means meteorological, climatological, environmental or geological phenomena that have the potential for negative impact, accounting for impacts due to climate change. Examples of such hazards include, but are not limited to, avalanche, coastal flooding, cold wave, drought, earthquake, hail, heat wave, hurricane, ice storm, landslide, lightning, riverine flooding, strong wind, tornado, tsunami, volcanic activity, wildfire, and winter weather.\n\nOffsite  means areas beyond the property boundary of the stationary source, and areas within the property boundary to which the public has routine and unrestricted access during or outside business hours.\n\nOSHA  means the U.S. Occupational Safety and Health Administration. Owner or operator means any person who owns, leases, operates, controls, or supervises a stationary source.\n\nPassive measures  mean risk management measures that use design features that reduce either the frequency or consequence of the hazard without human, mechanical, or other energy input. Examples of passive measures include pressure vessel designs, dikes, berms, and blast walls.\n\nPetroleum refining process unit  means a process unit used in an establishment primarily engaged in petroleum refining as defined in NAICS code 32411 for petroleum refining (formerly SIC code 2911) and used for the following: Producing transportation fuels (such as gasoline, diesel fuels, and jet fuels), heating fuels (such as kerosene, fuel gas distillate, and fuel oils), or lubricants; Separating petroleum; or Separating, cracking, reacting, or reforming intermediate petroleum streams. Examples of such units include, but are not limited to, petroleum based solvent units, alkylation units, catalytic hydrotreating, catalytic hydrorefining, catalytic hydrocracking, catalytic reforming, catalytic cracking, crude distillation, lube oil processing, hydrogen production, isomerization, polymerization, thermal processes, and blending, sweetening, and treating processes. Petroleum refining process units include sulfur plants.\n\nPopulation  means the public.\n\nPracticability  means the capability of being successfully accomplished within a reasonable time, accounting for environmental, legal, social, technological, and economic factors. Environmental factors would include consideration of potential transferred risks for new risk reduction measures.\n\nProcedural measures  mean risk management measures such as policies, operating procedures, training, administrative controls, and emergency response actions to prevent or minimize incidents.\n\nProcess  means any activity involving a regulated substance including any use, storage, manufacturing, handling, or on-site movement of such substances, or combination of these activities. For the purposes of this definition, any group of vessels that are interconnected, or separate vessels that are located such that a regulated substance could be involved in a potential release, shall be considered a single process.\n\nProduced water  means water extracted from the earth from an oil or natural gas production well, or that is separated from oil or natural gas after extraction.\n\nPublic  means any person except employees or contractors at the stationary source.\n\nPublic receptor  means offsite residences, institutions (e.g., schools, hospitals), industrial, commercial, and office buildings, parks, or recreational areas inhabited or occupied by the public at any time without restriction by the stationary source where members of the public could be exposed to toxic concentrations, radiant heat, or overpressure, as a result of an accidental release.\n\nRegulated substance  is any substance listed pursuant to section 112(r)(3) of the Clean Air Act as amended, in \u00a7 68.130.\n\nReplacement in kind  means a replacement that satisfies the design specifications.\n\nRetail facility  means a stationary source at which more than one-half of the annual income (in the previous calendar or fiscal year) is obtained from direct sales to end users or at which more than one-half of the fuel sold, by volume, is sold through a cylinder exchange program.\n\nRMP  means the risk management plan required under subpart G of this part.\n\nRoot cause  means a fundamental, underlying, system-related reason why an incident occurred that identifies a correctable failure(s) in management systems, and if applicable, in process design.\n\nStationary source  means any buildings, structures, equipment, installations, or substance emitting stationary activities which belong to the same industrial group, which are located on one or more contiguous properties, which are under the control of the same person (or persons under common control), and from which an accidental release may occur. The term stationary source does not apply to transportation, including storage incident to transportation, of any regulated substance or any other extremely hazardous substance under the provisions of this part. A stationary source includes transportation containers used for storage not incident to transportation and transportation containers connected to equipment at a stationary source for loading or unloading. Transportation includes, but is not limited to, transportation subject to oversight or regulation under 49 CFR parts 192, 193, or 195, or a state natural gas or hazardous liquid program for which the state has in effect a certification to DOT under 49 U.S.C. section 60105. A stationary source does not include naturally occurring hydrocarbon reservoirs. Properties shall not be considered contiguous solely because of a railroad or pipeline right-of-way.\n\nThird-party audit  means a compliance audit conducted pursuant to the requirements of \u00a7 68.59 and/or \u00a7 68.80, performed or led by an entity (individual or firm) meeting the competency and independence requirements described in \u00a7 68.59(c) or \u00a7 68.80(c).\n\nThreshold quantity  means the quantity specified for regulated substances pursuant to section 112(r)(5) of the Clean Air Act as amended, listed in \u00a7 68.130 and determined to be present at a stationary source as specified in \u00a7 68.115 of this part.\n\nTypical meteorological conditions  means the temperature, wind speed, cloud cover, and atmospheric stability class, prevailing at the site based on data gathered at or near the site or from a local meteorological station.\n\nVessel  means any reactor, tank, drum, barrel, cylinder, vat, kettle, boiler, pipe, hose, or other container.\n\nWorst-case release  means the release of the largest quantity of a regulated substance from a vessel or process line failure that results in the greatest distance to an endpoint defined in \u00a7 68.22(a)."], ["40:40:17.0.1.1.5.1.1.3", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "A", "Subpart A\u2014General", "", "\u00a7 68.10 Applicability.", "EPA", "", "", "[61 FR 31717, June 20, 1996, as amended at 63 FR 645, Jan. 6, 1998; 64 FR 979, Jan. 6, 1999; 82 FR 4696, Jan. 13, 2017; 84 FR 69913, Dec. 19, 2019; 89 FR 17686, Mar. 11, 2024]", "(a) Except as provided in paragraphs (b) through (i) of this section, an owner or operator of a stationary source that has more than a threshold quantity of a regulated substance in a process, as determined under \u00a7 68.115, shall comply with the requirements of this part no later than the latest of the following dates:\n\n(1) June 21, 1999;\n\n(2) Three years after the date on which a regulated substance is first listed under \u00a7 68.130;\n\n(3) The date on which a regulated substance is first present above a threshold quantity in a process; or\n\n(4) For any revisions to this part, the effective date of the final rule that revises this part.\n\n(b) By March 14, 2018, the owner or operator of a stationary source shall comply with the emergency response coordination activities in \u00a7 68.93, as applicable.\n\n(c) Within three years of when the owner or operator determines that the stationary source is subject to the emergency response program requirements of \u00a7 68.95, pursuant to \u00a7 68.90(a), the owner or operator must develop and implement an emergency response program in accordance with \u00a7 68.95.\n\n(d) By December 19, 2023, the owner or operator shall have developed plans for conducting emergency response exercises in accordance with provisions of \u00a7 68.96, as applicable.\n\n(e) The owner or operator of a stationary source shall comply with the public meeting requirement in \u00a7 68.210(b) within 90 days of any RMP reportable accident at the stationary source with known offsite impacts specified in \u00a7 68.42(a), that occurs after March 15, 2021.\n\n(f) After December 19, 2024, for any risk management plan initially submitted as required by \u00a7 68.150(b)(2) or (3) or submitted as an update required by \u00a7 68.190, the owner or operator shall comply with the following risk management plan provisions of subpart G of this part:\n\n(1) Reporting a public meeting after an RMP reportable accident under \u00a7 68.160(b)(21) as promulgated on December 19, 2019;\n\n(2) Reporting emergency response program information under \u00a7 68.180(a)(1) as promulgated on December 19, 2019;\n\n(3) Reporting emergency response program information under \u00a7 68.180(a)(2) and (3) as promulgated on January 13, 2017, as applicable; and,\n\n(4) Reporting emergency response program and exercises information under \u00a7 68.180(b) as promulgated on January 13, 2017, as applicable. The owner or operator shall submit dates of the most recent notification, field and tabletop exercises in the risk management plan, for exercises completed as required under \u00a7 68.96 at the time the risk management plan is either submitted under \u00a7 68.150(b)(2) or (3), or is updated under \u00a7 68.190.\n\n(g) By May 10, 2027, the owner or operator shall comply with the following provisions promulgated on May 10, 2024:\n\n(1) Standby or backup power for continuous operation of monitoring equipment associated with prevention and detection of accidental releases from covered processes in \u00a7\u00a7 68.50(a)(3) and 68.67(c)(3);\n\n(2) Third-party audit provisions in \u00a7\u00a7 68.58(f) through (h), 68.59, 68.79(f) through (h), and 68.80;\n\n(3) Incident investigation root cause analysis provisions in \u00a7\u00a7 68.60(h) and 68.81(h);\n\n(4) Safer technology and alternatives analysis provisions in \u00a7 68.67(c)(9) and (h);\n\n(5) Employee participation provisions in \u00a7\u00a7 68.62 and 68.83;\n\n(6) Emergency response provisions in \u00a7\u00a7 68.90(b) and 68.95(a); and\n\n(7) Availability of information provisions in \u00a7 68.210(d) through (h).\n\n(h) By March 15, 2027, or within 10 years of the date of an emergency response field exercise conducted between March 15, 2017, and August 31, 2022, in accordance with \u00a7 68.96(b)(1)(ii).\n\n(i) By May 10, 2028, the owner or operator shall comply with the risk management plan provisions of subpart G of this part promulgated on May 10, 2024.\n\n(j) A covered process is eligible for Program 1 requirements as provided in \u00a7 68.12(b) if it meets all of the following requirements:\n\n(1) For the five years prior to the submission of an RMP, the process has not had an accidental release of a regulated substance where exposure to the substance, its reaction products, overpressure generated by an explosion involving the substance, or radiant heat generated by a fire involving the substance led to any of the following offsite:\n\n(i) Death;\n\n(ii) Injury; or\n\n(iii) Response or restoration activities for an exposure of an environmental receptor;\n\n(2) The distance to a toxic or flammable endpoint for a worst-case release assessment conducted under subpart B and \u00a7 68.25 is less than the distance to any public receptor, as defined in \u00a7 68.3; and\n\n(3) Emergency response procedures have been coordinated between the stationary source and local emergency planning and response organizations.\n\n(k) A covered process is subject to Program 2 requirements if it does not meet the eligibility requirements of either paragraph (g) or paragraph (i) of this section.\n\n(l) A covered process is subject to Program 3 if the process does not meet the requirements of paragraph (g) of this section, and if either of the following conditions is met:\n\n(1) The process is in NAICS code 32211, 32411, 32511, 325181, 325188, 325192, 325199, 325211, 325311, or 32532; or\n\n(2) The process is subject to the OSHA process safety management standard, 29 CFR 1910.119.\n\n(m) If at any time a covered process no longer meets the eligibility criteria of its Program level, the owner or operator shall comply with the requirements of the new Program level that applies to the process and update the RMP as provided in \u00a7 68.190.\n\n(n) The provisions of this part shall not apply to an Outer Continental Shelf (\u201cOCS\u201d) source, as defined in 40 CFR 55.2."], ["40:40:17.0.1.1.5.1.1.4", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "A", "Subpart A\u2014General", "", "\u00a7 68.12 General requirements.", "EPA", "", "", "[61 FR 31718, June 20, 1996, as amended at 82 FR 4696, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019]", "(a) General requirements. The owner or operator of a stationary source subject to this part shall submit a single RMP, as provided in \u00a7\u00a7 68.150 to 68.185. The RMP shall include a registration that reflects all covered processes.\n\n(b) Program 1 requirements. In addition to meeting the requirements of paragraph (a) of this section, the owner or operator of a stationary source with a process eligible for Program 1, as provided in \u00a7 68.10(g), shall:\n\n(1) Analyze the worst-case release scenario for the process(es), as provided in \u00a7 68.25; document that the nearest public receptor is beyond the distance to a toxic or flammable endpoint defined in \u00a7 68.22(a); and submit in the RMP the worst-case release scenario as provided in \u00a7 68.165;\n\n(2) Complete the five-year accident history for the process as provided in \u00a7 68.42 of this part and submit it in the RMP as provided in \u00a7 68.168;\n\n(3) Ensure that response actions have been coordinated with local emergency planning and response agencies; and\n\n(4) Certify in the RMP the following: \u201cBased on the criteria in 40 CFR 68.10, the distance to the specified endpoint for the worst-case accidental release scenario for the following process(es) is less than the distance to the nearest public receptor: [list process(es)]. Within the past five years, the process(es) has (have) had no accidental release that caused offsite impacts provided in the risk management program rule (40 CFR 68.10(g)(1)). No additional measures are necessary to prevent offsite impacts from accidental releases. In the event of fire, explosion, or a release of a regulated substance from the process(es), entry within the distance to the specified endpoints may pose a danger to public emergency responders. Therefore, public emergency responders should not enter this area except as arranged with the emergency contact indicated in the RMP. The undersigned certifies that, to the best of my knowledge, information, and belief, formed after reasonable inquiry, the information submitted is true, accurate, and complete. [Signature, title, date signed].\u201d\n\n(c) Program 2 requirements. In addition to meeting the requirements of paragraph (a) of this section, the owner or operator of a stationary source with a process subject to Program 2, as provided in \u00a7 68.10(h), shall:\n\n(1) Develop and implement a management system as provided in \u00a7 68.15;\n\n(2) Conduct a hazard assessment as provided in \u00a7\u00a7 68.20 through 68.42;\n\n(3) Implement the Program 2 prevention steps provided in \u00a7\u00a7 68.48 through 68.60 or implement the Program 3 prevention steps provided in \u00a7\u00a7 68.65 through 68.87;\n\n(4) Coordinate response actions with local emergency planning and response agencies as provided in \u00a7 68.93;\n\n(5) Develop and implement an emergency response program, and conduct exercises, as provided in \u00a7\u00a7 68.90 to 68.96; and\n\n(6) Submit as part of the RMP the data on prevention program elements for Program 2 processes as provided in \u00a7 68.170.\n\n(d) Program 3 requirements. In addition to meeting the requirements of paragraph (a) of this section, the owner or operator of a stationary source with a process subject to Program 3, as provided in \u00a7 68.10(i) shall:\n\n(1) Develop and implement a management system as provided in \u00a7 68.15;\n\n(2) Conduct a hazard assessment as provided in \u00a7\u00a7 68.20 through 68.42;\n\n(3) Implement the prevention requirements of \u00a7\u00a7 68.65 through 68.87;\n\n(4) Coordinate response actions with local emergency planning and response agencies as provided in \u00a7 68.93;\n\n(5) Develop and implement an emergency response program, and conduct exercises, as provided in \u00a7\u00a7 68.90 to 68.96; and\n\n(6) Submit as part of the RMP the data on prevention program elements for Program 3 processes as provided in \u00a7 68.175."], ["40:40:17.0.1.1.5.1.1.5", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "A", "Subpart A\u2014General", "", "\u00a7 68.15 Management.", "EPA", "", "", "[61 FR 31718, June 20, 1996]", "(a) The owner or operator of a stationary source with processes subject to Program 2 or Program 3 shall develop a management system to oversee the implementation of the risk management program elements.\n\n(b) The owner or operator shall assign a qualified person or position that has the overall responsibility for the development, implementation, and integration of the risk management program elements.\n\n(c) When responsibility for implementing individual requirements of this part is assigned to persons other than the person identified under paragraph (b) of this section, the names or positions of these people shall be documented and the lines of authority defined through an organization chart or similar document."], ["40:40:17.0.1.1.5.2.1.1", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.20 Applicability.", "EPA", "", "", "", "The owner or operator of a stationary source subject to this part shall prepare a worst-case release scenario analysis as provided in \u00a7 68.25 of this part and complete the five-year accident history as provided in \u00a7 68.42. The owner or operator of a Program 2 and 3 process must comply with all sections in this subpart for these processes."], ["40:40:17.0.1.1.5.2.1.2", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.22 Offsite consequence analysis parameters.", "EPA", "", "", "", "(a) Endpoints. For analyses of offsite consequences, the following endpoints shall be used:\n\n(1) Toxics. The toxic endpoints provided in appendix A of this part.\n\n(2) Flammables. The endpoints for flammables vary according to the scenarios studied:\n\n(i) Explosion. An overpressure of 1 psi.\n\n(ii) Radiant heat/exposure time. A radiant heat of 5 kw/m\n 2  for 40 seconds.\n\n(iii) Lower flammability limit. A lower flammability limit as provided in NFPA documents or other generally recognized sources.\n\n(b) Wind speed/atmospheric stability class. For the worst-case release analysis, the owner or operator shall use a wind speed of 1.5 meters per second and F atmospheric stability class. If the owner or operator can demonstrate that local meteorological data applicable to the stationary source show a higher minimum wind speed or less stable atmosphere at all times during the previous three years, these minimums may be used. For analysis of alternative scenarios, the owner or operator may use the typical meteorological conditions for the stationary source.\n\n(c) Ambient temperature/humidity. For worst-case release analysis of a regulated toxic substance, the owner or operator shall use the highest daily maximum temperature in the previous three years and average humidity for the site, based on temperature/humidity data gathered at the stationary source or at a local meteorological station; an owner or operator using the RMP Offsite Consequence Analysis Guidance may use 25 \u00b0C and 50 percent humidity as values for these variables. For analysis of alternative scenarios, the owner or operator may use typical temperature/humidity data gathered at the stationary source or at a local meteorological station.\n\n(d) Height of release. The worst-case release of a regulated toxic substance shall be analyzed assuming a ground level (0 feet) release. For an alternative scenario analysis of a regulated toxic substance, release height may be determined by the release scenario.\n\n(e) Surface roughness. The owner or operator shall use either urban or rural topography, as appropriate. Urban means that there are many obstacles in the immediate area; obstacles include buildings or trees. Rural means there are no buildings in the immediate area and the terrain is generally flat and unobstructed.\n\n(f) Dense or neutrally buoyant gases. The owner or operator shall ensure that tables or models used for dispersion analysis of regulated toxic substances appropriately account for gas density.\n\n(g) Temperature of released substance. For worst case, liquids other than gases liquified by refrigeration only shall be considered to be released at the highest daily maximum temperature, based on data for the previous three years appropriate for the stationary source, or at process temperature, whichever is higher. For alternative scenarios, substances may be considered to be released at a process or ambient temperature that is appropriate for the scenario."], ["40:40:17.0.1.1.5.2.1.3", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.25 Worst-case release scenario analysis.", "EPA", "", "", "[61 FR 31718, June 20, 1996, as amended at 64 FR 28700, May 26, 1999]", "(a) The owner or operator shall analyze and report in the RMP:\n\n(1) For Program 1 processes, one worst-case release scenario for each Program 1 process;\n\n(2) For Program 2 and 3 processes:\n\n(i) One worst-case release scenario that is estimated to create the greatest distance in any direction to an endpoint provided in appendix A of this part resulting from an accidental release of regulated toxic substances from covered processes under worst-case conditions defined in \u00a7 68.22;\n\n(ii) One worst-case release scenario that is estimated to create the greatest distance in any direction to an endpoint defined in \u00a7 68.22(a) resulting from an accidental release of regulated flammable substances from covered processes under worst-case conditions defined in \u00a7 68.22; and\n\n(iii) Additional worst-case release scenarios for a hazard class if a worst-case release from another covered process at the stationary source potentially affects public receptors different from those potentially affected by the worst-case release scenario developed under paragraphs (a)(2)(i) or (a)(2)(ii) of this section.\n\n(b)  Determination of worst-case release quantity.  The worst-case release quantity shall be the greater of the following:\n\n(1) For substances in a vessel, the greatest amount held in a single vessel, taking into account administrative controls that limit the maximum quantity; or\n\n(2) For substances in pipes, the greatest amount in a pipe, taking into account administrative controls that limit the maximum quantity.\n\n(c)  Worst-case release scenario\u2014toxic gases.  (1) For regulated toxic substances that are normally gases at ambient temperature and handled as a gas or as a liquid under pressure, the owner or operator shall assume that the quantity in the vessel or pipe, as determined under paragraph (b) of this section, is released as a gas over 10 minutes. The release rate shall be assumed to be the total quantity divided by 10 unless passive mitigation systems are in place.\n\n(2) For gases handled as refrigerated liquids at ambient pressure:\n\n(i) If the released substance is not contained by passive mitigation systems or if the contained pool would have a depth of 1 cm or less, the owner or operator shall assume that the substance is released as a gas in 10 minutes;\n\n(ii) If the released substance is contained by passive mitigation systems in a pool with a depth greater than 1 cm, the owner or operator may assume that the quantity in the vessel or pipe, as determined under paragraph (b) of this section, is spilled instantaneously to form a liquid pool. The volatilization rate (release rate) shall be calculated at the boiling point of the substance and at the conditions specified in paragraph (d) of this section.\n\n(d)  Worst-case release scenario\u2014toxic liquids.  (1) For regulated toxic substances that are normally liquids at ambient temperature, the owner or operator shall assume that the quantity in the vessel or pipe, as determined under paragraph (b) of this section, is spilled instantaneously to form a liquid pool.\n\n(i) The surface area of the pool shall be determined by assuming that the liquid spreads to 1 centimeter deep unless passive mitigation systems are in place that serve to contain the spill and limit the surface area. Where passive mitigation is in place, the surface area of the contained liquid shall be used to calculate the volatilization rate.\n\n(ii) If the release would occur onto a surface that is not paved or smooth, the owner or operator may take into account the actual surface characteristics.\n\n(2) The volatilization rate shall account for the highest daily maximum temperature occurring in the past three years, the temperature of the substance in the vessel, and the concentration of the substance if the liquid spilled is a mixture or solution.\n\n(3) The rate of release to air shall be determined from the volatilization rate of the liquid pool. The owner or operator may use the methodology in the RMP Offsite Consequence Analysis Guidance or any other publicly available techniques that account for the modeling conditions and are recognized by industry as applicable as part of current practices. Proprietary models that account for the modeling conditions may be used provided the owner or operator allows the implementing agency access to the model and describes model features and differences from publicly available models to local emergency planners upon request.\n\n(e)  Worst-case release scenario\u2014flammable gases.  The owner or operator shall assume that the quantity of the substance, as determined under paragraph (b) of this section and the provisions below, vaporizes resulting in a vapor cloud explosion. A yield factor of 10 percent of the available energy released in the explosion shall be used to determine the distance to the explosion endpoint if the model used is based on TNT equivalent methods.\n\n(1) For regulated flammable substances that are normally gases at ambient temperature and handled as a gas or as a liquid under pressure, the owner or operator shall assume that the quantity in the vessel or pipe, as determined under paragraph (b) of this section, is released as a gas over 10 minutes. The total quantity shall be assumed to be involved in the vapor cloud explosion.\n\n(2) For flammable gases handled as refrigerated liquids at ambient pressure:\n\n(i) If the released substance is not contained by passive mitigation systems or if the contained pool would have a depth of one centimeter or less, the owner or operator shall assume that the total quantity of the substance is released as a gas in 10 minutes, and the total quantity will be involved in the vapor cloud explosion.\n\n(ii) If the released substance is contained by passive mitigation systems in a pool with a depth greater than 1 centimeter, the owner or operator may assume that the quantity in the vessel or pipe, as determined under paragraph (b) of this section, is spilled instantaneously to form a liquid pool. The volatilization rate (release rate) shall be calculated at the boiling point of the substance and at the conditions specified in paragraph (d) of this section. The owner or operator shall assume that the quantity which becomes vapor in the first 10 minutes is involved in the vapor cloud explosion.\n\n(f)  Worst-case release scenario\u2014flammable liquids.  The owner or operator shall assume that the quantity of the substance, as determined under paragraph (b) of this section and the provisions below, vaporizes resulting in a vapor cloud explosion. A yield factor of 10 percent of the available energy released in the explosion shall be used to determine the distance to the explosion endpoint if the model used is based on TNT equivalent methods.\n\n(1) For regulated flammable substances that are normally liquids at ambient temperature, the owner or operator shall assume that the entire quantity in the vessel or pipe, as determined under paragraph (b) of this section, is spilled instantaneously to form a liquid pool. For liquids at temperatures below their atmospheric boiling point, the volatilization rate shall be calculated at the conditions specified in paragraph (d) of this section.\n\n(2) The owner or operator shall assume that the quantity which becomes vapor in the first 10 minutes is involved in the vapor cloud explosion.\n\n(g)  Parameters to be applied.  The owner or operator shall use the parameters defined in \u00a7 68.22 to determine distance to the endpoints. The owner or operator may use the methodology provided in the RMP Offsite Consequence Analysis Guidance or any commercially or publicly available air dispersion modeling techniques, provided the techniques account for the modeling conditions and are recognized by industry as applicable as part of current practices. Proprietary models that account for the modeling conditions may be used provided the owner or operator allows the implementing agency access to the model and describes model features and differences from publicly available models to local emergency planners upon request.\n\n(h)  Consideration of passive mitigation.  Passive mitigation systems may be considered for the analysis of worst case provided that the mitigation system is capable of withstanding the release event triggering the scenario and would still function as intended.\n\n(i)  Factors in selecting a worst-case scenario.  Notwithstanding the provisions of paragraph (b) of this section, the owner or operator shall select as the worst case for flammable regulated substances or the worst case for regulated toxic substances, a scenario based on the following factors if such a scenario would result in a greater distance to an endpoint defined in \u00a7 68.22(a) beyond the stationary source boundary than the scenario provided under paragraph (b) of this section:\n\n(1) Smaller quantities handled at higher process temperature or pressure; and\n\n(2) Proximity to the boundary of the stationary source."], ["40:40:17.0.1.1.5.2.1.4", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.28 Alternative release scenario analysis.", "EPA", "", "", "", "(a) The number of scenarios. The owner or operator shall identify and analyze at least one alternative release scenario for each regulated toxic substance held in a covered process(es) and at least one alternative release scenario to represent all flammable substances held in covered processes.\n\n(b)  Scenarios to consider.  (1) For each scenario required under paragraph (a) of this section, the owner or operator shall select a scenario:\n\n(i) That is more likely to occur than the worst-case release scenario under \u00a7 68.25; and\n\n(ii) That will reach an endpoint offsite, unless no such scenario exists.\n\n(2) Release scenarios considered should include, but are not limited to, the following, where applicable:\n\n(i) Transfer hose releases due to splits or sudden hose uncoupling;\n\n(ii) Process piping releases from failures at flanges, joints, welds, valves and valve seals, and drains or bleeds;\n\n(iii) Process vessel or pump releases due to cracks, seal failure, or drain, bleed, or plug failure;\n\n(iv) Vessel overfilling and spill, or overpressurization and venting through relief valves or rupture disks; and\n\n(v) Shipping container mishandling and breakage or puncturing leading to a spill.\n\n(c) Parameters to be applied. The owner or operator shall use the appropriate parameters defined in \u00a7 68.22 to determine distance to the endpoints. The owner or operator may use either the methodology provided in the RMP Offsite Consequence Analysis Guidance or any commercially or publicly available air dispersion modeling techniques, provided the techniques account for the specified modeling conditions and are recognized by industry as applicable as part of current practices. Proprietary models that account for the modeling conditions may be used provided the owner or operator allows the implementing agency access to the model and describes model features and differences from publicly available models to local emergency planners upon request.\n\n(d) Consideration of mitigation. Active and passive mitigation systems may be considered provided they are capable of withstanding the event that triggered the release and would still be functional.\n\n(e) Factors in selecting scenarios. The owner or operator shall consider the following in selecting alternative release scenarios:\n\n(1) The five-year accident history provided in \u00a7 68.42; and\n\n(2) Failure scenarios identified under \u00a7 68.50 or \u00a7 68.67."], ["40:40:17.0.1.1.5.2.1.5", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.30 Defining offsite impacts\u2014population.", "EPA", "", "", "", "(a) The owner or operator shall estimate in the RMP the population within a circle with its center at the point of the release and a radius determined by the distance to the endpoint defined in \u00a7 68.22(a).\n\n(b)  Population to be defined.  Population shall include residential population. The presence of institutions (schools, hospitals, prisons), parks and recreational areas, and major commercial, office, and industrial buildings shall be noted in the RMP.\n\n(c)  Data sources acceptable.  The owner or operator may use the most recent Census data, or other updated information, to estimate the population potentially affected.\n\n(d)  Level of accuracy.  Population shall be estimated to two significant digits."], ["40:40:17.0.1.1.5.2.1.6", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.33 Defining offsite impacts\u2014environment.", "EPA", "", "", "", "(a) The owner or operator shall list in the RMP environmental receptors within a circle with its center at the point of the release and a radius determined by the distance to the endpoint defined in \u00a7 68.22(a) of this part.\n\n(b)  Data sources acceptable.  The owner or operator may rely on information provided on local U.S. Geological Survey maps or on any data source containing U.S.G.S. data to identify environmental receptors."], ["40:40:17.0.1.1.5.2.1.7", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.36 Review and update.", "EPA", "", "", "", "(a) The owner or operator shall review and update the offsite consequence analyses at least once every five years.\n\n(b) If changes in processes, quantities stored or handled, or any other aspect of the stationary source might reasonably be expected to increase or decrease the distance to the endpoint by a factor of two or more, the owner or operator shall complete a revised analysis within six months of the change and submit a revised risk management plan as provided in \u00a7 68.190."], ["40:40:17.0.1.1.5.2.1.8", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.39 Documentation.", "EPA", "", "", "", "The owner or operator shall maintain the following records on the offsite consequence analyses:\n\n(a) For worst-case scenarios, a description of the vessel or pipeline and substance selected as worst case, assumptions and parameters used, and the rationale for selection; assumptions shall include use of any administrative controls and any passive mitigation that were assumed to limit the quantity that could be released. Documentation shall include the anticipated effect of the controls and mitigation on the release quantity and rate.\n\n(b) For alternative release scenarios, a description of the scenarios identified, assumptions and parameters used, and the rationale for the selection of specific scenarios; assumptions shall include use of any administrative controls and any mitigation that were assumed to limit the quantity that could be released. Documentation shall include the effect of the controls and mitigation on the release quantity and rate.\n\n(c) Documentation of estimated quantity released, release rate, and duration of release.\n\n(d) Methodology used to determine distance to endpoints.\n\n(e) Data used to estimate population and environmental receptors potentially affected."], ["40:40:17.0.1.1.5.2.1.9", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "B", "Subpart B\u2014Hazard Assessment", "", "\u00a7 68.42 Five-year accident history.", "EPA", "", "", "[61 FR 31718, June 20, 1996, as amended at 64 FR 979, Jan. 6, 1999; 69 FR 18831, Apr. 9, 2004]", "(a) The owner or operator shall include in the five-year accident history all accidental releases from covered processes that resulted in deaths, injuries, or significant property damage on site, or known offsite deaths, injuries, evacuations, sheltering in place, property damage, or environmental damage.\n\n(b)  Data required.  For each accidental release included, the owner or operator shall report the following information:\n\n(1) Date, time, and approximate duration of the release;\n\n(2) Chemical(s) released;\n\n(3) Estimated quantity released in pounds and, for mixtures containing regulated toxic substances, percentage concentration by weight of the released regulated toxic substance in the liquid mixture;\n\n(4) Five- or six-digit NAICS code that most closely corresponds to the process;\n\n(5) The type of release event and its source;\n\n(6) Weather conditions, if known;\n\n(7) On-site impacts;\n\n(8) Known offsite impacts;\n\n(9) Initiating event and contributing factors if known;\n\n(10) Whether offsite responders were notified if known; and\n\n(11) Operational or process changes that resulted from investigation of the release and that have been made by the time this information is submitted in accordance with \u00a7 68.168.\n\n(c)  Level of accuracy.  Numerical estimates may be provided to two significant digits."], ["40:40:17.0.1.1.5.3.1.1", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.48 Safety information.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 82 FR 4697, Jan. 13, 2017; 89 FR 17686, Mar. 11, 2024]", "(a) The owner or operator shall compile and maintain the following up-to-date safety information related to the regulated substances, processes, and equipment:\n\n(1) Safety Data Sheets (SDS) that meet the requirements of 29 CFR 1910.1200(g);\n\n(2) Maximum intended inventory of equipment in which the regulated substances are stored or processed;\n\n(3) Safe upper and lower temperatures, pressures, flows, and compositions;\n\n(4) Equipment specifications; and\n\n(5) Codes and standards used to design, build, and operate the process.\n\n(b) The owner or operator shall ensure and document that the process is designed in compliance with recognized and generally accepted good engineering practices.\n\n(c) The owner or operator shall update the safety information if a major change occurs that makes the information inaccurate."], ["40:40:17.0.1.1.5.3.1.2", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.50 Hazard review.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 82 FR 4697, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17686, Mar. 11, 2024]", "(a) The owner or operator shall conduct a review of the hazards associated with the regulated substances, process, and procedures. The review shall identify the following:\n\n(1) The hazards associated with the process and regulated substances;\n\n(2) Opportunities for equipment malfunctions or human errors that could cause an accidental release;\n\n(3) The safeguards used or needed to control the hazards or prevent equipment malfunction or human error including standby or emergency power systems; the owner or operator shall ensure monitoring equipment associated with prevention and detection of accidental releases from covered processes has standby or backup power to provide continuous operation;\n\n(4) Any steps used or needed to detect or monitor releases;\n\n(5) Natural hazards that could cause or exacerbate an accidental release; and\n\n(6) Stationary source siting, including the placement of processes, equipment, and buildings within the facility, and hazards posed by proximate stationary sources, and accidental release consequences posed by proximity to the public and public receptors.\n\n(b) The owner or operator may use checklists developed by persons or organizations knowledgeable about the process and equipment as a guide to conducting the review. For processes designed to meet industry standards or Federal or state design rules, the hazard review shall, by inspecting all equipment, determine whether the process is designed, fabricated, and operated in accordance with the applicable standards or rules.\n\n(c) The owner or operator shall document the results of the review and ensure that problems identified are resolved in a timely manner.\n\n(d) The review shall be updated at least once every five years. The owner or operator shall also conduct reviews whenever a major change in the process occurs; all issues identified in the review shall be resolved before startup of the changed process."], ["40:40:17.0.1.1.5.3.1.3", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.52 Operating procedures.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 89 FR 17686, Mar. 11, 2024]", "(a) The owner or operator shall prepare written operating procedures that provide clear instructions or steps for safely conducting activities associated with each covered process consistent with the safety information for that process. Operating procedures or instructions provided by equipment manufacturers or developed by persons or organizations knowledgeable about the process and equipment may be used as a basis for a stationary source's operating procedures.\n\n(b) The procedures shall address the following:\n\n(1) Initial startup;\n\n(2) Normal operations;\n\n(3) Temporary operations;\n\n(4) Emergency shutdown and operations;\n\n(5) Normal shutdown;\n\n(6) Startup following a normal or emergency shutdown or a major change that requires a hazard review;\n\n(7) Consequences of deviations and steps required to correct or avoid deviations;\n\n(8) Equipment inspections; and\n\n(9) Documentation when monitoring equipment associated with prevention and detection of accidental releases from covered processes is removed due to safety concerns from imminent natural hazards.\n\n(c) The owner or operator shall ensure that the operating procedures are updated, if necessary, whenever a major change occurs and prior to startup of the changed process."], ["40:40:17.0.1.1.5.3.1.4", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.54 Training.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 82 FR 4697, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019]", "(a) The owner or operator shall ensure that each employee presently operating a process, and each employee newly assigned to a covered process have been trained or tested competent in the operating procedures provided in \u00a7 68.52 that pertain to their duties. \n\nFor those employees already operating a process on June 21, 1999, the owner or operator may certify in writing that the employee has the required knowledge, skills, and abilities to safely carry out the duties and responsibilities as provided in the operating procedures.\n\n(b) Refresher training shall be provided at least every three years, and more often if necessary, to each employee operating a process to ensure that the employee understands and adheres to the current operating procedures of the process. The owner or operator, in consultation with the employees operating the process, shall determine the appropriate frequency of refresher training.\n\n(c) The owner or operator may use training conducted under Federal or state regulations or under industry-specific standards or codes or training conducted by covered process equipment vendors to demonstrate compliance with this section to the extent that the training meets the requirements of this section.\n\n(d) The owner or operator shall ensure that operators are trained in any updated or new procedures prior to startup of a process after a major change."], ["40:40:17.0.1.1.5.3.1.5", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.56 Maintenance.", "EPA", "", "", "", "(a) The owner or operator shall prepare and implement procedures to maintain the on-going mechanical integrity of the process equipment. The owner or operator may use procedures or instructions provided by covered process equipment vendors or procedures in Federal or state regulations or industry codes as the basis for stationary source maintenance procedures.\n\n(b) The owner or operator shall train or cause to be trained each employee involved in maintaining the on-going mechanical integrity of the process. To ensure that the employee can perform the job tasks in a safe manner, each such employee shall be trained in the hazards of the process, in how to avoid or correct unsafe conditions, and in the procedures applicable to the employee's job tasks.\n\n(c) Any maintenance contractor shall ensure that each contract maintenance employee is trained to perform the maintenance procedures developed under paragraph (a) of this section.\n\n(d) The owner or operator shall perform or cause to be performed inspections and tests on process equipment. Inspection and testing procedures shall follow recognized and generally accepted good engineering practices. The frequency of inspections and tests of process equipment shall be consistent with applicable manufacturers' recommendations, industry standards or codes, good engineering practices, and prior operating experience."], ["40:40:17.0.1.1.5.3.1.6", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.58 Compliance audits.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 82 FR 4697, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17686, Mar. 11, 2024]", "(a) The owner or operator shall certify that they have evaluated compliance with the provisions of this subpart, at least every three years to verify that the procedures and practices developed under this subpart are adequate and are being followed. When required as set forth in paragraph (f) of this section, the compliance audit shall be a third-party audit.\n\n(b) The compliance audit shall be conducted by at least one person knowledgeable in the process.\n\n(c) The owner or operator shall develop a report of the audit findings.\n\n(d) The owner or operator shall promptly determine and document an appropriate response to each of the findings of the compliance audit and document that deficiencies have been corrected.\n\n(e) The owner or operator shall retain the two (2) most recent compliance audit reports. This requirement does not apply to any compliance audit report that is more than five years old.\n\n(f) The next required compliance audit shall be a third-party audit when one or more of the following conditions applies:\n\n(1) An accidental release meeting the criteria in \u00a7 68.42(a) from a covered process at a stationary source has occurred; or\n\n(2) An implementing agency requires a third-party audit due to conditions at the stationary source that could lead to an accidental release of a regulated substance, or when a previous third-party audit failed to meet the competency or independence criteria of \u00a7 68.59(c).\n\n(g)(1) If an implementing agency makes a preliminary determination that a third-party audit is necessary pursuant to paragraph (f)(2) of this section, the implementing agency will provide written notice to the owner or operator that describes the basis for this determination.\n\n(2) Within 30 days of receipt of such written notice, the owner or operator may provide information and data to, and may consult with, the implementing agency on the determination. Thereafter, the implementing agency will provide a final determination to the owner or operator.\n\n(3) If the final determination requires a third-party audit, the owner or operator shall comply with the requirements of \u00a7 68.59, pursuant to the schedule in paragraph (h) of this section.\n\n(4) The owner or operator may appeal a final determination made by an implementing agency under paragraph (g)(3) of this section within 30 days of receipt of the final determination. The appeal shall be made to the EPA Regional Administrator or, for determinations made by other implementing agencies, the administrator or director of such implementing agency. The appeal shall contain a clear and concise statement of the issues, facts in the case, and any relevant additional information. In reviewing the appeal, the implementing agency may request additional information from the owner or operator. The implementing agency will provide a written, final decision on the appeal to the owner or operator.\n\n(h) The audit and audit report shall be completed as in paragraph (a) of this section, unless a different timeframe is specified by the implementing agency."], ["40:40:17.0.1.1.5.3.1.7", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.59 Third-party audits.", "EPA", "", "", "[89 FR 17687, Mar. 11, 2024]", "(a)  Applicability.  The owner or operator shall engage a third party to conduct an audit that evaluates compliance with the provisions of this subpart in accordance with the requirements of this section when any criterion of \u00a7 68.58(f) is met.\n\n(b)  Third-party auditors and auditing teams.  The owner or operator shall either:\n\n(1) Engage a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section; or\n\n(2) Assemble an auditing team, led by a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section. The team may include:\n\n(i) Other employees of the third-party auditor firm meeting the independence criteria of paragraph (c)(2) of this section; and\n\n(ii) Other personnel not employed by the third-party auditor firm, including facility personnel.\n\n(c)  Third-party auditor qualifications.  The owner or operator shall determine and document that the third-party auditor(s) meet the following competency and independence requirements:\n\n(1) The third-party auditor(s) shall be:\n\n(i) Knowledgeable with the requirements of this part;\n\n(ii) Experienced with the stationary source type and processes being audited and applicable recognized and generally accepted good engineering practices; and\n\n(iii) Trained and/or certified in proper auditing techniques.\n\n(2) The third-party auditor(s) shall:\n\n(i) Act impartially when performing all activities under this section;\n\n(ii) Receive no financial benefit from the outcome of the audit, apart from payment for auditing services. For purposes of this paragraph (c)(2)(ii), retired employees who otherwise satisfy the third-party auditor independence criteria in this section may qualify as independent if their sole continuing financial attachments to the owner or operator are employer-financed or managed retirement and/or health plans;\n\n(iii) Ensure that all third-party personnel involved in the audit sign and date a conflict of interest statement documenting that they meet the independence criteria of this paragraph (c)(2); and\n\n(iv) Ensure that all third-party personnel involved in the audit do not accept future employment with the owner or operator of the stationary source for a period of at least two years following submission of the final audit report. For purposes of the requirement in this paragraph (c)(2)(iv), employment does not include performing or participating in third-party audits pursuant to \u00a7 68.80 or this section.\n\n(3) The auditor shall have written policies and procedures to ensure that all personnel comply with the competency and independence requirements of this section.\n\n(d)  Third-party auditor responsibilities.  The owner or operator shall ensure that the third-party auditor:\n\n(1) Manages the audit and participates in audit initiation, design, implementation, and reporting;\n\n(2) Determines appropriate roles and responsibilities for the audit team members based on the qualifications of each team member;\n\n(3) Prepares the audit report and, where there is a team, documents the full audit team's views in the final audit report;\n\n(4) Certifies the final audit report and its contents as meeting the requirements of this section; and\n\n(5) Provides a copy of the audit report to the owner or operator.\n\n(e)  Audit report.  The audit report shall:\n\n(1) Identify all persons participating on the audit team, including names, titles, employers and/or affiliations, and summaries of qualifications. For third-party auditors, include information demonstrating that the competency requirements in paragraph (c)(1) of this section are met;\n\n(2) Describe or incorporate by reference the policies and procedures required under paragraph (c)(3) of this section;\n\n(3) Document the auditor's evaluation of the owner or operator's compliance with the provisions of this subpart to determine whether the procedures and practices developed by the owner or operator under this subpart are adequate and being followed;\n\n(4) Document the findings of the audit, including any identified compliance or performance deficiencies;\n\n(5) Summarize any significant revisions (if any) between draft and final versions of the report; and\n\n(6) Include the following certification, signed and dated by the third-party auditor or third-party audit team member leading the audit:\n\nI certify that this RMP compliance audit report was prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information upon which the audit is based. I further certify that the audit was conducted and this report was prepared pursuant to the requirements of subpart C of 40 CFR part 68 and all other applicable auditing, competency, independence, impartiality, and conflict of interest standards and protocols. Based on my personal knowledge and experience, and inquiry of personnel involved in the audit, the information submitted herein is true, accurate, and complete.\n\nI certify that this RMP compliance audit report was prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information upon which the audit is based. I further certify that the audit was conducted and this report was prepared pursuant to the requirements of subpart C of 40 CFR part 68 and all other applicable auditing, competency, independence, impartiality, and conflict of interest standards and protocols. Based on my personal knowledge and experience, and inquiry of personnel involved in the audit, the information submitted herein is true, accurate, and complete.\n\n(f)  Third-party audit findings \u2014(1)  Findings response report.  As soon as possible, but no later than 90 days after receiving the final audit report, the owner or operator shall determine an appropriate response to each of the findings in the audit report, and develop a findings response report that includes:\n\n(i) A copy of the final audit report;\n\n(ii) An appropriate response to each of the audit report findings;\n\n(iii) A schedule for promptly addressing deficiencies; and\n\n(iv) A certification, signed and dated by a senior corporate officer, or an official in an equivalent position, of the owner or operator of the stationary source, stating:\n\nI certify under penalty of law that I have engaged a third party to perform or lead an audit team to conduct a third-party audit in accordance with the requirements of 40 CFR 68.59 and that the attached RMP compliance audit report was received, reviewed, and responded to under my direction or supervision by qualified personnel. I further certify that appropriate responses to the findings have been identified and deficiencies were corrected, or are being corrected, consistent with the requirements of subpart C of 40 CFR part 68, as documented herein. Based on my personal knowledge and experience, or inquiry of personnel involved in evaluating the report findings and determining appropriate responses to the findings, the information submitted herein is true, accurate, and complete. I am aware that there are significant penalties for making false material statements, representations, or certifications, including the possibility of fines and imprisonment for knowing violations.\n\nI certify under penalty of law that I have engaged a third party to perform or lead an audit team to conduct a third-party audit in accordance with the requirements of 40 CFR 68.59 and that the attached RMP compliance audit report was received, reviewed, and responded to under my direction or supervision by qualified personnel. I further certify that appropriate responses to the findings have been identified and deficiencies were corrected, or are being corrected, consistent with the requirements of subpart C of 40 CFR part 68, as documented herein. Based on my personal knowledge and experience, or inquiry of personnel involved in evaluating the report findings and determining appropriate responses to the findings, the information submitted herein is true, accurate, and complete. I am aware that there are significant penalties for making false material statements, representations, or certifications, including the possibility of fines and imprisonment for knowing violations.\n\n(2)  Schedule implementation.  The owner or operator shall implement the schedule to address deficiencies identified in the audit findings response report in paragraph (f)(1)(iii) of this section and document the action taken to address each deficiency, along with the date completed.\n\n(3)  Submission to Board of Directors.  The owner or operator shall immediately provide a copy of each document required under paragraphs (f)(1) and (2) of this section, when completed, to the owner or operator's audit committee of the Board of Directors, or other comparable committee or individual, if applicable.\n\n(g)  Recordkeeping.  The owner or operator shall retain at the stationary source, the two most recent final third-party audit reports, related findings response reports, documentation of actions taken to address deficiencies, and related records. The requirement in this paragraph (g) does not apply to any document that is more than five years old."], ["40:40:17.0.1.1.5.3.1.8", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.60 Incident investigation.", "EPA", "", "", "[61 FR 31721, June 20, 1996, as amended at 82 FR 4699, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17688, Mar. 11, 2024]", "(a) The owner or operator shall investigate each incident which resulted in, or could reasonably have resulted in a catastrophic release.\n\n(b) An incident investigation shall be initiated as promptly as possible, but not later than 48 hours following the incident.\n\n(c) An incident investigation team shall be established and consist of at least one person knowledgeable in the process involved and other persons with appropriate knowledge and experience to thoroughly investigate and analyze the incident.\n\n(d) A report shall be prepared at the conclusion of the investigation which includes at a minimum:\n\n(1) Date of incident;\n\n(2) Date investigation began;\n\n(3) A description of the incident;\n\n(4) The factors that contributed to the incident; and,\n\n(5) Any recommendations resulting from the investigation.\n\n(e) The owner or operator shall promptly address and resolve the investigation findings and recommendations. Resolutions and corrective actions shall be documented.\n\n(f) The findings shall be reviewed with all affected personnel whose job tasks are affected by the findings.\n\n(g) Incident investigation reports shall be retained for five years.\n\n(h) The owner or operator shall ensure the following are addressed when the incident in paragraph (a) of this section meets the accident history reporting requirements under \u00a7 68.42:\n\n(1) The report shall be completed within 12 months of the incident, unless the implementing agency approves, in writing, to an extension of time; and\n\n(2) The report in paragraph (d) of this section shall include factors that contributed to the incident including the initiating event, direct and indirect contributing factors, and root causes. Root causes shall be determined by conducting an analysis for each incident using a recognized method."], ["40:40:17.0.1.1.5.3.1.9", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "C", "Subpart C\u2014Program 2 Prevention Program", "", "\u00a7 68.62 Employee participation.", "EPA", "", "", "[89 FR 17688, Mar. 11, 2024]", "(a) The owner or operator shall develop a written plan of action regarding the implementation of the employee participation requirements required by this section.\n\n(1) An annual written or electronic notice shall be distributed to employees and their representatives indicating that the plan is readily available to view, and how to access the information.\n\n(2) Training shall be provided as often as necessary to ensure employees and their representatives, and management involved in the process, are informed of the details of the plan.\n\n(b)(1) The owner or operator shall develop and implement a process to allow employees and their representatives to report to either or both the owner or operator and EPA unaddressed hazards that could lead to a catastrophic release, accidents covered by \u00a7 68.42(a) but not reported under \u00a7 68.195(a), and any other noncompliance with this part.\n\n(2) The employee and their representatives may choose to report either anonymously or with attribution.\n\n(3) When a report is made to the owner or operator, a record of the report shall be maintained for three years.\n\n(c) The owner or operator shall provide to employees and their representatives access to hazard reviews and to all other information required to be developed under this subpart."], ["40:40:17.0.1.1.5.4.1.1", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.65 Process safety information.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 82 FR 4699, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17688, Mar. 11, 2024]", "(a) The owner or operator shall complete a compilation of written process safety information before conducting any process hazard analysis required by this part and shall keep process safety information up to date. The compilation of written process safety information is to enable the owner or operator and the employees involved in operating the process to identify and understand the hazards posed by those processes involving regulated substances. This process safety information shall include information pertaining to the hazards of the regulated substances used or produced by the process, information pertaining to the technology of the process, and information pertaining to the equipment in the process.\n\n(b) Information pertaining to the hazards of the regulated substances in the process. This information shall consist of at least the following:\n\n(1) Toxicity information;\n\n(2) Permissible exposure limits;\n\n(3) Physical data;\n\n(4) Reactivity data:\n\n(5) Corrosivity data;\n\n(6) Thermal and chemical stability data; and\n\n(7) Hazardous effects of inadvertent mixing of different materials that could foreseeably occur.\n\nSafety Data Sheets (SDS) meeting the requirements of 29 CFR 1910.1200(g) may be used to comply with this requirement to the extent they contain the information required by paragraph (b) of this section.\n\n(c) Information pertaining to the technology of the process.\n\n(1) Information concerning the technology of the process shall include at least the following:\n\n(i) A block flow diagram or simplified process flow diagram;\n\n(ii) Process chemistry;\n\n(iii) Maximum intended inventory;\n\n(iv) Safe upper and lower limits for such items as temperatures, pressures, flows or compositions; and,\n\n(v) An evaluation of the consequences of deviations.\n\n(2) Where the original technical information no longer exists, such information may be developed in conjunction with the process hazard analysis in sufficient detail to support the analysis.\n\n(d) Information pertaining to the equipment in the process.\n\n(1) Information pertaining to the equipment in the process shall include:\n\n(i) Materials of construction;\n\n(ii) Piping and instrument diagrams (P&ID's);\n\n(iii) Electrical classification;\n\n(iv) Relief system design and design basis;\n\n(v) Ventilation system design;\n\n(vi) Design codes and standards employed;\n\n(vii) Material and energy balances for processes built after June 21, 1999; and\n\n(viii) Safety systems (e.g. interlocks, detection or suppression systems).\n\n(2) The owner or operator shall ensure and document that the process is designed and maintained in compliance with recognized and generally accepted good engineering practices.\n\n(3) For existing equipment designed and constructed in accordance with codes, standards, or practices that are no longer in general use, the owner or operator shall determine and document that the equipment is designed, maintained, inspected, tested, and operating in a safe manner."], ["40:40:17.0.1.1.5.4.1.10", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.81 Incident investigation.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 82 FR 4701, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17690, Mar. 11, 2024]", "(a) The owner or operator shall investigate each incident which resulted in, or could reasonably have resulted in a catastrophic release.\n\n(b) An incident investigation shall be initiated as promptly as possible, but not later than 48 hours following the incident.\n\n(c) An incident investigation team shall be established and consist of at least one person knowledgeable in the process involved, including a contract employee if the incident involved work of the contractor, and other persons with appropriate knowledge and experience to thoroughly investigate and analyze the incident.\n\n(d) A report shall be prepared at the conclusion of the investigation which includes at a minimum:\n\n(1) Date of incident;\n\n(2) Date investigation began;\n\n(3) A description of the incident;\n\n(4) The factors that contributed to the incident; and,\n\n(5) Any recommendations resulting from the investigation.\n\n(e) The owner or operator shall establish a system to promptly address and resolve the incident report findings and recommendations. Resolutions and corrective actions shall be documented.\n\n(f) The report shall be reviewed with all affected personnel whose job tasks are relevant to the incident findings including contract employees where applicable.\n\n(g) Incident investigation reports shall be retained for five years.\n\n(h) The owner or operator shall ensure the following are addressed when the incident in paragraph (a) of this section meets the accident history reporting requirements under \u00a7 68.42:\n\n(1) The report shall be completed within 12 months of the incident, unless the implementing agency approves, in writing, an extension of time; and\n\n(2) The report in paragraph (d) of this section shall include factors that contributed to the incident including the initiating event, direct and indirect contributing factors, and root causes. Root causes shall be determined by conducting an analysis for each incident using a recognized method."], ["40:40:17.0.1.1.5.4.1.11", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.83 Employee participation.", "EPA", "", "", "[89 FR 17690, Mar. 11, 2024]", "(a) The owner or operator shall develop a written plan of action regarding the implementation of the employee participation requirements required by this section.\n\n(1) An annual written or electronic notice shall be distributed to employees and their representatives indicating that the plan is readily available to view and how to access the information.\n\n(2) Training shall be provided as often as necessary to ensure employees and their representatives, and management involved in the process, are informed of the details of the plan.\n\n(b) The owner or operator shall consult with employees and their representatives on the conduct and development of process hazards analyses and on the development of the other elements of process safety management in this part.\n\n(c) The owner or operator shall consult with employees knowledgeable in the process and their representatives on addressing, correcting, resolving, documenting, and implementing recommendations and findings of process hazard analyses under \u00a7 68.67(e), compliance audits under \u00a7 68.79(d), and incident investigations under \u00a7 68.81(e).\n\n(d) The owner or operator shall provide the following authorities to employees knowledgeable in the process and their representatives:\n\n(1) Recommend to the operator in charge of a unit that an operation or process be partially or completely shut down, in accordance with procedures established in \u00a7 68.69(a), based on the potential for a catastrophic release; and\n\n(2) Allow a qualified operator in charge of a unit to partially or completely shut down an operation or process, in accordance with procedures established in \u00a7 68.69(a), based on the potential for a catastrophic release.\n\n(e)(1) The owner or operator shall develop and implement a process to allow employees and their representatives to report to either or both the owner or operator and EPA unaddressed hazards that could lead to a catastrophic release, accidents covered by \u00a7 68.42(a) but not reported under \u00a7 68.195(a), and any other noncompliance with this part.\n\n(2) The employee and their representatives may choose to report either anonymously or with attribution.\n\n(3) When a report is made to the owner or operator, a record of the report shall be maintained for three years.\n\n(f) The owner or operator shall provide to employees and their representatives access to process hazard analyses and to all other information required to be developed under this part."], ["40:40:17.0.1.1.5.4.1.12", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.85 Hot work permit.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 89 FR 17691, Mar. 11, 2024]", "(a) The owner or operator shall issue a hot work permit for hot work operations conducted on or near a covered process.\n\n(b) The permit shall document that the fire prevention and protection requirements in 29 CFR 1910.252(a) have been implemented prior to beginning the hot work operations; it shall indicate the date(s) authorized for hot work; and identify the object on which hot work is to be performed.\n\n(c) The permit shall be retained for three years after the completion of the hot work operations."], ["40:40:17.0.1.1.5.4.1.13", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.87 Contractors.", "EPA", "", "", "", "(a)  Application.  This section applies to contractors performing maintenance or repair, turnaround, major renovation, or specialty work on or adjacent to a covered process. It does not apply to contractors providing incidental services which do not influence process safety, such as janitorial work, food and drink services, laundry, delivery or other supply services.\n\n(b)  Owner or operator responsibilities.  (1) The owner or operator, when selecting a contractor, shall obtain and evaluate information regarding the contract owner or operator's safety performance and programs.\n\n(2) The owner or operator shall inform contract owner or operator of the known potential fire, explosion, or toxic release hazards related to the contractor's work and the process.\n\n(3) The owner or operator shall explain to the contract owner or operator the applicable provisions of subpart E of this part.\n\n(4) The owner or operator shall develop and implement safe work practices consistent with \u00a7 68.69(d), to control the entrance, presence, and exit of the contract owner or operator and contract employees in covered process areas.\n\n(5) The owner or operator shall periodically evaluate the performance of the contract owner or operator in fulfilling their obligations as specified in paragraph (c) of this section.\n\n(c)  Contract owner or operator responsibilities.  (1) The contract owner or operator shall assure that each contract employee is trained in the work practices necessary to safely perform his/her job.\n\n(2) The contract owner or operator shall assure that each contract employee is instructed in the known potential fire, explosion, or toxic release hazards related to his/her job and the process, and the applicable provisions of the emergency action plan.\n\n(3) The contract owner or operator shall document that each contract employee has received and understood the training required by this section. The contract owner or operator shall prepare a record which contains the identity of the contract employee, the date of training, and the means used to verify that the employee understood the training.\n\n(4) The contract owner or operator shall assure that each contract employee follows the safety rules of the stationary source including the safe work practices required by \u00a7 68.69(d).\n\n(5) The contract owner or operator shall advise the owner or operator of any unique hazards presented by the contract owner or operator's work, or of any hazards found by the contract owner or operator's work."], ["40:40:17.0.1.1.5.4.1.2", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.67 Process hazard analysis.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 82 FR 4699, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17688, Mar. 11, 2024]", "(a) The owner or operator shall perform an initial process hazard analysis (hazard evaluation) on processes covered by this part. The process hazard analysis shall be appropriate to the complexity of the process and shall identify, evaluate, and control the hazards involved in the process. The owner or operator shall determine and document the priority order for conducting process hazard analyses based on a rationale which includes such considerations as extent of the process hazards, number of potentially affected employees, age of the process, and operating history of the process. The process hazard analysis shall be conducted as soon as possible, but not later than June 21, 1999. Process hazards analyses completed to comply with 29 CFR 1910.119(e) are acceptable as initial process hazards analyses. These process hazard analyses shall be updated and revalidated, based on their completion date.\n\n(b) The owner or operator shall use one or more of the following methodologies that are appropriate to determine and evaluate the hazards of the process being analyzed.\n\n(1) What-If;\n\n(2) Checklist;\n\n(3) What-If/Checklist;\n\n(4) Hazard and Operability Study (HAZOP);\n\n(5) Failure Mode and Effects Analysis (FMEA);\n\n(6) Fault Tree Analysis; or\n\n(7) An appropriate equivalent methodology.\n\n(c) The process hazard analysis shall address:\n\n(1) The hazards of the process;\n\n(2) The identification of any previous incident which had a likely potential for catastrophic consequences;\n\n(3) Engineering and administrative controls applicable to the hazards and their interrelationships such as appropriate application of detection methodologies to provide early warning of releases and standby or emergency power systems. (Acceptable detection methods might include process monitoring and control instrumentation with alarms, and detection hardware such as hydrocarbon sensors.) The owner or operator shall ensure monitoring equipment associated with prevention and detection of accidental releases from covered processes has standby or backup power to provide continuous operation;\n\n(4) Consequences of failure of engineering and administrative controls;\n\n(5) Stationary source siting, including the placement of processes, equipment, and buildings within the facility, and hazards posed by proximate stationary sources, and accidental release consequences posed by proximity to the public and public receptors;\n\n(6) Human factors;\n\n(7) A qualitative evaluation of a range of the possible safety and health effects of failure of controls;\n\n(8) Natural hazards that could cause or exacerbate an accidental release;\n\n(9) Safer technology and alternative risk management measures applicable to eliminating or reducing risk from process hazards for the following covered processes and shall meet all of the following requirements:\n\n(i) For covered processes in NAICS codes 324 and 325, the owner or operator shall consider and document, in the following order of preference, inherently safer technology or design, passive measures, active measures, and procedural measures. A combination of risk management measures may be used to achieve the desired risk reduction.\n\n(ii) For covered processes in paragraphs (c)(9)(ii)(A) through (C) of this section, the owner or operator shall consider and document, in the following order of preference, inherently safer technology or design, passive measures, active measures, and procedural measures. A combination of risk management measures may be used to achieve the desired risk reduction. The owner or operator shall also determine and document the practicability of the inherently safer technologies and designs considered. The owner or operator shall include in documentation any methods used to determine practicability. For any inherently safer technologies and designs implemented, the owner or operator shall document and submit to EPA a description of the technology implemented.\n\n(A) In NAICS codes 324 and 325, located within 1 mile of another stationary source having a covered process in NAICS code 324 or 325;\n\n(B) In NAICS code 324 with hydrofluoric acid alkylation covered processes; and\n\n(C) In NAICS codes 324 and 325 that have had one accident that meets the accident history reporting requirements under \u00a7 68.42 since the most recent process hazard analysis under this section.\n\n(iii) The analysis shall be performed by a team that includes members with expertise in the process being evaluated, including at least one member who works in the process. The team members shall be documented; and\n\n(10) Any gaps in safety between the codes, standards, or practices to which the process was designed and constructed and the most current version of applicable codes, standards, or practices.\n\n(d) The process hazard analysis shall be performed by a team with expertise in engineering and process operations, and the team shall include at least one employee who has experience and knowledge specific to the process being evaluated. Also, one member of the team must be knowledgeable in the specific process hazard analysis methodology being used.\n\n(e) The owner or operator shall establish a system to promptly address the team's findings and recommendations; assure that the recommendations are resolved in a timely manner and that the resolution is documented; document what actions are to be taken; complete actions as soon as possible; develop a written schedule of when these actions are to be completed; communicate the actions to operating, maintenance and other employees whose work assignments are in the process and who may be affected by the recommendations or actions.\n\n(f) At least every five (5) years after the completion of the initial process hazard analysis, the process hazard analysis shall be updated and revalidated by a team meeting the requirements in paragraph (d) of this section, to assure that the process hazard analysis is consistent with the current process. Updated and revalidated process hazard analyses completed to comply with 29 CFR 1910.119(e) are acceptable to meet the requirements of this paragraph.\n\n(g) The owner or operator shall retain process hazards analyses and updates or revalidations for each process covered by this section, as well as the documented resolution of recommendations described in paragraph (e) of this section for the life of the process.\n\n(h)(1) Of the covered processes listed under paragraphs (h)(1)(i) through (iii) of this section, the owner or operator shall implement at least one passive measure at the stationary source, or an inherently safer technology or design, or a combination of active and procedural measures equivalent to or greater than the risk reduction of a passive measure, resulting from paragraph (c)(9)(i) of this section:\n\n(i) In NAICS codes 324 and 325, located within 1 mile of another stationary source having a covered process in NAICS code 324 or 325;\n\n(ii) In NAICS code 324 with hydrofluoric acid alkylation covered processes; and\n\n(iii) In NAICS codes 324 and 325 that have had one accident that meets the accident history reporting requirements under \u00a7 68.42 since the most recent process hazard analysis under this section.\n\n(2) If no passive measures are identified or all are not practicable, and no inherently safer technology or design is implemented, then the owner or operator shall implement at least one active measure. If no active measures are identified or all are not practicable, the owner or operator shall implement at least one procedural measure.\n\n(3) For passive and active measures not implemented, the owner or operator shall document sufficient evidence to demonstrate to the implementing agency's satisfaction that implementing the measures is not practicable and the reasons for this conclusion. A claim that implementation is not practicable shall not be based solely on evidence of reduced profits or increased costs."], ["40:40:17.0.1.1.5.4.1.3", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.69 Operating procedures.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 89 FR 17689, Mar. 11, 2024]", "(a) The owner or operator shall develop and implement written operating procedures that provide clear instructions for safely conducting activities involved in each covered process consistent with the process safety information and shall address at least the following elements.\n\n(1) Steps for each operating phase:\n\n(i) Initial startup;\n\n(ii) Normal operations;\n\n(iii) Temporary operations;\n\n(iv) Emergency shutdown including the conditions under which emergency shutdown is required, and the assignment of shutdown responsibility to qualified operators to ensure that emergency shutdown is executed in a safe and timely manner.\n\n(v) Emergency operations;\n\n(vi) Normal shutdown; and,\n\n(vii) Startup following a turnaround, or after an emergency shutdown.\n\n(2) Operating limits:\n\n(i) Consequences of deviation; and\n\n(ii) Steps required to correct or avoid deviation.\n\n(3) Safety and health considerations:\n\n(i) Properties of, and hazards presented by, the chemicals used in the process;\n\n(ii) Precautions necessary to prevent exposure, including engineering controls, administrative controls, and personal protective equipment;\n\n(iii) Control measures to be taken if physical contact or airborne exposure occurs;\n\n(iv) Quality control for raw materials and control of hazardous chemical inventory levels; and,\n\n(v) Any special or unique hazards.\n\n(4) Safety systems and their functions, including documentation when monitoring equipment associated with prevention and detection of accidental releases from covered processes is removed due to safety concerns from imminent natural hazards.\n\n(b) Operating procedures shall be readily accessible to employees who work in or maintain a process.\n\n(c) The operating procedures shall be reviewed as often as necessary to assure that they reflect current operating practice, including changes that result from changes in process chemicals, technology, and equipment, and changes to stationary sources. The owner or operator shall certify annually that these operating procedures are current and accurate.\n\n(d) The owner or operator shall develop and implement safe work practices to provide for the control of hazards during operations such as lockout/tagout; confined space entry; opening process equipment or piping; and control over entrance into a stationary source by maintenance, contractor, laboratory, or other support personnel. These safe work practices shall apply to employees and contractor employees."], ["40:40:17.0.1.1.5.4.1.4", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.71 Training.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 82 FR 4699, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019]", "(a)  Initial training.  (1) Each employee presently involved in operating a process, and each employee before being involved in operating a newly assigned process, shall be trained in an overview of the process and in the operating procedures as specified in \u00a7 68.69. The training shall include emphasis on the specific safety and health hazards, emergency operations including shutdown, and safe work practices applicable to the employee's job tasks.\n\n(2) In lieu of initial training for those employees already involved in operating a process on June 21, 1999 an owner or operator may certify in writing that the employee has the required knowledge, skills, and abilities to safely carry out the duties and responsibilities as specified in the operating procedures.\n\n(b)  Refresher training.  Refresher training shall be provided at least every three years, and more often if necessary, to each employee involved in operating a process to assure that the employee understands and adheres to the current operating procedures of the process. The owner or operator, in consultation with the employees involved in operating the process, shall determine the appropriate frequency of refresher training.\n\n(c)  Training documentation.  The owner or operator shall ascertain that each employee involved in operating a process has received and understood the training required by this paragraph. The owner or operator shall prepare a record which contains the identity of the employee, the date of training, and the means used to verify that the employee understood the training."], ["40:40:17.0.1.1.5.4.1.5", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.73 Mechanical integrity.", "EPA", "", "", "", "(a)  Application.  Paragraphs (b) through (f) of this section apply to the following process equipment:\n\n(1) Pressure vessels and storage tanks;\n\n(2) Piping systems (including piping components such as valves);\n\n(3) Relief and vent systems and devices;\n\n(4) Emergency shutdown systems;\n\n(5) Controls (including monitoring devices and sensors, alarms, and interlocks) and,\n\n(6) Pumps.\n\n(b)  Written procedures.  The owner or operator shall establish and implement written procedures to maintain the on-going integrity of process equipment.\n\n(c)  Training for process maintenance activities.  The owner or operator shall train each employee involved in maintaining the on-going integrity of process equipment in an overview of that process and its hazards and in the procedures applicable to the employee's job tasks to assure that the employee can perform the job tasks in a safe manner.\n\n(d)  Inspection and testing.  (1) Inspections and tests shall be performed on process equipment.\n\n(2) Inspection and testing procedures shall follow recognized and generally accepted good engineering practices.\n\n(3) The frequency of inspections and tests of process equipment shall be consistent with applicable manufacturers' recommendations and good engineering practices, and more frequently if determined to be necessary by prior operating experience.\n\n(4) The owner or operator shall document each inspection and test that has been performed on process equipment. The documentation shall identify the date of the inspection or test, the name of the person who performed the inspection or test, the serial number or other identifier of the equipment on which the inspection or test was performed, a description of the inspection or test performed, and the results of the inspection or test.\n\n(e)  Equipment deficiencies.  The owner or operator shall correct deficiencies in equipment that are outside acceptable limits (defined by the process safety information in \u00a7 68.65) before further use or in a safe and timely manner when necessary means are taken to assure safe operation.\n\n(f)  Quality assurance.  (1) In the construction of new plants and equipment, the owner or operator shall assure that equipment as it is fabricated is suitable for the process application for which they will be used.\n\n(2) Appropriate checks and inspections shall be performed to assure that equipment is installed properly and consistent with design specifications and the manufacturer's instructions.\n\n(3) The owner or operator shall assure that maintenance materials, spare parts and equipment are suitable for the process application for which they will be used."], ["40:40:17.0.1.1.5.4.1.6", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.75 Management of change.", "EPA", "", "", "", "(a) The owner or operator shall establish and implement written procedures to manage changes (except for \u201creplacements in kind\u201d) to process chemicals, technology, equipment, and procedures; and, changes to stationary sources that affect a covered process.\n\n(b) The procedures shall assure that the following considerations are addressed prior to any change:\n\n(1) The technical basis for the proposed change;\n\n(2) Impact of change on safety and health;\n\n(3) Modifications to operating procedures;\n\n(4) Necessary time period for the change; and,\n\n(5) Authorization requirements for the proposed change.\n\n(c) Employees involved in operating a process and maintenance and contract employees whose job tasks will be affected by a change in the process shall be informed of, and trained in, the change prior to start-up of the process or affected part of the process.\n\n(d) If a change covered by this paragraph results in a change in the process safety information required by \u00a7 68.65 of this part, such information shall be updated accordingly.\n\n(e) If a change covered by this paragraph results in a change in the operating procedures or practices required by \u00a7 68.69, such procedures or practices shall be updated accordingly."], ["40:40:17.0.1.1.5.4.1.7", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.77 Pre-startup review.", "EPA", "", "", "", "(a) The owner or operator shall perform a pre-startup safety review for new stationary sources and for modified stationary sources when the modification is significant enough to require a change in the process safety information.\n\n(b) The pre-startup safety review shall confirm that prior to the introduction of regulated substances to a process:\n\n(1) Construction and equipment is in accordance with design specifications;\n\n(2) Safety, operating, maintenance, and emergency procedures are in place and are adequate;\n\n(3) For new stationary sources, a process hazard analysis has been performed and recommendations have been resolved or implemented before startup; and modified stationary sources meet the requirements contained in management of change, \u00a7 68.75.\n\n(4) Training of each employee involved in operating a process has been completed."], ["40:40:17.0.1.1.5.4.1.8", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.79 Compliance audits.", "EPA", "", "", "[61 FR 31722, June 20, 1996, as amended at 64 FR 979, Jan. 6, 1999; 82 FR 4699, Jan. 13, 2017; 84 FR 69914, Dec. 19, 2019; 89 FR 17689, Mar. 11, 2024]", "(a) The owner or operator shall certify that they have evaluated compliance with the provisions of this subpart, at least every three years to verify that the procedures and practices developed under this subpart are adequate and are being followed. When required as set forth in paragraph (f) of this section, the compliance audit shall be a third-party audit.\n\n(b) The compliance audit shall be conducted by at least one person knowledgeable in the process.\n\n(c) A report of the findings of the audit shall be developed.\n\n(d) The owner or operator shall promptly determine and document an appropriate response to each of the findings of the compliance audit, and document that deficiencies have been corrected.\n\n(e) The owner or operator shall retain the two (2) most recent compliance audit reports.\n\n(f) The next required compliance audit shall be a third-party audit when one or more of the following conditions applies:\n\n(1) An accidental release meeting the criteria in \u00a7 68.42(a) from a covered process at a stationary source has occurred; or\n\n(2) An implementing agency requires a third-party audit due to conditions at the stationary source that could lead to an accidental release of a regulated substance, or when a previous third-party audit failed to meet the competency or independence criteria of \u00a7 68.80(c).\n\n(g)(1) If an implementing agency makes a preliminary determination that a third-party audit is necessary pursuant to paragraph (f)(2) of this section, the implementing agency will provide written notice to the owner or operator that describes the basis for this determination.\n\n(2) Within 30 days of receipt of such written notice, the owner or operator may provide information and data to, and may consult with, the implementing agency on the determination. Thereafter, the implementing agency will provide a final determination to the owner or operator.\n\n(3) If the final determination requires a third-party audit, the owner or operator shall comply with the requirements of \u00a7 68.80, pursuant to the schedule in paragraph (h) of this section.\n\n(4) The owner or operator may appeal a final determination made by an implementing agency under paragraph (g)(3) of this section within 30 days of receipt of the final determination. The appeal shall be made to the EPA Regional Administrator or, for determinations made by other implementing agencies, the administrator or director of such implementing agency. The appeal shall contain a clear and concise statement of the issues, facts in the case, and any relevant additional information. In reviewing the appeal, the implementing agency may request additional information from the owner or operator. The implementing agency will provide a written, final decision on the appeal to the owner or operator.\n\n(h) The audit and audit report shall be completed as in paragraph (a) of this section, unless a different timeframe is specified by the implementing agency."], ["40:40:17.0.1.1.5.4.1.9", 40, "Protection of Environment", "I", "C", "68", "PART 68\u2014CHEMICAL ACCIDENT PREVENTION PROVISIONS", "D", "Subpart D\u2014Program 3 Prevention Program", "", "\u00a7 68.80 Third-party audits.", "EPA", "", "", "[89 FR 17689, Mar. 11, 2024]", "(a)  Applicability.  The owner or operator shall engage a third party to conduct an audit that evaluates compliance with the provisions of this subpart in accordance with the requirements of this section when any criterion of \u00a7 68.79(f) is met.\n\n(b)  Third-party auditors and auditing teams.  The owner or operator shall either:\n\n(1) Engage a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section; or\n\n(2) Assemble an auditing team, led by a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section. The team may include:\n\n(i) Other employees of the third-party auditor firm meeting the independence criteria of paragraph (c)(2) of this section; and\n\n(ii) Other personnel not employed by the third-party auditor firm, including facility personnel.\n\n(c)  Third-party auditor qualifications.  The owner or operator shall determine and document that the third-party auditor(s) meet the following competency and independence requirements:\n\n(1) The third-party auditor(s) shall be:\n\n(i) Knowledgeable with the requirements of this part;\n\n(ii) Experienced with the stationary source type and processes being audited and applicable recognized and generally accepted good engineering practices; and\n\n(iii) Trained and/or certified in proper auditing techniques.\n\n(2) The third-party auditor(s) shall:\n\n(i) Act impartially when performing all activities under this section;\n\n(ii) Receive no financial benefit from the outcome of the audit, apart from payment for auditing services. For purposes of this paragraph (c)(2)(ii), retired employees who otherwise satisfy the third-party auditor independence criteria in this section may qualify as independent if their sole continuing financial attachments to the owner or operator are employer-financed or managed retirement and/or health plans;\n\n(iii) Ensure that all third-party personnel involved in the audit sign and date a conflict of interest statement documenting that they meet the independence criteria of this paragraph (c)(2); and\n\n(iv) Ensure that all third-party personnel involved in the audit do not accept future employment with the owner or operator of the stationary source for a period of at least two years following submission of the final audit report. For purposes of the requirement in this paragraph (c)(2)(iv), employment does not include performing or participating in third-party audits pursuant to \u00a7 68.59 or this section.\n\n(3) The auditor shall have written policies and procedures to ensure that all personnel comply with the competency and independence requirements of this section.\n\n(d)  Third-party auditor responsibilities.  The owner or operator shall ensure that the third-party auditor:\n\n(1) Manages the audit and participates in audit initiation, design, implementation, and reporting;\n\n(2) Determines appropriate roles and responsibilities for the audit team members based on the qualifications of each team member;\n\n(3) Prepares the audit report and, where there is a team, documents the full audit team's views in the final audit report;\n\n(4) Certifies the final audit report and its contents as meeting the requirements of this section; and\n\n(5) Provides a copy of the audit report to the owner or operator.\n\n(e)  Audit report.  The audit report shall:\n\n(1) Identify all persons participating on the audit team, including names, titles, employers and/or affiliations, and summaries of qualifications. For third-party auditors, include information demonstrating that the competency requirements in paragraph (c)(1) of this section are met;\n\n(2) Describe or incorporate by reference the policies and procedures required under paragraph (c)(3) of this section;\n\n(3) Document the auditor's evaluation of the owner or operator's compliance with the provisions of this subpart to determine whether the procedures and practices developed by the owner or operator under this part are adequate and being followed;\n\n(4) Document the findings of the audit, including any identified compliance or performance deficiencies;\n\n(5) Summarize any significant revisions (if any) between draft and final versions of the report; and\n\n(6) Include the following certification, signed and dated by the third-party auditor or third-party audit team member leading the audit:\n\nI certify that this RMP compliance audit report was prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information upon which the audit is based. I further certify that the audit was conducted and this report was prepared pursuant to the requirements of subpart D of 40 CFR part 68 and all other applicable auditing, competency, independence, impartiality, and conflict of interest standards and protocols. Based on my personal knowledge and experience, and inquiry of personnel involved in the audit, the information submitted herein is true, accurate, and complete.\n\nI certify that this RMP compliance audit report was prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information upon which the audit is based. I further certify that the audit was conducted and this report was prepared pursuant to the requirements of subpart D of 40 CFR part 68 and all other applicable auditing, competency, independence, impartiality, and conflict of interest standards and protocols. Based on my personal knowledge and experience, and inquiry of personnel involved in the audit, the information submitted herein is true, accurate, and complete.\n\n(f)  Third-party audit findings \u2014(1)  Findings response report.  As soon as possible, but no later than 90 days after receiving the final audit report, the owner or operator shall determine an appropriate response to each of the findings in the audit report, and develop a findings response report that includes:\n\n(i) A copy of the final audit report;\n\n(ii) An appropriate response to each of the audit report findings;\n\n(iii) A schedule for promptly addressing deficiencies; and\n\n(iv) A certification, signed and dated by a senior corporate officer, or an official in an equivalent position, of the owner or operator of the stationary source, stating:\n\nI certify under penalty of law that I have engaged a third party to perform or lead an audit team to conduct a third-party audit in accordance with the requirements of 40 CFR 68.80 and that the attached RMP compliance audit report was received, reviewed, and responded to under my direction or supervision by qualified personnel. I further certify that appropriate responses to the findings have been identified and deficiencies were corrected, or are being corrected, consistent with the requirements of subpart D of 40 CFR part 68, as documented herein. Based on my personal knowledge and experience, or inquiry of personnel involved in evaluating the report findings and determining appropriate responses to the findings, the information submitted herein is true, accurate, and complete. I am aware that there are significant penalties for making false material statements, representations, or certifications, including the possibility of fines and imprisonment for knowing violations.\n\nI certify under penalty of law that I have engaged a third party to perform or lead an audit team to conduct a third-party audit in accordance with the requirements of 40 CFR 68.80 and that the attached RMP compliance audit report was received, reviewed, and responded to under my direction or supervision by qualified personnel. I further certify that appropriate responses to the findings have been identified and deficiencies were corrected, or are being corrected, consistent with the requirements of subpart D of 40 CFR part 68, as documented herein. Based on my personal knowledge and experience, or inquiry of personnel involved in evaluating the report findings and determining appropriate responses to the findings, the information submitted herein is true, accurate, and complete. I am aware that there are significant penalties for making false material statements, representations, or certifications, including the possibility of fines and imprisonment for knowing violations.\n\n(2)  Schedule implementation.  The owner or operator shall implement the schedule to address deficiencies identified in the audit findings response report in paragraph (f)(1)(iii) of this section and document the action taken to address each deficiency, along with the date completed.\n\n(3)  Submission to Board of Directors.  The owner or operator shall immediately provide a copy of each document required under paragraphs (f)(1) and (2) of this section, when completed, to the owner or operator's audit committee of the Board of Directors, or other comparable committee or individual, if applicable.\n\n(g)  Recordkeeping.  The owner or operator shall retain at the stationary source the two most recent final third-party audit reports, related findings response reports, documentation of actions taken to address deficiencies, and related records."]], "truncated": false, "filtered_table_rows_count": 169, "expanded_columns": [], "expandable_columns": [], "columns": ["section_id", "title_number", "title_name", "chapter", "subchapter", "part_number", "part_name", "subpart", "subpart_name", "section_number", "section_heading", "agency", "authority", "source_citation", "amendment_citations", "full_text"], "primary_keys": ["section_id"], "units": {}, "query": {"sql": "select section_id, title_number, title_name, chapter, subchapter, part_number, part_name, subpart, subpart_name, section_number, section_heading, agency, authority, source_citation, amendment_citations, full_text from cfr_sections where \"part_number\" = :p0 order by section_id limit 101", "params": {"p0": "68"}}, "facet_results": {"title_number": {"name": "title_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=68", "results": [{"value": 40, "label": 40, "count": 63, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&title_number=40", "selected": false}, {"value": 28, "label": 28, "count": 58, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&title_number=28", "selected": false}, {"value": 46, "label": 46, "count": 30, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&title_number=46", "selected": false}, {"value": 44, "label": 44, "count": 12, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&title_number=44", "selected": false}, {"value": 14, "label": 14, "count": 6, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&title_number=14", "selected": false}], "truncated": false}, "agency": {"name": "agency", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=68", "results": [{"value": "EPA", "label": "EPA", "count": 63, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&agency=EPA", "selected": false}, {"value": "DOJ", "label": "DOJ", "count": 58, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&agency=DOJ", "selected": false}, {"value": "USCG", "label": "USCG", "count": 30, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&agency=USCG", "selected": false}, {"value": "FEMA", "label": "FEMA", "count": 12, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&agency=FEMA", "selected": false}, {"value": "FAA", "label": "FAA", "count": 6, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&agency=FAA", "selected": false}], "truncated": false}, "part_number": {"name": "part_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=68", "results": [{"value": "68", "label": "68", "count": 169, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json", "selected": true}], "truncated": false}}, "suggested_facets": [{"name": "title_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_facet=title_name"}, {"name": "subchapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_facet=subchapter"}, {"name": "part_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_facet=part_name"}, {"name": "subpart", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_facet=subpart"}, {"name": "subpart_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_facet=subpart_name"}], "next": "40~3A40~3A17~2E0~2E1~2E1~2E5~2E4~2E1~2E9,40~3A40~3A17~2E0~2E1~2E1~2E5~2E4~2E1~2E9", "next_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=68&_next=40~3A40~3A17~2E0~2E1~2E1~2E5~2E4~2E1~2E9%2C40~3A40~3A17~2E0~2E1~2E1~2E5~2E4~2E1~2E9&_sort=section_id", "private": false, "allow_execute_sql": true, "query_ms": 9.232052019797266, "source": "Federal Register API & Regulations.gov API", "source_url": "https://www.federalregister.gov/developers/api/v1", "license": "Public Domain (U.S. Government data)", "license_url": "https://www.regulations.gov/faq"}