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| 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 |
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| 14:14:2.0.1.1.6.0.1.1 | 14 | Aeronautics and Space | I | D | 68 | PART 68—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 68.1 Applicability. | FAA | This part prescribes the medical education and examination requirements for operating an aircraft under § 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—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 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 § 61.113(i) of this chapter must— (1) Educate pilots on conducting medical self-assessments; (2) Advise pilots on identifying warning signs of potential serious medical conditions; (3) Identify risk mitigation strategies for medical conditions; (4) Increase awareness of the impacts of potentially impairing over-the-counter and prescription drug medications; (5) Encourage regular medical examinations and consultations with primary care physicians; (6) Inform pilots of the regulations pertaining to the prohibition on operations during medical deficiency and medically disqualifying conditions; and (7) Provide the checklist developed by the FAA in accordance with § 68.7. (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 § 61.113(i) of this chapter and transmitted to the FAA— (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; (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; (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 § 61.23(c)(3) of this chapter; (4) A form that includes— (i) The name, address, telephone number, and airman certificate number of the individual; (ii) The name, address, telephone number, and State medical license number of the physicia… | |||||
| 14:14:2.0.1.1.6.0.1.3 | 14 | Aeronautics and Space | I | D | 68 | PART 68—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 68.5 Comprehensive medical examination. | FAA | (a) Prior to the medical examination required by § 61.23(c)(3) of this chapter, an individual must— (1) Complete the individual's section of the checklist described in § 68.7; and (2) Provide the completed checklist to the State-licensed physician performing the medical examination. (b) The physician must— (1) Conduct the medical examination in accordance with the checklist set forth in § 68.7, (2) Check each item specified during the examination; and (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—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 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 § 61.113(i) must include a checklist containing the following: (a) A section, for the individual to complete that contains— (1) Boxes 3 through 13 and boxes 16 through 19 of the FAA Form 8500-8 (3-99), or any successor form; and (2) A signature line for the individual to affirm that— (i) The answers provided by the individual on that checklist, including the individual's answers regarding medical history, are true and complete; (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 (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; (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 § 68.5; and (c) A section, for the physician to complete, that instructs the physician— (1) To perform a clinical examination of— (i) Head, face, neck, and scalp; (ii) Nose, sinuses, mouth, and throat; (iii) Ears, general (internal and external canals), and eardrums (perforation); (iv) Eyes (general), ophthalmoscopic, pupils (equality and reaction), and ocular motility (associated parallel movement, nystagmus); (v) Lungs and chest (not including breast examination); (vi) Heart (precordial activity, rhythm, sounds, and murmurs); (vii) Vascular system (pulse, amplitude, and character, and arms, legs, and others); (viii) Abdomen and viscera (including hernia); (ix) Anus (not including digital examination); (x) Skin; (xi) G-U system (not including pelvic examination); (xi… | |||||
| 14:14:2.0.1.1.6.0.1.5 | 14 | Aeronautics and Space | I | D | 68 | PART 68—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 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 § 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: (1) A mental health disorder, limited to an established medical history or clinical diagnosis of— (i) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts; (ii) A psychosis, defined as a case in which an individual— (A) Has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis; or (B) May reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis; (iii) A bipolar disorder; or (iv) A substance dependence within the previous 2 years, as defined in § 67.307(a)(4) of this chapter. (2) A neurological disorder, limited to an established medical history or clinical diagnosis of any of the following: (i) Epilepsy; (ii) Disturbance of consciousness without satisfactory medical explanation of the cause; or (iii) A transient loss of control of nervous system functions without satisfactory medical explanation of the cause. (3) A cardiovascular condition, limited to a one-time special issuance for each diagnosis of the following: (i) Myocardial infarction; (ii) Coronary heart disease that has required treatment; (iii) Cardiac valve replacement; or (iv) Heart replacement. (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. (c) Special rule for mental health conditions. (1) In the case… | |||||
| 14:14:2.0.1.1.6.0.1.6 | 14 | Aeronautics and Space | I | D | 68 | PART 68—REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT A MEDICAL CERTIFICATE | § 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 § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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: (1) Issues involved in the proceedings; (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; (3) Facts in dispute; (4) Witnesses, except to the extent that disclosure would be privileged, and exhibits by which disputed facts will be litigated; (5) A brief statement of applicable law; (6) The conclusions to be drawn; (7) The estimated time required for presentation of the party's or parties' case; and (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (2) At the conference, the following matters may be considered: (i) The simplification of issues; (ii) The necessity of amendments to pleadings; (iii) The possibility of obtaining stipulations of facts and of the authenticity, accuracy, and admissibility of documents, which will avoid unnecessary proof; (iv) The limitations on the number of expert or other witnesses; (v) Negotiation, compromise, or settlement of issues; (vi) The exchange of copies of proposed exhibits; (vii) The identification of documents or matters of which official notice may be requested; (viii) A schedule to be followed by the parties for completion of the actions decided at the conference; and (ix) Such other matters, including the disposition of pending motions, as may expedite and aid in the disposition of the proceeding. (b) Reporting. A verbatim record of the conference will not be kept unless directed by the Administrative Law Judge. (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 st… | ||||||
| 28:28:2.0.1.1.22.0.1.14 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (1) Submit to the presiding Administrative Law Judge: (i) The agreement containing consent findings; and (ii) A proposed decision and order; or (2) Notify the Administrative Law Judge that the parties have reached a full settlement and have agreed to dismissal of the action. Dismissal of the action shall be subject to the approval of the Administrative Law Judge, who may require the filing of the settlement agreement. (b) Content. Any agreement containing consent findings and a proposed decision and order disposing of a proceeding or any part thereof shall also provide: (1) That the decision and order based on consent findings shall have the same force and effect as a decision and order made after full hearing; (2) That the entire record on which any decision and order may be based shall consist solely of the complaint, notice of hearing, and any other such pleadings and documents as the Administrative Law Judge shall specify; (3) A waiver of any further procedural steps before the Administrative Law Judge; and (4) A waiver of any right to challenge or contest the validity of the decision and order entered into in accordance with the agreement. (c) Disposition. In the event an agreement containing consent findings and an interim decision and order is submitted, the Administrative Law Judge, within thirty (30) days or as soon as practicable thereafter, may, if satisfied with its timeliness, form, and substance, accept such agreement by entering a decision and order based upon the agreed findings. In his or her discretion, the Administrative Law Judge may conduct a hearing to determine the fairness of the agreement, consent findings, and proposed decision and order. | ||||||
| 28:28:2.0.1.1.22.0.1.15 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 68.18 Discovery—general 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. (b) Scope of discovery. Unless otherwise limited by order of the Administrative Law Judge in accordance with the rules in this part, the parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the proceeding, including the existence, description, nature, custody, condition, and location of any books, documents, or other tangible things, and the identity and location of persons having knowledge of any discoverable matter. (c) Protective orders. Upon motion by a party or the person from whom discovery is sought, and for good cause shown, the Administrative Law Judge may make any order that justice requires to protect a party or person from annoyance, harassment, embarrassment, oppression, or undue burden or expense, including one or more of the following: (1) The discovery not be had; (2) The discovery may be had only on specified terms and conditions, including a designation of the time, amount, duration, or place; (3) The discovery may be had only by a method of discovery other than that selected by the party seeking discovery; or (4) Certain matters not relevant may not be inquired into, or that the scope of discovery be limited t… | ||||||
| 28:28:2.0.1.1.22.0.1.19 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: Adjudicatory proceeding means an administrative judicial-type proceeding, before the Office of the Chief Administrative Hearing Officer, commencing with the filing of a complaint and leading to the formulation of a final agency order; Administrative Law Judge means an Administrative Law Judge appointed pursuant to the provisions of 5 U.S.C. 3105; Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559; Certification means a formal assertion in writing of the specified fact(s), signed by the person(s) making the certification and thereby attesting to the truth of the content of the writing, except as follows: (1) Certified court reporter means a person who has been deemed by an appropriate body to be qualified to transcribe or record testimony during formal legal proceedings, (2) Certified mail means a form of mail similar to registered mail by which sender may require return receipt from addressee, and (3) Certified copy means a copy of a document or record, signed by the officer to whose custody the original is entrusted, thereby attesting that the copy is a true copy; Certify means the act of executing a certification; Chief Administrative Hearing Officer 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… | ||||||
| 28:28:2.0.1.1.22.0.1.20 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (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 (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. (b) The request may be served on any party without leave of the Administrative Law Judge. (c) The request shall: (1) Set forth the items to be inspected either by individual item or by category; (2) Describe each item or category with reasonable particularity; and (3) Specify a reasonable time, place, and manner of making the inspection and performing the related acts. (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. (e) The response shall state, with respect to each item or category: (1) That inspection and related activities will be permitted as requested; or (2) That objection is made in whole or in part, in which case the reasons for objection shall be stated. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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: (1) A written statement denying specifically the relevant matters of which an admission is requested; (2) A written statement setting forth in detail the reasons why he/she can neither truthfully admit nor deny them; or (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. (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. (d) Any matter admitted under this section is conclusively established unless the Administrative Law Judge upon motion permits withdrawal or amendment of the admission. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) When, how, and by whom taken. The following procedures shall apply to depositions: (1) Depositions may be taken by oral examination or upon written interrogatories before any person having power to administer oaths. The party taking a deposition upon oral examination shall state in the notice the method by which the testimony shall be recorded. Unless the Administrative Law Judge orders otherwise, it may be recorded by sound, sound-and-visual, or stenographic means, and the party taking the deposition shall bear the cost of the recording. Any party may arrange for a transcription to be made from the recording of a deposition taken by non-stenographic means. (2) Each witness testifying upon deposition shall testify under oath and any other party shall have the right to cross-examine. The questions asked and the answers thereto, together with all objections made, shall be recorded as provided by paragraph (b)(1) of this section. The person administering the oath shall certify in writing that the transcript or recording is a true record of the testimony given by the witness. The witness shall review the transcript or recording within thirty (30) days of notification that it is available and subscribe in writing to the deposition, indicating in writing any changes in form or substance, unless such review is waived by the witness and the parties by stipulation. (c) Motion… | ||||||
| 28:28:2.0.1.1.22.0.1.23 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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 §§ 68.18 through 68.22 fails to respond adequately or objects to the request or to any part thereof, or fails to permit inspection as requested, the discovering party may move the Administrative Law Judge for an order compelling a response or inspection in accordance with the request. A party who has taken a deposition or has requested admissions or has served interrogatories may move to determine the sufficiency of the answers or objections thereto. Unless the objecting party sustains his or her burden of showing that the objection is justified, the Administrative Law Judge may order that an answer be served. If the Administrative Law Judge determines that an answer does not comply with the requirements of the rules in this part, he or she may order either that the matter is admitted or that an amended answer be served. (b) The motion shall set forth and include: (1) The nature of the questions or request; (2) The response or objections of the party upon whom the request was served; (3) Arguments in support of the motion; and (4) A certification that the movant has in good faith conferred or attempted to confer with the person or party failing to make the discovery in an effort to secure information or material without action by the Administrative Law Judge. (c) If a party, an officer or an agent of a party, or a witness, fails to comply with an order, including, but not limited to, an order for the taking of a deposition, the production of documents, the answering of interrogatories, a response to a request for admissions, or any other order of the Administrative Law Judge, the Administrative Law Judge may, for the purposes of permitting resolution of the relevant issues and disposition of the proceeding and to avoid unnecessary delay, take the following actions: (1) Infer and conclude that the admission, testimony, documents, or other evidence would have been adverse to the non-complying part… | ||||||
| 28:28:2.0.1.1.22.0.1.24 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness; (2) The deposition of an expert witness may be used by any party for any purpose, unless the Administrative Law Judge rules that such use would be unfair or a violation of due process; (3) The deposition of a party or of anyone who at the time of taking the deposition was an officer, director, or duly authorized agent of a public or private corporation, partnership, or association which is a party, may be used by any other party for any purpose; (4) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the Administrative Law Judge finds: (i) That the witness is dead; (ii) That the witness is out of the United States or more than 100 miles from the place of hearing unless it appears that the absence of the witness was procured by the party offering the deposition; (iii) That the witness is unable to attend to testify because of age, sickness, infirmity, or imprisonment; (iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or (v) Upon application and notice, that such exceptional circumstances exist to make it desirable, in the interest of justice, and with due regard to the importance of presenting the testimony of witnesses orally in open hearing, to allow the deposition to be used; (5) If only part of a deposition is offered in evidence by a party, any other party may require him or her to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts; and (6) Substitution of parties does not affect the right to use depositions previously taken; and, when a proc… | ||||||
| 28:28:2.0.1.1.22.0.1.25 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (c) Any person served with a subpoena … | ||||||
| 28:28:2.0.1.1.22.0.1.26 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) Time limit for requesting. Except for good cause arising thereafter, requests for continuances must be filed not later than fourteen (14) days prior to the date of the scheduled proceeding. (c) How filed. Motions for continuances shall be in writing, unless made during the prehearing conference or the hearing. Copies shall be served on all parties. Any motions for continuances filed fewer than fourteen (14) days before the date of the scheduled proceeding shall, in addition to the written request, be telephonically communicated to the Administrative Law Judge or a member of the Judge's staff and to all other parties. (d) Ruling. Time permitting, the Administrative Law Judge shall enter a written order in advance of the scheduled proceeding date that either grants or denies the request. Otherwise, the ruling shall be made orally by telephonic communication to the party requesting the continuance, who shall be responsible for telephonically notifying all other parties. Oral orders shall be confirmed in writing by the Administrative Law Judge. | ||||||
| 28:28:2.0.1.1.22.0.1.28 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (1) Conduct formal hearings in accordance with the provisions of the Administrative Procedure Act and of this part; (2) Administer oaths and examine witnesses; (3) Compel the production of documents and appearance of witnesses in control of the parties; (4) Compel the appearance of witnesses by the issuance of subpoenas as authorized by law; (5) Issue decisions and orders; (6) Take any action authorized by the Administrative Procedure Act; (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 (8) Take other appropriate measures necessary to enable him or her to discharge the duties of the office. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (1) By delivering a copy to the individual, party, partner of a party, officer of a corporate party, registered agent for service of process of a corporate party, or attorney or representative of record of a party; (2) By leaving a copy at the principal office, place of business, or residence of a party; (3) By mailing to the last known address of such individual, partner, officer, or attorney or representative of record; or (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. (b) Service of the complaint and notice of hearing is complete upon receipt by the addressee. (c) In circumstances where the Office of the Chief Administrative Hearing Officer or the Administrative Law Judge encounters difficulty with perfecting service, the Chief Administrative Hearing Officer or the Administrative Law Judge may direct that a party execute service of process. | ||||||
| 28:28:2.0.1.1.22.0.1.30 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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. (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. (e) The disqualification procedures in this section apply to reviews by the Chief Administrative Hearing Officer conducted under § 68.53 or § 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 § 68.53 or 68.54. | ||||||
| 28:28:2.0.1.1.22.0.1.31 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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: (1) An attorney at law who is admitted to practice before the federal courts or before the highest court of any state, the District of Columbia, or any territory or commonwealth of the United States, may practice before the Administrative Law Judges. An attorney's own representation that the attorney is in good standing before any of such courts shall be sufficient proof thereof, unless otherwise ordered by the Administrative Law Judge. (2) A law student, enrolled in an accredited law school, may practice before an Administrative Law Judge. The law student must seek advance approval by filing a statement with the Administrative Law Judge proving current participation in a legal assistance program or clinic conducted by the law school. Practice before the Administrative Law Judge shall be under direct supervision of a faculty member or an attorney. An appearance by a law student shall be without direct or indirect remuneration. The Administrative Law Judge may determine the amount of supervision required of the supervising faculty member or attorney. (3) An individual who is neither an attorney nor a law student may be allowed to provide representation to a party upon a written order from the Administrative Law Judge assigned to the case granting approval of the represe… | ||||||
| 28:28:2.0.1.1.22.0.1.34 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) Dismissal—Abandonment 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: (1) A party or his or her representative fails to respond to orders issued by the Administrative Law Judge; or (2) Neither the party nor his or her representative appears at the time and place fixed for the hearing and either (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 (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. (c) Default—Failure to appear. A default decision, under § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) Any affidavits submitted with the motion shall set forth such facts as would be admissible in evidence in a proceeding subject to 5 U.S.C. 556 and 557 and shall show affirmatively that the affiant is competent to testify to the matters stated therein. When a motion for summary decision is made and supported as provided in this section, a party opposing the motion may not rest upon the mere allegations or denials of such pleading. Such response must set forth specific facts showing that there is a genuine issue of fact for the hearing. (c) The Administrative Law Judge shall enter a summary decision for either party if the pleadings, affidavits, material obtained by discovery or otherwise, or matters officially noticed show that there is no genuine issue as to any material fact and that a party is entitled to summary decision. (d) Form of summary decisions. Any final order entered as a summary decision shall conform to the requirements for all final orders. A final order made under this section shall include a statement of: (1) Findings of fact and conclusions of law, and the reasons therefor, on all issues presented; and (2) Any terms and conditions of the final order. (e) Hearings on issue of fact. Where a genuine question of material fact is raised, the Administrative Law Judge sha… | ||||||
| 28:28:2.0.1.1.22.0.1.39 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) Jurisdiction. The Administrative Law Judge shall have jurisdiction to decide all issues of fact and related issues of law. (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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) The Special Counsel shall, within one hundred and twenty (120) days of the date of receipt of the charge: (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, (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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 o… | ||||||
| 28:28:2.0.1.1.22.0.1.41 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (b) Classified or sensitive matter. (1) Without limiting the discretion of the Administrative Law Judge to give effect to any other applicable privilege, it shall be proper for the Administrative Law Judge to limit discovery or introduction of evidence or to enter such protective or other orders as in the Judge's judgment may be consistent with the objective of preventing undue disclosure of classified or sensitive matter. When the Administrative Law Judge determines that information in documents containing sensitive matter should be made available the Judge may direct the producing party to prepare an unclassified or nonsensitive summary or extract of the original. The summary or extract may be admitted as evidence in the record. (2) If the Administrative Law Judge determines that this procedure is inadequate and that classified or otherwise sensitive matter must form part of the record in order to avoid prejudice to any party, the Judge may so advise the parties and provide an opportunity for arrangements to permit a party or a representative to have access to such matter. Such arrangements may include obtaining security clearances or giving counsel for a party access to sensitive information and documents subject to assurances against further disclosure. | ||||||
| 28:28:2.0.1.1.22.0.1.43 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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 § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (b) Entry of final order. Unless an extension of time is given by the Chief Administrative Hearing Officer for good cause, the Administrative Law Judge shall enter the final order within sixty (60) days after receipt of the hearing transcript or of post-hearing briefs, proposed findings of fact, and conclusions of law, if any, by the Administrative Law Judge. The final order entered by the Administrative Law Judge shall be based upon the whole record. It shall be supported by reliable and probative evidence. The standard of proof shall be by a preponderance of the evidence. (c) Contents of final order with respect to unlawful employment of unauthorized aliens. (1) If, upon the preponderance of the evidence, the Administrative Law Judge determines that a person or entity named in the complaint has violated section 274A(a)(1)(A) or (a)(2) of the INA, the final order shall require the person or entity to cease and desist from such violations and to pay a civil penalty in an amount of: (i) Not less than $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 alie… | ||||||
| 28:28:2.0.1.1.22.0.1.53 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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: (1) An Administrative Law Judge, when issuing an interlocutory order, states in writing that the Judge believes: (i) That the order concerns an important question of law on which there is a substantial difference of opinion; and (ii) That an immediate appeal will advance the ultimate termination of the proceeding or that subsequent review will be an inadequate remedy; or (2) Within ten (10) days of the date of the entry of an interlocutory order a party requests by motion that the Chief Administrative Hearing Officer review the interlocutory order. This motion shall contain a clear statement of why interlocutory review is appropriate under the standards set out in paragraph (a)(1) of this section; or (3) Within ten (10) days of the entry of the interlocutory order, the Chief Administrative Hearing Officer, upon the Officer's own initiative, determines that such order is appropriate for interlocutory review pursuant to the standards set out in paragraph (a)(1) and issues a notification of review. This notification shall state the issues to be reviewed. (b) Stay of proceedings. Review of an Administrative Law Judge's interlocutory order will not stay the proceeding unless the Administrative Law Judge or the Chief Administrative Hearing Officer determines that the circumstances require a postponement. (c) Review by Chief Administrative Hearing Officer. Review by the Chief Administrative Hearing Officer of an interlocutory order shall be conducted in the same manner as is provided for review of final orders in § 68.54(b) through (d). An interlocutory order, or an order modifying, vacating, or remanding an… | ||||||
| 28:28:2.0.1.1.22.0.1.54 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (1) A party may file with the Chief Administrative Hearing Officer a written request for administrative review within ten (10) days of the date of entry of the Administrative Law Judge's final order, stating the reasons for or basis upon which it seeks review. (2) The Chief Administrative Hearing Officer may review an Administrative Law Judge's final order on his or her own initiative by issuing a notification of administrative review within ten (10) days of the date of entry of the Administrative Law Judge's order. This notification shall state the issues to be reviewed. (b) Written and oral arguments. (1) In any case in which administrative review has been requested or ordered pursuant to paragraph (a) of this section, the parties may file briefs or other written statements within twenty-one (21) days of the date of entry of the Administrative Law Judge's order. (2) At the request of a party, or on the Officer's own initiative, the Chief Administrative Hearing Officer may, at the Officer's discretion, permit or require additional filings or may conduct oral argument in person or telephonically. (c) Filing and service of documents relating to administrative review. All requests for administrative review, briefs, and other filings relating to review by the Chief Administrative Hearing Officer must be filed and served electronically through OCAHO's electronic filing application consistent with § 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 administrat… | ||||||
| 28:28:2.0.1.1.22.0.1.55 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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 wi… | ||||||
| 28:28:2.0.1.1.22.0.1.56 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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 § 68.52(c) or (e), § 68.54(e), or § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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 § 68.52(d) or § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (1) Filing a complaint. Subject to the electronic filing requirements of paragraph (b) of this section, a party must file a complaint either: (i) Electronically through OCAHO's electronic filing application; or (ii) By filing an original and four copies with the Chief Administrative Hearing Officer. (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: (i) Electronically through OCAHO's electronic filing application; or (ii) By filing an original and two copies with the Administrative Law Judge assigned to the case. (b) Electronic filing —(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. (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. (3) Unavailability of electronic filing application. If OCAHO's electronic … | ||||||
| 28:28:2.0.1.1.22.0.1.7 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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 —(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). (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. (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. (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 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. (b) A complaint filed pursuant to section 274A, 274B, or 274C of the INA shall contain the following: (1) A clear and concise statement of facts, upon which an assertion of jurisdiction is predicated; (2) The names and addresses of the respondents, agents, and/or their represen… | ||||||
| 28:28:2.0.1.1.22.0.1.8 | 28 | Judicial Administration | I | 68 | PART 68—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 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. (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. (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. (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. (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—RULES OF PRACTICE AND PROCEDURE FOR ADMINISTRATIVE HEARINGS BEFORE ADMINISTRATIVE LAW JUDGES IN CASES INVOLVING ALLEGATIONS OF UNLAWFUL EMPLOYMENT OF ALIENS, UNFAIR IMMIGRATION-RELATED EMPLOYMENT PRACTICES, AND DOCUMENT FRAUD | § 68.9 Responsive pleadings—answer. | 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. (b) Default. Failure of the respondent to file an answer within the time provided may be deemed to constitute a waiver of his or her right to appear and contest the allegations of the complaint. The Administrative Law Judge may enter a judgment by default. (c) Answer. Any respondent contesting any material fact alleged in a complaint, or contending that the amount of a proposed penalty or award is excessive or inappropriate, or contending that he or she is entitled to judgment as a matter of law, shall file an answer in writing. The answer shall include: (1) A statement that the respondent admits, denies, or does not have and is unable to obtain sufficient information to admit or deny each allegation; a statement of lack of information shall have the effect of a denial (any allegation not expressly denied shall be deemed to be admitted); and (2) A statement of the facts supporting each affirmative defense. (d) Reply. Complainants may file a reply responding to each affirmative defense asserted. (e) Amendments and supplemental pleadings. If a determination of a controversy on the merits will be facilitated thereby, the Administrative Law Judge may, upon such conditions as are necessary to avoid prejudicing the public interest and the rights of the parties, allow appropriate amendments to complaints and other pleadings at any time prior to the issuance of the Administrative Law Judge's final order based on the complaint. When issues not raised by the pleadings are reasonably within the scope of the original complaint and are tried by express or implied consent of the parties, they shall be treated in all respects as if they had been raised in the pleadings, and such amendments may be made as necessary to make the pleading conform to the evidence. The Administrative Law Judge may, upon reasonable notice and such terms as are just, permit supplemental pleadings setting forth transaction… | ||||||
| 40:40:17.0.1.1.5.1.1.1 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | A | Subpart A—General | § 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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | A | Subpart A—General | § 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: Accidental release means an unanticipated emission of a regulated substance or other extremely hazardous substance into the ambient air from a stationary source. Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq. ) Active 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). Administrative controls mean written procedural mechanisms used for hazard control. Administrator means the administrator of the U.S. Environmental Protection Agency. AIChE/CCPS means the American Institute of Chemical Engineers/Center for Chemical Process Safety. API means the American Petroleum Institute. Article 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. ASME means the American Society of Mechanical Engineers. CAS means the Chemical Abstracts Service. Catastrophic 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. CBI means confidential business information. Classified information means “classified information” as defined in the Classified Information Procedures Act, 18 U.S.C. App. 3, section 1(a) as “any 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.” Condensate means hydrocarbon liquid separated from natural gas that… | |||
| 40:40:17.0.1.1.5.1.1.3 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | A | Subpart A—General | § 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 § 68.115, shall comply with the requirements of this part no later than the latest of the following dates: (1) June 21, 1999; (2) Three years after the date on which a regulated substance is first listed under § 68.130; (3) The date on which a regulated substance is first present above a threshold quantity in a process; or (4) For any revisions to this part, the effective date of the final rule that revises this part. (b) By March 14, 2018, the owner or operator of a stationary source shall comply with the emergency response coordination activities in § 68.93, as applicable. (c) Within three years of when the owner or operator determines that the stationary source is subject to the emergency response program requirements of § 68.95, pursuant to § 68.90(a), the owner or operator must develop and implement an emergency response program in accordance with § 68.95. (d) By December 19, 2023, the owner or operator shall have developed plans for conducting emergency response exercises in accordance with provisions of § 68.96, as applicable. (e) The owner or operator of a stationary source shall comply with the public meeting requirement in § 68.210(b) within 90 days of any RMP reportable accident at the stationary source with known offsite impacts specified in § 68.42(a), that occurs after March 15, 2021. (f) After December 19, 2024, for any risk management plan initially submitted as required by § 68.150(b)(2) or (3) or submitted as an update required by § 68.190, the owner or operator shall comply with the following risk management plan provisions of subpart G of this part: (1) Reporting a public meeting after an RMP reportable accident under § 68.160(b)(21) as promulgated on December 19, 2019; (2) Reporting emergency response program information under § 68.180(a)(1) as promulgated on December 19, … | |||
| 40:40:17.0.1.1.5.1.1.4 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | A | Subpart A—General | § 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 §§ 68.150 to 68.185. The RMP shall include a registration that reflects all covered processes. (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 § 68.10(g), shall: (1) Analyze the worst-case release scenario for the process(es), as provided in § 68.25; document that the nearest public receptor is beyond the distance to a toxic or flammable endpoint defined in § 68.22(a); and submit in the RMP the worst-case release scenario as provided in § 68.165; (2) Complete the five-year accident history for the process as provided in § 68.42 of this part and submit it in the RMP as provided in § 68.168; (3) Ensure that response actions have been coordinated with local emergency planning and response agencies; and (4) Certify in the RMP the following: “Based 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. [… | |||
| 40:40:17.0.1.1.5.1.1.5 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | A | Subpart A—General | § 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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 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 § 68.25 of this part and complete the five-year accident history as provided in § 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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 68.22 Offsite consequence analysis parameters. | EPA | (a) Endpoints. For analyses of offsite consequences, the following endpoints shall be used: (1) Toxics. The toxic endpoints provided in appendix A of this part. (2) Flammables. The endpoints for flammables vary according to the scenarios studied: (i) Explosion. An overpressure of 1 psi. (ii) Radiant heat/exposure time. A radiant heat of 5 kw/m 2 for 40 seconds. (iii) Lower flammability limit. A lower flammability limit as provided in NFPA documents or other generally recognized sources. (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. (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 °C 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. (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. (e) Surface roughness. The owner or operator shall use either urb… | ||||
| 40:40:17.0.1.1.5.2.1.3 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 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: (1) For Program 1 processes, one worst-case release scenario for each Program 1 process; (2) For Program 2 and 3 processes: (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 § 68.22; (ii) One worst-case release scenario that is estimated to create the greatest distance in any direction to an endpoint defined in § 68.22(a) resulting from an accidental release of regulated flammable substances from covered processes under worst-case conditions defined in § 68.22; and (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. (b) Determination of worst-case release quantity. The worst-case release quantity shall be the greater of the following: (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 (2) For substances in pipes, the greatest amount in a pipe, taking into account administrative controls that limit the maximum quantity. (c) Worst-case release scenario—toxic 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. (2) For gases handled as refrigerated liquids at ambient pressu… | |||
| 40:40:17.0.1.1.5.2.1.4 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 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. (b) Scenarios to consider. (1) For each scenario required under paragraph (a) of this section, the owner or operator shall select a scenario: (i) That is more likely to occur than the worst-case release scenario under § 68.25; and (ii) That will reach an endpoint offsite, unless no such scenario exists. (2) Release scenarios considered should include, but are not limited to, the following, where applicable: (i) Transfer hose releases due to splits or sudden hose uncoupling; (ii) Process piping releases from failures at flanges, joints, welds, valves and valve seals, and drains or bleeds; (iii) Process vessel or pump releases due to cracks, seal failure, or drain, bleed, or plug failure; (iv) Vessel overfilling and spill, or overpressurization and venting through relief valves or rupture disks; and (v) Shipping container mishandling and breakage or puncturing leading to a spill. (c) Parameters to be applied. The owner or operator shall use the appropriate parameters defined in § 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. (d) Consideration of mitigation. Active and passive mitigation systems may be considered provi… | ||||
| 40:40:17.0.1.1.5.2.1.5 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 68.30 Defining offsite impacts—population. | 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 § 68.22(a). (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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 68.33 Defining offsite impacts—environment. | 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 § 68.22(a) of this part. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 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. (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 § 68.190. | ||||
| 40:40:17.0.1.1.5.2.1.8 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 68.39 Documentation. | EPA | The owner or operator shall maintain the following records on the offsite consequence analyses: (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. (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. (c) Documentation of estimated quantity released, release rate, and duration of release. (d) Methodology used to determine distance to endpoints. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | B | Subpart B—Hazard Assessment | § 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. (b) Data required. For each accidental release included, the owner or operator shall report the following information: (1) Date, time, and approximate duration of the release; (2) Chemical(s) released; (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; (4) Five- or six-digit NAICS code that most closely corresponds to the process; (5) The type of release event and its source; (6) Weather conditions, if known; (7) On-site impacts; (8) Known offsite impacts; (9) Initiating event and contributing factors if known; (10) Whether offsite responders were notified if known; and (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 § 68.168. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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: (1) Safety Data Sheets (SDS) that meet the requirements of 29 CFR 1910.1200(g); (2) Maximum intended inventory of equipment in which the regulated substances are stored or processed; (3) Safe upper and lower temperatures, pressures, flows, and compositions; (4) Equipment specifications; and (5) Codes and standards used to design, build, and operate the process. (b) The owner or operator shall ensure and document that the process is designed in compliance with recognized and generally accepted good engineering practices. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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: (1) The hazards associated with the process and regulated substances; (2) Opportunities for equipment malfunctions or human errors that could cause an accidental release; (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; (4) Any steps used or needed to detect or monitor releases; (5) Natural hazards that could cause or exacerbate an accidental release; and (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. (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. (c) The owner or operator shall document the results of the review and ensure that problems identified are resolved in a timely manner. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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. (b) The procedures shall address the following: (1) Initial startup; (2) Normal operations; (3) Temporary operations; (4) Emergency shutdown and operations; (5) Normal shutdown; (6) Startup following a normal or emergency shutdown or a major change that requires a hazard review; (7) Consequences of deviations and steps required to correct or avoid deviations; (8) Equipment inspections; and (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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 § 68.52 that pertain to their duties. For 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. (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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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. (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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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. (b) The compliance audit shall be conducted by at least one person knowledgeable in the process. (c) The owner or operator shall develop a report of the audit findings. (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. (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. (f) The next required compliance audit shall be a third-party audit when one or more of the following conditions applies: (1) An accidental release meeting the criteria in § 68.42(a) from a covered process at a stationary source has occurred; or (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 § 68.59(c). (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. (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. (3) If the final determination requires a third-party audit… | |||
| 40:40:17.0.1.1.5.3.1.7 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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 § 68.58(f) is met. (b) Third-party auditors and auditing teams. The owner or operator shall either: (1) Engage a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section; or (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: (i) Other employees of the third-party auditor firm meeting the independence criteria of paragraph (c)(2) of this section; and (ii) Other personnel not employed by the third-party auditor firm, including facility personnel. (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: (1) The third-party auditor(s) shall be: (i) Knowledgeable with the requirements of this part; (ii) Experienced with the stationary source type and processes being audited and applicable recognized and generally accepted good engineering practices; and (iii) Trained and/or certified in proper auditing techniques. (2) The third-party auditor(s) shall: (i) Act impartially when performing all activities under this section; (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; (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 c… | |||
| 40:40:17.0.1.1.5.3.1.8 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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. (b) An incident investigation shall be initiated as promptly as possible, but not later than 48 hours following the incident. (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. (d) A report shall be prepared at the conclusion of the investigation which includes at a minimum: (1) Date of incident; (2) Date investigation began; (3) A description of the incident; (4) The factors that contributed to the incident; and, (5) Any recommendations resulting from the investigation. (e) The owner or operator shall promptly address and resolve the investigation findings and recommendations. Resolutions and corrective actions shall be documented. (f) The findings shall be reviewed with all affected personnel whose job tasks are affected by the findings. (g) Incident investigation reports shall be retained for five years. (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 § 68.42: (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 (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | C | Subpart C—Program 2 Prevention Program | § 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. (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. (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. (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 § 68.42(a) but not reported under § 68.195(a), and any other noncompliance with this part. (2) The employee and their representatives may choose to report either anonymously or with attribution. (3) When a report is made to the owner or operator, a record of the report shall be maintained for three years. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (b) Information pertaining to the hazards of the regulated substances in the process. This information shall consist of at least the following: (1) Toxicity information; (2) Permissible exposure limits; (3) Physical data; (4) Reactivity data: (5) Corrosivity data; (6) Thermal and chemical stability data; and (7) Hazardous effects of inadvertent mixing of different materials that could foreseeably occur. Safety 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. (c) Information pertaining to the technology of the process. (1) Information concerning the technology of the process shall include at least the following: (i) A block flow diagram or simplified process flow diagram; (ii) Process chemistry; (iii) Maximum intended inventory; (iv) Safe upper and lower limits for such items as temperatures, pressures, flows or compositions; and, (v) An evaluation of the consequences of deviations. (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. (d) Information pertaining to the equipment in the process. (1) Information pertai… | |||
| 40:40:17.0.1.1.5.4.1.10 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (b) An incident investigation shall be initiated as promptly as possible, but not later than 48 hours following the incident. (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. (d) A report shall be prepared at the conclusion of the investigation which includes at a minimum: (1) Date of incident; (2) Date investigation began; (3) A description of the incident; (4) The factors that contributed to the incident; and, (5) Any recommendations resulting from the investigation. (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. (f) The report shall be reviewed with all affected personnel whose job tasks are relevant to the incident findings including contract employees where applicable. (g) Incident investigation reports shall be retained for five years. (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 § 68.42: (1) The report shall be completed within 12 months of the incident, unless the implementing agency approves, in writing, an extension of time; and (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (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. (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. (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. (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 § 68.67(e), compliance audits under § 68.79(d), and incident investigations under § 68.81(e). (d) The owner or operator shall provide the following authorities to employees knowledgeable in the process and their representatives: (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 § 68.69(a), based on the potential for a catastrophic release; and (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 § 68.69(a), based on the potential for a catastrophic release. (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 § 68.42(a) but not reported under § 68.195(a), and any other noncompliance with this part. (2) The emp… | |||
| 40:40:17.0.1.1.5.4.1.12 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (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. (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. (3) The owner or operator shall explain to the contract owner or operator the applicable provisions of subpart E of this part. (4) The owner or operator shall develop and implement safe work practices consistent with § 68.69(d), to control the entrance, presence, and exit of the contract owner or operator and contract employees in covered process areas. (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. (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. (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. (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… | ||||
| 40:40:17.0.1.1.5.4.1.2 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (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. (1) What-If; (2) Checklist; (3) What-If/Checklist; (4) Hazard and Operability Study (HAZOP); (5) Failure Mode and Effects Analysis (FMEA); (6) Fault Tree Analysis; or (7) An appropriate equivalent methodology. (c) The process hazard analysis shall address: (1) The hazards of the process; (2) The identification of any previous incident which had a likely potential for catastrophic consequences; (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 powe… | |||
| 40:40:17.0.1.1.5.4.1.3 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (1) Steps for each operating phase: (i) Initial startup; (ii) Normal operations; (iii) Temporary operations; (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. (v) Emergency operations; (vi) Normal shutdown; and, (vii) Startup following a turnaround, or after an emergency shutdown. (2) Operating limits: (i) Consequences of deviation; and (ii) Steps required to correct or avoid deviation. (3) Safety and health considerations: (i) Properties of, and hazards presented by, the chemicals used in the process; (ii) Precautions necessary to prevent exposure, including engineering controls, administrative controls, and personal protective equipment; (iii) Control measures to be taken if physical contact or airborne exposure occurs; (iv) Quality control for raw materials and control of hazardous chemical inventory levels; and, (v) Any special or unique hazards. (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. (b) Operating procedures shall be readily accessible to employees who work in or maintain a process. (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. … | |||
| 40:40:17.0.1.1.5.4.1.4 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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 § 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. (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. (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. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 68.73 Mechanical integrity. | EPA | (a) Application. Paragraphs (b) through (f) of this section apply to the following process equipment: (1) Pressure vessels and storage tanks; (2) Piping systems (including piping components such as valves); (3) Relief and vent systems and devices; (4) Emergency shutdown systems; (5) Controls (including monitoring devices and sensors, alarms, and interlocks) and, (6) Pumps. (b) Written procedures. The owner or operator shall establish and implement written procedures to maintain the on-going integrity of process equipment. (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. (d) Inspection and testing. (1) Inspections and tests shall be performed on process equipment. (2) Inspection and testing procedures shall follow recognized and generally accepted good engineering practices. (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. (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. (e) Equipment deficiencies. The owner or operator shall correct deficiencies in equipment that are outside acceptable limits (defined by the process safety information in § 68.65) before further use or in a safe and timely manner when necessary means are taken t… | ||||
| 40:40:17.0.1.1.5.4.1.6 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 68.75 Management of change. | EPA | (a) The owner or operator shall establish and implement written procedures to manage changes (except for “replacements in kind”) to process chemicals, technology, equipment, and procedures; and, changes to stationary sources that affect a covered process. (b) The procedures shall assure that the following considerations are addressed prior to any change: (1) The technical basis for the proposed change; (2) Impact of change on safety and health; (3) Modifications to operating procedures; (4) Necessary time period for the change; and, (5) Authorization requirements for the proposed change. (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. (d) If a change covered by this paragraph results in a change in the process safety information required by § 68.65 of this part, such information shall be updated accordingly. (e) If a change covered by this paragraph results in a change in the operating procedures or practices required by § 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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (b) The pre-startup safety review shall confirm that prior to the introduction of regulated substances to a process: (1) Construction and equipment is in accordance with design specifications; (2) Safety, operating, maintenance, and emergency procedures are in place and are adequate; (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, § 68.75. (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—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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. (b) The compliance audit shall be conducted by at least one person knowledgeable in the process. (c) A report of the findings of the audit shall be developed. (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. (e) The owner or operator shall retain the two (2) most recent compliance audit reports. (f) The next required compliance audit shall be a third-party audit when one or more of the following conditions applies: (1) An accidental release meeting the criteria in § 68.42(a) from a covered process at a stationary source has occurred; or (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 § 68.80(c). (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. (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. (3) If the final determination requires a third-party audit, the owner or operator shall comply with the requirements of § 68.80, pursuant to the schedule in paragra… | |||
| 40:40:17.0.1.1.5.4.1.9 | 40 | Protection of Environment | I | C | 68 | PART 68—CHEMICAL ACCIDENT PREVENTION PROVISIONS | D | Subpart D—Program 3 Prevention Program | § 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 § 68.79(f) is met. (b) Third-party auditors and auditing teams. The owner or operator shall either: (1) Engage a third-party auditor meeting all of the competency and independence criteria in paragraph (c) of this section; or (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: (i) Other employees of the third-party auditor firm meeting the independence criteria of paragraph (c)(2) of this section; and (ii) Other personnel not employed by the third-party auditor firm, including facility personnel. (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: (1) The third-party auditor(s) shall be: (i) Knowledgeable with the requirements of this part; (ii) Experienced with the stationary source type and processes being audited and applicable recognized and generally accepted good engineering practices; and (iii) Trained and/or certified in proper auditing techniques. (2) The third-party auditor(s) shall: (i) Act impartially when performing all activities under this section; (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; (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 c… |
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title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
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subpart TEXT,
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agency TEXT,
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