22 I&N Dec. 863 (BIA 1999)
Matter of R-S-J-
Interim Decision #3401
In re R-S-J-, Respondent
Decided June 10, 1999
U.S. Department of Justice
Executive Office for Immigration Review
Board of Immigration Appeals
For purposes of section 101(f)(6) of the Immigration and Nationality Act, 8 U.S.C. §
1101(f)(6) (1994), false oral statements under oath to an asylum officer can constitute false tes-
timony as defined by the United States Court of Appeals for the Ninth Circuit in Phinpathya v.
INS, 673 F.2d 1013 (9th Cir. 1981), rev’d on other grounds, 464 U.S. 183 (1984).
Madan Ahluwalia, Esquire, San Francisco, California, for respondent
Richard C. Cunan, Assistant District Counsel, for the Immigration and Naturalization Service
Before:
Board En Banc: DUNNE, Vice Chairman; HOLMES, HURWITZ, FILPPU,
MATHON, GUENDELSBERGER, JONES, GRANT, and SCIALABBA, Board
Members. Concurring and Dissenting Opinion: VACCA, Board Member, joined by
SCHMIDT, Chairman; HEILMAN, VILLAGELIU, COLE, and ROSENBERG,
Board Members.
GRANT, Board Member:
In a decision dated May 17, 1996, the Immigration Judge denied the
respondent’s applications for suspension of deportation and voluntary
departure.1 The Immigration Judge found that the respondent could not
establish that he had been a person of good moral character for the requisite
statutory periods because he found that the respondent had provided false
testimony in the course of his earlier interview with an asylum officer of the
Immigration and Naturalization Service. The respondent appeals. The issue
raised by the respondent is whether false oral statements made under oath
to an asylum officer can constitute “false testimony” under section
101(f)(6) of the Immigration and Nationality Act, 8 U.S.C. § 1101(f)(6)
(1994), as defined by the United States Court of Appeals for the Ninth
863
1The record reflects that the respondent abandoned his application for asylum and with-
holding of deportation at the hearing before the Immigration Judge.
Interim Decision #3401
Circuit. The respondent contends that they do not because the asylum offi-
cer is not a “tribunal.” We reject this argument and hold that false state-
ments under oath to an asylum officer can constitute false testimony for pur-
poses of section 101(f)(6) of the Act. The appeal will therefore be dis-
missed. However, because it is not clear whether the false statements admit-
ted to in this case were made under oath, the record will be remanded.
I. FACTS
The relevant facts of this case are straightforward and not in dispute.
The respondent filed an Application for Asylum and Withholding of
Deportation (Form I-589) with the San Francisco Asylum Office of the
Service on October 18, 1995. The application was prepared by another
individual. The respondent admitted that he signed the application, after
it had been mailed to him in New York, knowing that it was false,
“because he told me that under this made up story is [sic] many cases he
has filed and they had been successful.”
On November 29, 1995, the
respondent appeared in San Francisco for an interview on the application
before an asylum officer. When questioned about the facts related on the
application, the respondent answered according to the false story provid-
ed to him. The respondent later admitted to the Immigration Judge that the
story he related to the asylum officer “was false.” The asylum officer did
not testify before the Immigration Judge regarding what transpired at the
interview, and no written record of the interview was presented to the
Immigration Judge. The respondent has not alleged that he was not put
under oath by the asylum officer, but there is no affirmative evidence that
an oath was administered.
II. THE “FALSE TESTIMONY” BAR TO FINDING
GOOD MORAL CHARACTER
An alien applying for suspension of deportation bears the burden of
establishing statutory eligibility for the relief as well as showing that he
warrants a favorable exercise of discretion. See section 244(a)(1) of the Act,
8 U.S.C. § 1254(a)(1) (1994). To be statutorily eligible for suspension of
deportation, an alien seeking relief must show that he has been physically
864
2We need not determine the effect of section 309(c) of the Illegal Immigration Reform
and Immigrant Responsibility Act of 1996, Division C of Pub. L. No. 104-208, 110 Stat.
3009-546, 3009-627 (effective Apr. 1, 1997) (“IIRIRA”), amended by section 203(a) of the
Interim Decision #3401
present in the United States for a continuous period of not less that 7 years
immediately preceding the date of such application;2 that during such peri-
od he was and is a person of good moral character; and that deportation
would result in extreme hardship to the alien or his spouse, parent, or child,
who is a citizen of the United States or an alien lawfully admitted for per-
manent residence. Id.
Section 101(f)(6) of the Act states that “[n]o person shall be regarded
as, or found to be, a person of good moral character who . . . has given
false testimony for the purpose of obtaining any benefit under this Act.”
This provision of the Act has been the subject of numerous judicial and
administrative decisions. The Supreme Court has held that section
101(f)(6) of the Act does not impose a materiality requirement for false
testimony, but noted that such testimony “is limited to oral statements
made under oath . . . with the subjective intent of obtaining immigration
benefits.”
Kungys v. United States, 485 U.S. 759, 780 (1988). Hence,
false statements which appear in an application, even if the application
bears a statement of oath, do not constitute testimony within the meaning
of section 101(f)(6) of the Act. Matter of L-D-E-, 8 I&N Dec. 399 (BIA
1959). However, where false statements are uttered orally under oath, they
have been held to constitute false testimony within the meaning of section
101(f)(6) of the Act. See, e.g., Matter of Barcenas, 19 I&N Dec. 609, 612
(BIA 1988) (false statements at deportation hearing). Moreover, it has
long been held that such statements need not be uttered in administrative
or judicial proceedings, but can include statements made under oath to
government officials, including Service officers and consular officials.
Matter of Namio, 14 I&N Dec. 412, 414 (BIA 1973) (false statement
under oath to a border patrol agent); see also, e.g., Liwanag v. INS, 872
F.2d 685 (5th Cir. 1989) (“false testimony” to a Service officer during an
investigation); United States v. Baumann, 764 F. Supp. 1335 (E.D. Wis.
1991) (“false testimony” both in application for a visa at an American
consulate and in an application for citizenship); United States v. Koziy,
540 F. Supp. 25 (S.D. Fla. 1982) (same); Matter of Ngan, 10 I&N Dec.
725 (BIA 1964) (“false testimony” to a Service officer in connection with
processing a visa petition); Matter of G-L-T-, 8 I&N Dec. 403 (BIA 1959)
(“false testimony” to a Service officer in connection with an application
865
Nicaraguan and Central American Relief Act, Pub. L. No. 105-100, tit. II, 111 Stat. 2193,
2196 (Nov. 19, 1997) (“NACARA”), on the respondent’s application for suspension of depor-
tation because the respondent met the 7 years’continuous physical presence requirement prior
to the Service’s issuance of an Order to Show Cause and Notice of Hearing (Form I-221).
Interim Decision #3401
to replace a certificate of citizenship); cf. Matter of M-, 9 I&N Dec. 118
(BIA 1960) (“false testimony” to an Immigration officer at an airport with
voluntary and timely retraction). Likewise, false statements made under
oath during an interview regarding an application for naturalization have
been consistently held to constitute false testimony. In re Yao Quinn Lee
v. United States, 480 F.2d 673 (2d Cir. 1973); Berenyi v. District Director,
INS, 352 F.2d 71 (1st Cir. 1965), aff’d, 385 U.S. 630 (1967); United States
v. Abdulghani, 671 F. Supp. 754 (N.D. Ga. 1987); see also Kungys v.
United States, supra, at 806 (White, J., dissenting).
The Ninth Circuit, in which this case arises, has held that such oral
statements must be made “to a court or tribunal.” Phinpathya v. INS, 673
F.2d 1013, 1018-19 (9th Cir. 1981), rev’d on other grounds, 464 U.S. 183
(1984). Thus, this requirement by the court adds another element to the
analysis whether an alien has given “false testimony” within the scope of
section 101(f)(6) of the Act. The respondent contends that his admitted
oral misrepresentations to an asylum officer do not constitute “false testi-
mony,” because such statements were not made to “a court or a tribunal.”
As the respondent acknowledges, the Ninth Circuit has not defined what
constitutes “a court or tribunal.” However, in a decision issued while this
appeal was pending, the Ninth Circuit held that false statements made
under oath during a naturalization examination constitute false testimony
within the meaning of section 101(f)(6) of the Act. Bernal v. INS, 154 F.3d
1020 (9th Cir. 1998). For the reasons set forth below, we find it appropri-
ate, consistent with Bernal, to rule that false statements under oath to an
asylum officer, whose authority to administer oaths and take testimony is
parallel to that of a naturalization examiner, and whose authority to grant
benefits under the Act is arguably greater, likewise constitute “false testi-
mony” for purposes of section 101(f)(6) of the Act.
III. WHETHER THE ASYLUM OFFICE
CONSTITUTES A “TRIBUNAL”
The respondent argues that asylum officers cannot constitute a “tribu-
nal” because they are not “judges” and “have not been given judicial power
as has been conferred upon them by law as an immigration judge.”
However, it is clear both that the definition of a tribunal is broader than the
scope of those holding judicial office, and that Immigration Judges are not
the only “tribunal” within the immigration system.
Webster’s Dictionary defines “tribunal” as “a person or body of persons
having authority to hear and decide.” Webster’s Third New International
Dictionary 2441 (P. Gove ed. 1986). According to Black’s Law Dictionary
46 (6th ed. 1990), an “administrative tribunal” is “a particular administra-
tive agency before which a matter may be heard or tried as distinguished
866
Interim Decision #3401
from a judicial forum.” In United States ex rel. Alaska Smokeless Coal Co.
v. Lane, 250 U.S. 549, 551 (1919), the Supreme Court found that the
General Land Office is a tribunal, not merely a ministerial office, because
“like any other tribunal[,] its institution and purpose defin[e] and measur[e]
its power, the determining elements being those of fact and law, upon which
necessarily judgment must be passed.”
Thus, the fundamental attributes of an administrative tribunal are its
authority to hear and decide; its administrative nature; and its authority to
render judgments in accordance with the facts and the law. Based on these
characteristics, we can readily determine that the Asylum Office, which is a
division of the Office of International Affairs in the Immigration and
Naturalization Service, see 8 C.F.R. §§ 100.2(d)(3)(ii), 100.4(f) (1999),
constitutes a form of “administrative tribunal.”
The asylum officers assigned to each Asylum Office are designated as
“immigration officers” and are “authorized to exercise the powers and
duties of such officer as specified by the Act and [by regulation].” 8 C.F.R.
§ 103.1(j) (1999). Among those powers and duties are those set forth in per-
tinent part in section 235(a) of the Act, 8 U.S.C. § 1225(a) (1994), prior to
its amendment by the Illegal Immigration Reform and Immigrant
Responsibility Act of 1996, Division C of Pub. L. No. 104-208, 110 Stat.
3009-546 (“ IIRIRA”):
The Attorney General and any immigration officer, including [Immigration Judges],
shall have power to administer oaths and to take and consider evidence of or from
any person touching the privilege of any alien or person he believes or suspects to
be an alien to enter, reenter, pass through, or reside in the United States or concern-
ing any matter which is material and relevant to the enforcement of this Act and the
administration of the Service, and, where such action may be necessary, to make a
written record of such evidence. . . . The Attorney General and any immigration offi-
cer, including [Immigration Judges], shall have power to require by subpena the
attendance and testimony of witnesses before immigration officers and [Immigration
Judges] and the production of books, papers, and documents . . . . (Emphasis added.)
The successor provisions to section 235(a) of the Act grant similar
authority to immigration officers. See sections 235(d)(3),(4) of the Act, 8
U.S.C. §§ 1225(d)(3), (4) (Supp. II 1996). Furthermore, the status of asy-
lum officers as “immigration officer[s] who . . . ha[ve] had professional
training in country conditions, asylum law, and interview techniques” is
now specifically recognized in section 235(b)(1)(E)(i) of the Act.
The first highlighted clause in the preceding excerpt from section
235(a) of the Act establishes that the authority of asylum officers, as
immigration officers, extends to administering oaths and taking and con-
sidering oral evidence. Since “testimony” is the form of evidence that
consists of oral statements made under oath, Kungys v. United States,
supra, asylum officers, like other immigration officers, are empowered to
take testimony. The final highlighted clause, referring to the power to
867
Interim Decision #3401
compel “testimony” by subpoena, confirms this authority.3
Yet, the authority of the asylum officer extends further, to that of deter-
mining whether an alien is eligible under the law and merits a favorable
exercise of discretion to be granted asylum under section 208 of the Act, 8
U.S.C. § 1158 (Supp. II 1996), or whether the alien is entitled to withhold-
ing of deportation under section 243(h) of the Act, 8 U.S.C. § 1253(h)
(1994). See 8 C.F.R. § 208.14 (1999); 8 C.F.R. § 208.16 (1997). Such deci-
sions are guided by statute, a detailed series of regulations, the precedent
decisions of this Board, and any binding precedents of the federal courts.
An asylum officer’s decision to grant such relief is, subject to supervisory
review within the Asylum Office, final and unreviewable. Further evidence
of the adjudicative role of the asylum officers is found in the language of
the statute. Section 235(b)(1)(E)(i) of the Act identifies asylum officers
under sections 235 and 208 of the Act as “adjudicators” of asylum applica-
tions. See also 8 C.F.R. § 103.1(g)(3)(ii) (1999) (giving asylum officers
“authority to hear and adjudicate”). These factors lead us readily to con-
clude that the Asylum Office is a “tribunal” as that term is employed in the
Ninth Circuit’s ruling in Phinpathya v. INS, supra.4
Although the concurring and dissenting opinion argues to the contrary,
the weight of Ninth Circuit precedent supports the conclusion that the
868
3The concurring and dissenting opinion dismisses this argument as a “syllogism” and
contends that because these provisions are located in a subsection with the heading “Authority
Related to Inspections,” they should not be construed to apply to asylum officers. See section
235(d) of the Act. The Supreme Court rejected a similar argument in United States v. Minker,
350 U.S. 179 (1956). Minker held that the plain language of former section 235(a) of the Act
“encompasses the full range of subjects covered by the statute” and that such plain language
may not be limited by the title of the statute or the heading of a section. Id. at 185. Minker
further held that, in the absence of a specific statutory directive, a naturalized citizen could
not be compelled by the witness subpoena authority in section 235(a) of the Act to provide
testimony for the purpose of determining whether good cause exists to institute denaturaliza-
tion proceedings against that citizen. Id. at 187-88. This holding of Minker has not been
extended to aliens or even to citizens who are subpoenaed to testify as witnesses in cases
involving other citizens. See Sherman v. Hamilton, 295 F.2d 516, 518 (1st Cir. 1961) (stating
that the alien’s reliance on Minker to limit the scope of an immigration officer’s investigato-
ry authority was “wholly misplaced”), cert. denied, 369 U.S. 820 (1962); United States v.
Zuskar, 237 F.2d 528, 531-32 (7th Cir. 1956) (holding that a United States citizen subpoenaed
to testify as a witness under authority of section 235(a) of the Act cannot quash the subpoe-
na under authority of Minker), cert. denied sub nom. Budzilein v. United States, 352 U.S.
1004 (1957); cf. Lee Tin Mew v. Jones, 268 F.2d 376 (9th Cir. 1959) (involving a section
235(a) subpoena quashed under Minker in the case of a person claiming to be a citizen).
4While asylum officers no longer deny asylum in the case of an applicant who appears
to be excludable, deportable, or removable under the Act, 8 C.F.R. § 208.14(b)(2), they retain
the authority to deny asylum in the case of applicants who are maintaining valid nonimmi-
grant status. 8 C.F.R. § 208.14(b)(3). Asylum officers must communicate the denial by letter
to the applicant, stating the reasons for the denial and assessing the applicant’s credibility. 8
C.F.R. § 208.17 (1999).
Interim Decision #3401
Asylum Office, like other administrative decision-making bodies, consti-
tutes a “tribunal.” The Ninth Circuit has found that oral statements under
oath before an Immigration Judge constitute false testimony for purposes of
section 101(f)(6) of the Act. See, e.g., Paredes-Urrestarazu v. INS, 36 F.3d
801 (9th Cir. 1994) (finding that false oral statements given before an
Immigration Judge constitute “false testimony”); see also Matter of
Barcenas, supra. An alien appearing before an asylum officer has many
rights similar to an alien in deportation proceedings before an Immigration
Judge. In proceedings before Immigration Judges and asylum officers, an
alien has the right to be represented by counsel and to have an opportunity
to present evidence, witnesses, and testimony. Compare 8 C.F.R. §§
208.9(b), (d)-(g) (1999) with 8 C.F.R. §§ 3.16, 3.31, 3.34, 3.37 (1999). The
regulations at 8 C.F.R. § 208.13(a) (1999), which clearly apply to asylum
officers as well as to Immigration Judges, refer to statements made by asy-
lum applicants as “testimony.” In addition, like an Immigration Judge, an
asylum officer has the authority to administer oaths, to receive evidence,
including testimony, to maintain a record, to consider the evidence, and,
most importantly, to decide the merits of the asylum application. Compare
8 C.F.R. §§ 208.9(c)-(f) with 8 C.F.R. §§ 3.31-3.37 (1999). Given that
Immigration Judges and asylum officers have analogous authority over asy-
lum claims, we find that there is sufficient support for concluding that an
alien’s sworn false oral statements before an asylum officer, like sworn false
oral statements to an Immigration Judge, can constitute “false testimony” as
defined by the Ninth Circuit. Phinpathya v. INS, supra.5
Further support is found in case law regarding sworn oral statements
before naturalization examiners. In Bernal v. INS, supra, at 1022-23, the
Ninth Circuit found that false oral statements given under oath to Service
officers during naturalization examinations constitute “false testimony” for
869
5The concurring and dissenting opinion also argues that the Asylum Office is not a tri-
bunal, apparently because asylum officers exercise none of the official, judicially reviewable
authority contemplated by the Supreme Court when, in Chadha v. INS, 462 U.S. 919, 966
(1983), it distinguished between the roles of Congress and of an administrative agency. The
argument is curious and misplaced. The Asylum Office was created as a forum for the adju-
dication of asylum claims within the Service, independent from its “enforcement” compo-
nents, to be guided by the rules and principles of refugee and asylum law, and certainly to be
free from political pressure. See 55 Fed. Reg. 30,674, 30,679 (1990); 54 Fed. Reg. 28,964,
28,971 (1989). It would seem, therefore, that the Asylum Office is the quintessential type of
administrative tribunal, the independence of which Chadha was designed to uphold.
Moreover, for reasons already discussed, the dissent’s implication that the Asylum Office
operates outside the bounds of established substantive rules, and in that regard is to be dis-
tinguished from the Immigration Court, is simply unfounded. There are differences between
the Immigration Court and the Asylum Office, both as to the scope of their jurisdiction and
the manner of their proceedings. However, the more informal and nonadversarial type of pro-
ceeding before the Asylum Office does not dictate that the office is not a “tribunal.”
Interim Decision #3401
purposes of section 101(f)(6) of the Act, and it cited favorably this Board’s
holding in Matter of Ngan, supra, at 729, that a respondent’s oral false state-
ments, under oath, before an officer of the Service in connection with the
processing of a visa petition, constitute “false testimony” under section
101(f)(6) of the Act. See also, e.g., United States v. Ciurinskas, 148 F.3d
729 (7th Cir. 1998), aff’g 976 F. Supp. 1167 (N.D. Ind. 1997); Yao Quinn
Lee v. United States, supra; In re Haniatakis, 376 F.2d 728, 730 (3d Cir.
1967); Aboud v. INS, 876 F. Supp. 938 (S.D. Ohio 1994); United States v.
Schiffer, 831 F. Supp. 1166 (E.D. Pa. 1993), aff’d, 31 F.3d 1175 (3d Cir.
1994); United States v. Abdulghani, supra; United States v. Palciauskus,
559 F. Supp. 1294 (M.D. Fla. 1983), aff’d, 734 F.2d 625 (11th Cir. 1984);
Petition of K, 174 F. Supp. 343, 344 (D. Md. 1959). In Bernal v. INS, supra,
the Ninth Circuit held that a Service officer is “authorized ‘to take testimo-
ny concerning any matter touching or in any way affecting the admissibili-
ty of any applicant for naturalization, [and] to administer oaths.’ 8 U.S.C. §
1446(b). Thus, the statements made by an applicant in a naturalization
examination are ‘testimony’ within the meaning of 8 U.S.C. § 1101(f)(6).”6
Id. at 1023. The Ninth Circuit further found that “false oral statements made
under oath in a question-and-answer statement before an INS officer in con-
nection with any stage of the processing of a visa constitute false testimony
within the meaning of 8 U.S.C. § 1106(f)(6).” Id.
We note that a naturalization examiner and an asylum officer both pre-
side over proceedings in which they have authority to administer oaths, take
testimony, and receive evidence. See section 235(a) of the Act; compare 8
C.F.R. § 208.9(c) with 8 C.F.R. § 335.11(b) (1999). However, the asylum
officer has authority which exceeds that of the naturalization examiner.
Naturalization examiners merely recommend a course of action, 8 C.F.R. §
335.12 (1999), whereas asylum officers may grant relief and, under certain
circumstances, deny relief. 8 C.F.R. §§ 208.14(b)(1), (4). Thus, the status of
asylum officers as part of a decision-making tribunal is at least as firmly
established as that of naturalization examiners. Bernal v. INS, supra;
Phinpathya v. INS, supra; see also Kungys v. United States, supra; United
States ex rel. Alaska Smokeless Coal Co. v. Lane, supra.
Accordingly, we conclude that an asylum officer is a member of a “tri-
bunal” for purposes of the false testimony bar to establishing good moral
870
6The concurring and dissenting opinion makes a lengthy attempt to differentiate the roles
of naturalization examiners and asylum officers. We note that in Bernal, the Ninth Circuit
fairly succinctly determined that false oral statements made under oath before a naturaliza-
tion examiner constitute false testimony. Despite the length of its argument, the concurring
and dissenting opinion fails to overcome the common sense conclusion that the adjudicative
authority of asylum officers and naturalization examiners are analogous, and therefore that
false oral statements made under oath which constitute false testimony before one also con-
stitute false testimony before the other.
Interim Decision #3401
character under section 101(f)(6) of the Act, as that provision has been con-
strued in the Ninth Circuit.
IV. WHETHER THE RESPONDENT’S STATEMENTS
CONSTITUTE “TESTIMONY”
Under Phinpathya v. INS, supra, and other precedents construing sec-
tion 101(f)(6) of the Act, “false testimony” must not only have been made
to a “tribunal,” and thus not include written statements or applications, but
must also have been made under oath. Id. at 1019; see also Bernal v. INS,
supra, at 1022-23; Matter of Ngan, supra, at 729. As noted, an asylum offi-
cer has the authority to administer oaths, 8 C.F.R. § 208.9(c), and state-
ments made by an asylum applicant to an asylum officer are described as
“testimony” in 8 C.F.R. § 208.13(a). However, there is no evidence in the
record, nor any contention on appeal, regarding whether an oath was admin-
istered in this case. Thus, while we affirm the Immigration Judge’s finding
that the false statements admittedly made in this case were made to a “tri-
bunal” for purposes of Ninth Circuit law, we cannot, on the basis of this
record, determine whether such statements constitute “false testimony.”
Accordingly, we will remand the record for consideration of this question.
The dissenting and concurring opinion appears to argue, however, that
even if an oath was administered in this case and there is no factual dispute
over the nature of the respondent’s false statements to the asylum officer,
the respondent’s false statements cannot constitute “testimony” because
they were not recorded verbatim by a disinterested transcriber, as in judicial
proceedings, or set forth in a written question-and-answer format. However,
given the provisions of 8 C.F.R. § 208.9, it is unclear that the respondent’s
asylum interview was not conducted in a manner at least as formal as that
which apparently occurred in Bernal v. INS, supra.7
The chief characteristics of “testimony” are that it be delivered by a
competent witness under oath. “Testimony is a particular kind of evidence
that comes to a tribunal through live witnesses speaking under oath or affir-
mation in presence of tribunal, judicial or quasi-judicial.”
Black’s Law
Dictionary, supra, at 1476. There is no requirement that such evidence be
transcribed in order to be counted as testimony. The contrary contention is
somewhat startling, especially in the context of immigration proceedings.
Immigration Judges customarily render decisions on the basis of oral testi-
mony, immediately at the conclusion of such testimony, without the benefit
871
7In Bernal, the Service officer “recorded Mr. Bernal’s pertinent answers on the interview
form and annotated the form in red ink.” Bernal v. INS, supra, at 1022.
Interim Decision #3401
of any transcription other than their personal notes. The fact that such testi-
mony has been tape-recorded and thus is capable of being transcribed is
irrelevant. Once the witness is sworn before the Immigration Judge, as
before any tribunal, what is then said by the witness constitutes testimony.
The tapes of testimony remain untranscribed unless an appeal is taken to
this Board. Neither the act of transcription nor the existence of a written
transcript confers testimonial character upon the evidence.
The same is true in judicial proceedings, particularly criminal trials.
While a verbatim record is kept and a transcript may thereafter be prepared
by a court reporter, jurors may render their decision solely upon their rec-
ollection of testimony presented by the witnesses and other competent evi-
dence. Jurors may request “read-backs” of selected portions of the pro-
ceedings, but testimony so recalled attains no greater weight than that
recalled through the conventional exercise of memory. Other tribunals, such
as small- claims courts and traffic courts, render thousands of adjudications
yearly on the basis of sworn, but untranscribed, testimony.
The dissent’s argument seems more directed at the burden of proving
whether false testimony has occurred in the course of an asylum officer inter-
view. Here, there is no question that false statements were made. The respon-
dent acknowledged that he was aware of the falsity of the asylum claim.
However, he filed the “made up” asylum claim because it had been “success-
ful.” The respondent further admitted that when he was interviewed by the
asylum officer, he repeated the false asylum claim. See In re Haniatakis,
supra (finding that where an alien’s false written answers were repeated as
sworn oral testimony at a preliminary naturalization investigation, such state-
ments constituted false testimony). The record clearly establishes that the
respondent had the intent to deceive the asylum officer by making false oral
statements for the purpose of obtaining asylum relief, a benefit under the Act.
See Kungys v. United States, supra; Bernal v. INS, supra.
Other cases, however, may present more difficult questions of proof
regarding what transpired at the interview. It may be necessary to present
the testimony of the asylum officer before the Immigration Court, together
with notes and other evidence of what was said under oath. In many cases,
the Immigration Judge may find that there is insufficient evidence to estab-
lish that false testimony was presented. But, presuming that an oath was
administered, the issue in such cases will be not whether the asylum appli-
cant’s statements were “testimony,” but rather, whether they were “false.”
That question is not contested in this case.8
872
8We do not decide or intend to hold in this case that every instance of oral testimony
under oath before an Immigration Judge, asylum officer, or other immigration officer, which
is questioned or even disbelieved by that Judge or officer, necessarily constitutes “false testi-
mony” that bars a finding of good moral character.
Interim Decision #3401
V. CONCLUSION
False oral statements made under oath to an asylum officer for the pur-
pose of obtaining an immigration benefit, i.e., asylum or withholding of
deportation or removal, are made to a “court or tribunal” for purposes of
Ninth Circuit case law and thus constitute “false testimony” for purposes of
section 101(f)(6) of the Act. Accordingly, the respondent’s appeal will be
dismissed. Because there is no evidence in this case whether the admitted
false statements to the asylum officer were made under oath, however, the
record will be remanded for further proceedings to determine whether the
respondent was under oath at the time he gave his false testimony.
ORDER: The appeal is dismissed.
FURTHER ORDER: The record is remanded to the Immigration
Judge for further proceedings consistent with the foregoing opinion and the
entry of a new decision.
Board Member Anthony C. Moscato did not participate in the decision in
this case.
CONCURRING AND DISSENTING OPINION:
Fred W. Vacca, Board
Member, in which Paul W. Schmidt, Chairman; Michael J. Heilman,
Gustavo D. Villageliu, Patricia A. Cole, and Lory D. Rosenberg, Board
Members, joined
I respectfully concur in part and dissent in part.
I concur in the majority’s conclusion that this case must be remanded
to the Immigration Judge for a new decision. However, I believe that the
proper interpretation of the law requires the Immigration Judge to consider
substantially more than is indicated by the majority’s opinion.
The majority finds that an interview before an asylum officer consti-
tutes testimony before a “tribunal” and concludes that false statements
made under oath before such a “tribunal” constitute “false testimony,” pre-
cluding a finding of good moral character under section 101(f)(6) of the
Immigration and Nationality Act, 8 U.S.C. § 1101(f)(6) (1994). I do not
find either of these premises to be a correct reading of the statute or the law
relating to “false testimony.”
Consequently, I disagree with the majority’s conclusion that, if the
respondent’s testimony before the asylum officer was provided under oath,
he cannot establish good moral character, which is required to establish
statutory eligibility for either suspension of deportation under section
244(a) of the Act, 8 U.S.C. § 1254(a) (1994), or voluntary departure under
section 244(e) of the Act, 8 U.S.C. § 1254(e) (1994). Because false state-
ments on an asylum application or before an asylum officer may be consid-
ered in the exercise of discretion, I conclude that the respondent’s case
873
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should be remanded for a determination by the Immigration Judge as to
whether the respondent has established good moral character as a matter of
discretion and is otherwise eligible for suspension of deportation or volun-
tary departure.
I. “FALSE TESTIMONY” IN IMMIGRATION ADJUDICATIONS
The concept of “testimony” as used in section 101(f)(6) of the Act,
which provides that “one who has given false testimony for the purpose of
obtaining any benefits under this Act,” is not as straightforward as the
majority would make it out to be. As the Supreme Court stated in Barber v.
Gonzales, 347 U.S. 637, 641 (1954), “While it is true that statutory lan-
guage should be interpreted whenever possible according to common
usage, some terms acquire a special technical meaning by a process of judi-
cial construction.” See also Ippolito v. United States, 223 F.2d 154, 157 (5th
Cir. 1955) (concluding that “technical words are always interpreted in their
technical sense unless this is inconsistent with a manifested different mean-
ing”). Consequently, “the word testimony, technically construed, refers
solely to the oral utterances of witnesses under oath, and in interpreting
statutes, words having a technical meaning are to be so construed.”
Sharaiha v. Hoy, 169 F. Supp. 598, 601 (S.D. Cal. 1959) (citing Barber v.
Gonzales, supra, at 641).1
In Kungys v. United States, 485 U.S. 759 (1988), the Supreme Court
recognized that the term “testimony,” as used in section 101(f)(6) of the Act,
clearly was circumscribed in certain respects. The Court stated:
First, “testimony” is limited to oral statements made under oath. The United States
concedes that it does not include “other types of misrepresentations or concealments,
such as falsified documents or statements not made under oath.” Supplemental Brief
for United States 3. See, e.g., Sharaiha v. Hoy, 169 F. Supp. 598, 601 (S.D. Cal. 1959);
Matter of Ngan, 10 I&N Dec. 725, 726 (BIA 1964); Matter of G-L-T-, 8 I&N Dec.
403, 404-05 (BIA 1959); see also Ensign v. Pennsylvania, 227 U.S. 592, 599 . . .
(1913). Second, § 1101(f)(6) applies to only those misrepresentations made with the
subjective intent of obtaining immigration benefits.
Id. at 780. The Supreme Court’s recognition of the limits that apply to deter-
mining what constitutes “testimony” is consistent with the decisions of the
874
1Furthermore, in the general context of judicial proceedings, “false testimony” refers to
a highly specific form of recorded oral communication. Subsequent judicial decisions address
the term “testimony” in the context of discussions regarding a verbatim record of oral state-
ments made under oath. Pillsbury Co. v. Conboy, 459 U.S. 248 (1983); Douglas Oil Co. of
California v. Petrol Stops Northwest, 441 U.S. 211, 213 n.1 (1979); Chessman v. Teets, 350
U.S. 3 (1955).
Interim Decision #3401
United States Court of Appeals for the Ninth Circuit in Phinpathya v. INS,
673 F.2d 1013, 1018-19 (9th Cir. 1981), rev’d on other grounds, 464 U.S.
183 (1984), and in Bernal v. INS, 154 F.3d 1020 (9th Cir. 1998).
In Phinpathya v. INS, supra, the Ninth Circuit ruled that “[t]he term tes-
timony does not encompass all statements, or even all statements made
under oath. Testimony means a statement made by a witness under oath for
the purpose of establishing proof of a fact to a court or tribunal. It is dis-
tinguished from statements made under different circumstances, and from
evidence derived from writings and other sources.” Id. at 1018-19 (empha-
sis added) (citations omitted); see also Matter of L-D-E-, 8 I&N Dec. 399,
401 (BIA 1959) (citing Sharaiha v. Hoy, supra, and holding that false state-
ments that appear in a written application, whether or not under oath, do not
constitute testimony within the meaning of 8 U.S.C. § 1101(f)(6)).
Subsequently, the Ninth Circuit in Bernal v. INS, supra, relying on the dis-
tinction it had made in Phinpathya v. INS, supra, ruled that false statements
regarding marital status made under oath before a naturalization examiner,
who was empowered by statute to conduct such examinations and render
judgments based on the sworn testimony taken in such examinations, con-
stituted false testimony. Thus, before concluding that every statement, or
even every statement made under oath, constitutes “testimony,” we must
examine the pertinent section of the statute and any applicable regulations
to determine whether the authority of the Immigration and Naturalization
Service officer, as well as the nature and conduct of the adjudication, war-
rant classifying the adjudication as one occurring before a “tribunal.”
The majority acknowledges that the Ninth Circuit, within whose juris-
diction this appeal arises, has not explicitly determined what type of decid-
ing body constitutes a “tribunal.” Although the majority cites a popular dic-
tionary definition for the term “tribunal,” the term is a technical one defined
by legal authorities as “[t]he seat of a judge; a court of law; the place where
he administers justice. The whole body of judges who compose a jurisdic-
tion; a judicial court; the jurisdiction which the judges exercise.” Black’s
Law Dictionary 1506 (6th ed. 1990). An “administrative tribunal” is defined
as “[a] particular administrative agency before which a matter may be heard
or tried as distinguished from a judicial forum.” Id. at 46.
Moreover, although the majority cites United States ex rel. Alaska
Smokeless Coal Co. v. Lane, 250 U.S. 549, 550 (1919), for the proposition
that being empowered to approve applications somehow endows an entity
with the status of a “tribunal,” such a designation is inapposite to the issue
at hand. That an adjudicator’s function goes beyond “mere yielding to and
registry of any demand” does not mean that he or she constitutes a tribunal,
in the sense of a formal decision-making body. Id. at 550. Instead, the char-
acterization of an adjudicator as a “tribunal” depends as much or more on
the existence of “procedural safeguards, such as the right to counsel and a
hearing before an impartial tribunal, that are present when a court or an
875
Interim Decision #3401
agency adjudicates individual rights.” INS v. Chadha, 462 U.S. 919, 966
(1983) (emphasis added) (footnote omitted). In INS v. Chadha, supra, the
Court emphasized that the exercise of quasi-judicial agency authority “is sub-
ject to the procedural safeguards, including judicial review, provided by the
Administrative Procedure Act.” Id. at 966 n.10 (citing Buckley v. Valeo, 424
U.S. 1, 140-41 (1976)). Because the absence of a formal hearing structure, the
absence of a record, and the lack of access to judicial review in relation to
interviews conducted before asylum officers are beyond dispute, the majori-
ty’s conclusion that an asylum officer constitutes a “tribunal” is questionable.
A. Statements Made Before Naturalization Examiners
and Other Judicial Officers
The majority seeks to analogize the authority of asylum officers who
conduct asylum interviews to that of naturalization officers who conduct
naturalization examinations, citing Bernal v. INS, supra. In Bernal, howev-
er, the Service officer was a naturalization examiner, who not only was
authorized by the statute to take sworn testimony in support of a natural-
ization application, but also conducted the interview in a formal and struc-
tured manner, using a “Q & A” format, recording each of the applicant’s
answers on the interview form and annotating the form in a different color
ink. Id. at 1022-23; see Matter of Ngan, 10 I&N Dec. 725 (BIA 1964) (find-
ing a visa applicant’s false oral statements made under oath in a question-
and-answer statement before a Service officer to constitute false testimony
within the meaning of section 101(f)(6) of the Act).
In reaching its conclusion that the false statements made by the appli-
cant constituted false testimony within the meaning of section 101(f)(6) of
the Act, the court relied on the statute governing naturalization examina-
tions. Bernal v. INS, supra, at 1022-23. The statute provides that a Service
officer is authorized “to take testimony concerning any matter touching or
in any way affecting the admissibility of any applicant for naturalization,
[and] to administer oaths.” Section 335(b) of the Act, 8 U.S.C. § 1446(b)
(1994). Notably, the Attorney General has designated immigration examin-
ers, and delegated authority to designate other officers, to conduct natural-
ization investigations, administer oaths, hold hearings, and conduct exami-
nations. 8 C.F.R. § 332.1 (1996).
Any comparison of the role and function of a Service official designat-
ed as a naturalization examiner with that of an asylum officer must take into
account the framework within which naturalization examinations are con-
ducted, as well as the historic function of the naturalization examiner. The
framework of such examinations is the naturalization process, which is
essentially a judicial responsibility. See United States v. Macintosh, 283
U.S. 605, 613 (1931) (recognizing that under section 3 of the Naturalization
Act, “jurisdiction to naturalize aliens is conferred upon the District Courts
876
Interim Decision #3401
of the United States and other enumerated courts of record. U.S.C. title 8, §
357”). The Supreme Court noted that “[a]s early as 1830, in Spratt v. Spratt,
4 Pet. 393, 407 . . ., Chief Justice Marshall, speaking for the court, said:
‘The various acts upon the subject submit the decision on the right of aliens
to admission as citizens to courts of record. They are to receive testimony,
to compare it with the law, and to judge on both law and fact.’ United States
v. Schwimmer, 279 U.S. 644, 649, 73 L. Ed. 889, 49 S. Ct. 448.” Id. at 617.
The examiner’s function is “intended to be of assistance to the courts.”
Petition of Cardines, 366 F. Supp. 700, 708 (D. Guam 1973) (citing Petition
of De Leo, 75 F. Supp. 896 (W.D. Pa. 1948)). As recognized in Petition of De
Leo, supra, at 900, the Act “empowers the designated naturalization examin-
ers to conduct preliminary examinations upon petitions for naturalization to
any naturalization court and to make recommendations thereon to such court.”
Petition of Cardines, supra, at 708. Furthermore, in conjunction with the nat-
uralization examiner’s special relationship to the federal court, “such exam-
iners are authorized to take testimony concerning any matter touching or in
any way affecting the admissibility of any petitioner for naturalization.” Id.;
see also United States v. Best, 73 F. Supp. 654 (D. Mass. 1947).
If the case before us fell squarely within the terms of the situation
addressed by the Ninth Circuit in Bernal v. INS, supra, I would not necessar-
ily disagree with the majority’s conclusion that the statements made under
oath in an asylum interview constitute testimony before a tribunal. However,
the distinction between the statutory delegation of authority to take testimo-
ny that is extended to naturalization examiners and the absence of any com-
parable delegation to asylum officers, discussed below, deserves specific
emphasis, particularly in relation to the majority’s reliance on Bernal v. INS,
supra, as a basis to conclude that the statements made by an asylum applicant
before an asylum officer constitute “testimony.”
In addition, the Board’s
treatment in Matter of Ngan, supra, of a false statement made before an immi-
gration examiner as “testimony” was specifically limited to circumstances in
which the statement was oral and not written, and in which the proceedings
could be characterized as “quasi judicial” because “the respondent was placed
under oath by an immigrant inspector and was examined in the presence of
counsel.”
Id. at 729. Consequently, I do not find the statutory authority
extended to naturalization examiners to be transferable to the asylum inter-
view context, nor do I find the specific “Q & A” format relied upon in Matter
of Ngan, supra, to reflect the character of an interview before an asylum offi-
cer, either generally or on the specific record before us.
B. Statements Made Before an Asylum Officer
An interview before an asylum officer and the asylum officer’s role and
function in the course of that interview are governed solely by the specific
provisions of the statute and regulations that relate to the adjudication of
877
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asylum applications. It is these provisions to which we must look to deter-
mine whether statements made under oath before an asylum officer consti-
tute “testimony.”
Congress has not designated either the position of “asylum officer” or
the full scope of authority to be exercised by an individual that the
Attorney General has assigned to act as an “asylum officer.” An asylum
officer’s authority derives principally from the Attorney General’s author-
ization to “establish a procedure” for an alien in the United States to seek
asylum. Section 208(a) of the Act, 8 U.S.C. § 1158(a) (Supp. II 1996). An
asylum officer, i.e., an officer of the Office of Refugees, Asylum, and
Parole, is authorized according to the authority delegated to the Attorney
General to “conduct the interview in a nonadversarial manner.” 8 C.F.R.
§ 208.9(b) (1999). The asylum officer, in connection with his or her func-
tions under the statute, is exclusively authorized by the Attorney General
only to “administer oaths, verify the identity of the applicant . . ., verify
the identity of any interpreter, present and receive evidence, and question
the applicant and any witnesses.” 8 C.F.R. § 208.9(c).
1. Restriction on Authority Under Section 235 of the Act
At no place in the statute or regulations are asylum officers delegated
authority by Congress or the Attorney General to take “testimony.” The major-
ity’s effort to bootstrap the regulatory designation of an asylum officer as an
immigration officer, in order to impose a syllogism supporting the conclusion
that the asylum officer has statutory authority to “take testimony” in an asylum
interview, and therefore to construe the interview as a tribunal, is unavailing.
First, the regulation cited by the majority says no more than that an asylum
officer is an immigration officer, who is “authorized to exercise the powers and
duties of such officer as specified by the Act and [the regulations].” 8 C.F.R.
§ 103.1(j) (1999) (emphasis added). Second, the current version of section
235(d) of the Act, 8 U.S.C. § 1225(d) (Supp. II 1996), to which the majority
looks as the source of an asylum officer’s purported authority to take testimo-
ny, is entitled “Authority Relating to Inspections.” It states no more than that,
in the course of investigatory, enforcement-related functions, certain immi-
gration officers may administer oaths and take and consider evidence, and that
such officers may subpoena “the attendance and testimony” of witnesses
before immigration officers. Sections 235(d)(3), (4) of the Act.
Such subpoena authority is universally associated with investigatory
functions. United States v. Minker, 350 U.S. 179 (1956), invoked by the
majority in support of its position that any immigration officer has authority
to call witnesses and take testimony, actually is inapposite to the issue before
us. In that case, the Court stated that the “controlling issue . . . is whether this
section empowers an immigration officer to subpoena a naturalized citizen
who is the subject of an investigation by the Service, where the purpose of the
878
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investigation is to determine if good cause exists for the institution of denat-
uralization proceedings . . . .” Id. at 181 (emphasis added). By contrast, the
question before us is not whether an asylum officer has subpoena authority
that extends to pre-enforcement investigations or credible fear determinations
under former section 235 of the Act, but whether section 235(d) of the Act and
8 C.F.R. § 103.1(j) (including an asylum officer as one of over 30 categories
of employees designated as immigration officers) confer on an asylum officer
the authority to subpoena witnesses to provide testimony in other contexts.
Cf. 8 C.F.R. § 208.9; 8 C.F.R. 208.30 (1999).2
Furthermore, the Ninth Circuit also recognizes both the preference for
limited subpoena authority and the enforcement-oriented purpose of section
235 of the Act, ruling in Lee Tin Mew v. Jones, 268 F.2d 376, 379 (1959),
that the Government failed to establish the immigration officer’s authority
to issue the administrative subpoena and stating the following:
The warrant issued . . . does not recite that the officer is carrying on an inspection of any
alien seeking “admission or readmission to or the privilege of passing through the United
States” . . . [nor that the alien] is a “person coming into the United States” who may be
required under the enactment to “state under oath” certain matters . . . [nor that] the pur-
pose of the subpoena is to take evidence “touching the privilege of any alien or person
he believes or suspects to be an alien to enter, reenter, pass through or reside in the
United States.” . . . The whole section seems to be geared to the examination of the qual-
ifications of a person arriving at the border to enter the country and reside therein.
Id. at 379 (emphasis added).3
Section 235 of the Act relates to inspection and admission of aliens, not
879
2In Cudahy Packing Co. of Louisiana v. Holland, 315 U.S. 357, 363 (1942), the Supreme
Court emphasized that the “[u]nlimited authority of an administrative officer to delegate the
exercise of the subpoena power is not lightly to be inferred. It is a power capable of oppres-
sive use, especially when it may be indiscriminately delegated and the subpoena is not return-
able before a judicial officer.” See also Peters v. United States, 853 F.2d 692, 694 (9th Cir.
1988). According to United States v. Minker, supra, at 187, such “extensive delegated author-
ity reinforces the considerations inherent in the nature of the power sought to be exercised that
make for a restrictive reading of the Janus-faced word ‘witness.’”
The Court found that
“[t]hese concerns, relevant to the construction of this ambiguously worded power . . . may
result in loss of both property and life; or of all that makes life worth living. Ng Fung Ho v.
White, 259 U.S. 276, 284 [(1922)].” Id. (citations omitted). And, despite the majority’s con-
tention that the Court’s holding in Minker has not been extended to subpoenas involving
aliens or citizens who are not themselves the target of the investigation, it is notable that the
principle cited by the Court in Ng Fung Ho v. White, supra, has been invoked repeatedly by
the federal courts in affirming the due process rights of aliens.
3Similarly, in Sherman v. Hamilton, 295 F.2d 516 (1st Cir. 1961), cert. denied, 369 U.S.
820 (1962), which is cited by the majority, the court concluded only that an authorized immi-
gration officer may administratively subpoena an alien who is himself the subject of the inves-
tigation when it precedes a deportation or exclusion hearing. Id. at 519-20 (citing section 236 of
the Act for the proposition that “Congress has expressly authorized immigration officers to
require aliens to testify in administrative hearings as to their right to remain in this country”).
Interim Decision #3401
to substantive claims for asylum, which are distinguished from the question
of admissibility and are determined “irrespective of such alien’s status.”
See sections 208(a), 235(b)(1)(A)(ii) of the Act. Notably, in pertinent part
omitted by the majority, former section 235 of the Act, which was addressed
in United States v. Minker, supra, provides that “‘[a]ll aliens arriving at
ports of the United States shall be examined by one or more immigration
officers at the discretion of the Attorney General and under such regulations
as he may prescribe.’” Id. at 180 n.1 (quoting section 235(a) of the Act).
This is consistent with the terms of section 101(a)(18) of the Act, which
defines “immigration officer” broadly to include “any employee . . . of the
Service or of the United States designated by the Attorney General, indi-
vidually or by regulation, to perform the functions of an immigration offi-
cer.” (Emphasis added.) The regulations set forth at 8 C.F.R. § 103.1(j),
which must be read in the context of section 101(a)(18) of the Act, 8 U.S.C.
§ 1101(a)(18) (1994), regarding performance of the functions of an immi-
gration officer, contains an equally broad listing of over 30 categories of
employees who are designated as immigration officers.
Asylum officers do not exercise subpoena authority in the context of
asylum interviews under either section 208 of the Act or 8 C.F.R. pt. 208.
Neither do asylum officers carry out pre-enforcement investigative func-
tions in the context of conducting asylum interviews under those sections.
Cf. section 235(b)(1)(A)(ii) of the Act; section 208(a) of the Act. The recent
amendment to the statute, including asylum officers in the inspection and
admission process under section 235 of the Act, did not exist in the statute
prior to September 30, 1996, and no such investigatory authority to take tes-
timony was extended, even for that limited purpose, when this respondent
was interviewed by an asylum officer. Certainly, it cannot be claimed that
by virtue of the authority in section 235 of the Act and 8 C.F.R. § 103.1(j)
alone, asylum officers are designated to perform the functions of a chief
patrol agent or district director to issue subpoenas under 8 C.F.R. § 287.4
(1999). Significantly, other than supervisory asylum officers, asylum offi-
cers are not authorized to perform the functions of many other immigration
officers “acting in such capacity [of one performing an inspection to deter-
mine admissibility]” to issue notices to appear under 8 C.F.R. § 239.1(a)
(1999). Furthermore, I doubt that the majority would contend that an air-
craft pilot, helicopter pilot, detention guard, contact representative, legal-
ization assistant, fingerprint specialist, or immigration information officer,
each of whom is listed along with the position of asylum officer under 8
C.F.R. § 103.1(j) as an immigration officer, is an officer to whom the
authority to subpoena and take testimony automatically extends.
The Supreme Court’s reference in United States v. Minker, supra, at
185, to the “full range of subjects covered by the statute” and the signifi-
cance of individual section headings, seized upon by the majority as justifi-
cation for its position that Minker authorizes asylum officers to take testi-
880
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mony, was made 40 years before the respondent appeared before the
Immigration Judge, nearly 30 years before an Asylum Office was estab-
lished, and 40 years before asylum officers were included in the inspection
procedure under section 235 of the Act. Obviously, the Court’s interpreta-
tion of the language of former section 235 of the Act, which only recently
has been modified to include asylum officers for a limited purpose, relied
only on section 101(a)(18) of the Act, and was not informed by 8 C.F.R. §
103.1(j), which was first promulgated in 1975. See id. Consequently, in the
context of section 235(b) of the Act, an asylum officer’s authority to take
testimony should depend on the designation of the Attorney General in per-
tinent regulations.
An asylum officer’s power to subpoena and take testimony, set forth in
section 235 of the Act, has been refined by regulations in which the
Attorney General specifically designated the role of asylum officers in con-
ducting credible fear determinations that are made in the course of the
inspection process. See 8 C.F.R. §§ 208.30, 235.3(b)(4) (1999).
Interestingly, the Attorney General has indicated her intent to limit the asy-
lum officer’s authority in this context to administering oaths, verifying the
identity of the applicant and any interpreter, presenting and receiving evi-
dence, and questioning the applicant and any witnesses. See 8 C.F.R. §
208.9(c) (referring to the authority contained in 8 C.F.R. § 208.30. No sub-
poena authority or power to take testimony is extended to asylum officers
by the Attorney General in this or any other regulation, creating a stark
inconsistency when compared to the position taken by the majority.
Furthermore, even assuming that notwithstanding the limitations in 8 C.F.R.
§§ 208.9 and 208.30, the statute controls the authority extended to all immi-
gration officers who participate in the inspection and admission process,
such investigatory authority to issue subpoenas or take testimony exists
only in the context of the asylum officer’s role in an inspection and admis-
sion function, and no more.
2. Authority In an Asylum Interview
In addition, in 1995, the Attorney General amended the regulations and
comprehensively restricted the asylum officers’ authority over asylum
applications. With the limited exception of nonimmigrants who are present-
ly in a lawful status, an asylum officer has been divested of authority to
deny an application for asylum and reduced merely to screening and grant-
ing all applications in which the applicant is subject to removal, or referring
the applicant’s case to an Immigration Judge for an exclusion or deportation
hearing. Compare 8 C.F.R. § 208.14(b)(2) (1995) with 8 C.F.R. § 208.14(a)
(1994). As the preamble to the 1995 regulations specifically states, “Asylum
officers would no longer deny applications from persons who are exclud-
able or deportable, but instead would refer such cases directly to an immi-
881
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gration judge for adjudication.” 59 Fed. Reg. 62,284, 62,294 (1994) (to be
codified at 8 C.F.R. pt. 208). The amendment of the regulations effective-
ly removed the two principal functions—preparing a written assessment of
the claim and rendering a written decision—that would require, or at least
provide an impetus for, in the majority of asylum interviews, an asylum
officer to keep an accurate and reliable record of the applicant’s statements
during the interview. See 8 C.F.R. § 208.18(c) (1994).
Furthermore, the majority’s contentions that an asylum officer has
“analogous authority over asylum claims” as the authority exercised by an
Immigration Judge, and specifically, that an asylum officer has authority
to “maintain a record” or “most importantly, to decide the merits of the
asylum application” are blatantly incorrect. See Matter of R-S-J-, 22 I&N
Dec. 3401, at 8 (BIA 1999). First, unlike an Immigration Judge, an asy-
lum officer does not conduct a “hearing,” and unlike an asylum applica-
tion adjudicated in a hearing conducted before an Immigration Judge,
there is no judicial review of the content or result of an asylum interview.
Second, in stark contrast to the “interview” conducted by an asylum offi-
cer, the regulations mandate that in proceedings before an Immigration
Judge, “[t]estimony of witnesses appearing at the hearing shall be under
oath or affirmation.” 8 C.F.R. § 3.34 (1999). “The only recording equip-
ment permitted in the proceeding will be the equipment used by the
Immigration Judge to create the official record.” 8 C.F.R. § 3.28 (1999).
Third, recent amendments to the regulations have circumscribed the
authority of asylum officers.
As noted, with the exception of applications filed by nonimmigrants
who presently are in a lawful status, asylum officers no longer have any
authority to deny asylum. 8 C.F.R. 208.14(b) (1999). Consequently, the
majority is in error when it contends that asylum officers exercise greater
authority than naturalization examiners, because the former grant or deny,
while, in the majority of cases, the latter only recommend a course of
action. To say that an asylum officer’s authority is comparable to that of an
Immigration Judge, or that she has greater authority than a naturalization
examiner, is utterly without support. Moreover, an asylum officer’s author-
ity certainly cannot be said to be “at least as firmly established,” having
been restricted just 3 years ago. Matter of R-S-J-, supra, at 10.
Significantly, in the vast majority of cases, asylum officers no longer
are responsible for preparing and issuing a written “Notice of Intent to
Deny,” and no longer are responsible for issuing a written decision address-
ing either an applicant’s veracity or credibility or the merits of his or her
claim. When an asylum officer is unable to grant asylum based on the appli-
cation and the interview, the asylum officer must refer the applicant for a
full hearing before an Immigration Judge, at which the applicant may sub-
mit an asylum application anew that will be adjudicated on the record. 8
C.F.R. § 208.14(b)(2). The asylum officer keeps no record, makes no rec-
882
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ommendation for purposes of a hearing before the Immigration Judge, and
enters no substantive adverse decision as a result of the interview conduct-
ed. Yet it is the interview underlying such a referral to the Immigration
Judge to which the majority would look to conclude that the statements
made by an asylum applicant constitute “false testimony.”
The informal, nonadversarial procedures followed by asylum officers
severely limit the reliability of any statements later alleged to have been
made by an asylum applicant during his interview with an asylum officer.
Interviews before asylum officers are not conducted in the more formal and
structured “Q & A” format that is typical of naturalization examinations, or
other highly structured interview situations, which often include a specific
recording of the alien’s statements. See, e.g., Stokes v. INS, No. 74 Civ. 1022
(S.D.N.Y. Nov. 10, 1976) (final judgment) (requiring the Service to conduct
visa petition interviews based on a marriage in a recorded question and
answer format). In such cases, the question whether or not “false testimo-
ny” may have been presented is not dependent on the vagaries of recollec-
tion and subjective interpretation. By contrast, an interview before an asy-
lum officer contains neither the formality nor the detail produced by a for-
mal “Q & A” or recorded hearing. Consequently, not only are the assur-
ances of accuracy and reliability that are present in more structured cases
absent, but we are not presented with any tangible record to review.
This is a crucial distinction. In Matter of S-S-, 21 I&N Dec. 121 (BIA
1995), we held that in order for the Board to fully and fairly consider the
effect of a decision by an asylum officer on a later application before an
Immigration Judge, the record of the interview must contain a meaningful,
clear, and reliable summary of the statements made by the applicant. In the
alternative, we recognized that a record of the interview might be preserved
in a handwritten account of the specific questions asked of the applicant and
his specific responses, or through transcription of an electronic recording,
rejecting the “obviously . . . informal, personal notations of the asylum offi-
cer that were never intended to be a formal summary of the interview.” Id.
at 123. This is so because, while they were made at the time of the respon-
dent’s interview, such notes were “randomly organized, cryptic to all but the
note-taker, and partially illegible.” Id. The majority’s concession that deter-
mining whether an alien has given “false testimony” before an asylum offi-
cer “may present more difficult questions of proof” is telling and raises
practical concerns that belie its insistence that we establish a rule that
statements before asylum officers constitute “false testimony.” Matter of R-
S-J-, supra, at 12.
Under circumstances in which there is no record of the interview, and
the interviewer lacks any authority to deny the claim, I do not see how we
can determine whether the statements were in fact “false testimony,” even if
they were made under oath and even if the respondent admits that he
affirmed false statements made in his asylum application. I note, in addi-
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tion, that the Third Circuit has questioned even the reliability of record “Q
& A” statements. See Marincas v. Lewis, 92 F.3d 195 (3d Cir. 1996) (find-
ing reliance on such records to establish an alien’s incredibility to be inap-
propriate); see also Balasubramanrim v. INS, 143 F.3d 157 (3d Cir. 1998)
(finding reliance on statements given to airport inspectors not dispositive).
In the instant case, there is even less of a record upon which to judge
whether the respondent made any false statements during the asylum inter-
view. Nevertheless, the majority not only would make an adverse credibili-
ty finding and conclude that the respondent lacks good moral character as a
matter of fact, but would bar the respondent from showing good moral char-
acter as a matter of law. This goes much further than the law or this record
allows.
Every false statement made under oath does not necessarily constitute
false testimony that is punishable under the law. As the Ninth Circuit
emphasized in Phinpathya v. INS, supra, at 1019, “Had Congress intended
sections 1101(f)(6) and 1254(a)(1) to encompass all statements, or even all
statements under oath, it would have so provided,” citing the explicit provi-
sion in 18 U.S.C. § 1001 that punishes the making or use of any “false, fic-
titious or fraudulent statements or representations, or . . . any false writing
or document.” The court reasoned:
By limiting sections 1101(f)(6) and 1254(a)(1) to “false testimony,” Congress deliber-
ately provided that only a narrow class of statements and representations would con-
stitute conclusive proof of lack of good moral character. The drastic consequences of
the statute, which renders an alien who has given false testimony automatically ineli-
gible for suspension of deportation, provides further support for a narrow interpreta-
tion of “false testimony.”
Id.
The limitations on what types of statements constitute false testimony
encompass both the forum in which the statements are made and the format
in which they are reported. For example, a material false statement—oral or
written—to an executive branch agency regarding a matter within its juris-
diction is punishable as a criminal offense. 18 U.S.C. § 1001 (Supp. II
1996). However, this must be distinguished from a false statement to a judi-
cial branch adjudicator, before whom such a false statement is not punish-
able under 18 U.S.C. § 1001. See Hubbard v. United States, 514 U.S. 695
(1995). The criminal code explicitly sets forth the crime of making false
statements to a naturalization officer. 18 U.S.C. § 1015 (1994 & Supp. II
1996). Of even greater contrast is the requirement that testimony before a
tribunal be established to be false to constitute perjury under 18 U.S.C. §
1621 (1994).
Similarly, to the extent pertinent here, the Jencks Act, 18 U.S.C. §
3500(b) (1994), requires the Government, on the defendant’s motion, to
produce any “statement” of a “witness called by the United States.” The
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term “statement” is defined in the Jencks Act as the witness’s signed or
adopted written statement, a “substantially verbatim” recording or tran-
scription of the witness’s oral statement, or any testimony the witness has
given to a grand jury. 18 U.S.C. § 3500(e); see also United States v. Sasso,
59 F.3d 341, 351 (2d Cir. 1995); United States v. Ben M. Hogan Co., 769
F.2d 1293, 1300-01 (8th Cir. 1985) (prosecutor’s witness interview notes
containing fragmentary quotes not “statements” covered in their entirety by
the Jencks Act). This is pertinent because the Jencks Act distinguishes
between types of statements, all of which must have the ring of reliability
to them. It is clear from the foregoing provisions that Congress makes a dis-
tinction between testimony and other forms of evidence. See also Fed. R.
Crim. P. 26; Fed. R. Civ. P. 43(a); Fed. R. Evid. 602, 603, 613.
Such distinctions are consistent with the conclusions reached by the
Ninth Circuit in the immigration context. The court in Phinpathya v. INS,
supra, at 1018-19, referring to a deportation hearing conducted on the
record before an Immigration Judge, held that because the petitioner’s false
statements were written on her application for suspension of deportation,
they were not statements made in that hearing by a witness under oath to
establish proof of a fact to a court or tribunal and did not qualify as false
testimony. As in Phinpathya, where the court emphasized that the record
was unclear as to whether the respondent affirmed the statements made on
her application, the transcript before us reflects only that the respondent
agreed that he “went accordingly” with the application his attorney had pre-
pared. Contrary to the majority’s reading, the respondent does not admit
that he actually made statements under oath before the asylum officer in
which he lied or even repeated the false information in the application.
While he admitted that when he signed the application before the asylum
officer he knew the information on the application was false, the respondent
acknowledged only equivocally that he answered “according to the story.”
This does not establish that “[t]he same false statements, however, were
given orally as testimony at the preliminary investigation, and this brings
the case clearly within the proscription of the statute. See Matter of G-L-T-, 8
I&N 403 (1959).” In re Haniatakis, 376 F.2d 728, 730 (3d Cir. 1967).
In light of the authorities discussed above, and the state of the record
before us, I conclude that whether or not the asylum officer placed the
respondent under oath, false statements made before an officer who is not
expressly authorized by Congress to take testimony and who does not cre-
ate a record cannot be deemed “false testimony” precluding the respondent
from an opportunity to demonstrate that a discretionary finding of good
moral character under section 101(f)(6) of the Act is warranted.
This is not to say that the asylum officer did not diligently undertake
his or her duties. The annotations on the asylum application constitute the
asylum officer’s recollections and impressions of the alien’s statements, not
the alien’s actual statements, and the respondent has acknowledged that his
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former attorney specifically included false and inaccurate information on
his written application. The critical fact is that this is only an application,
and it does not constitute testimony. Although it is a false application and a
false statement, it is not “false testimony.” I cannot in good conscience
impose upon an alien the stigma of “false testimony,” barring any showing
of good moral character pursuant to section 101(f)(6) of the Act, under
these circumstances. The record is simply not specific and detailed enough
to support that conclusion, and the statutory authority designated to an asy-
lum officer does not warrant such a conclusion. Accordingly, I would hold
that false statements made on an application before an asylum officer do not
constitute “false testimony.”
II. GOOD MORAL CHARACTER IN THE EXERCISE
OF DISCRETION
The issue of whether the respondent has established good moral char-
acter is a matter of discretion that must be determined in the first instance
by the Immigration Judge. I do not need to reach and express no opinion as
to whether the exercise of discretion is warranted in this case. I note, how-
ever, that whether discretionary relief is warranted requires an examination
and a balancing of favorable and adverse factors. See Matter of Gamboa, 14
I&N Dec. 244, 248 (BIA 1972) (holding that in exercising discretion on a
voluntary departure application, the special inquiry officer may take into
account many factors, including the alien’s prior immigration history, the
nature of his entry or entries, and compensating elements such as long res-
idence, close family ties, or humanitarian needs); see also Matter of S-, 6
I&N Dec. 692 (A.G. 1955). To be considered fair and reasonable, a decision
based on the exercise of discretion must contain “‘reasons which show that
it has properly considered the facts which bear on its decision.’” Prapavat
v. INS, 662 F.2d 561, 562 (9th Cir. 1981) (quoting Mejia-Carrillo v. INS,
656 F.2d 520, 522 (9th Cir. 1981)).
When the Board denies relief as a matter of discretion, it may not exer-
cise its discretion arbitrarily. Mattis v. INS, 774 F.2d 965, 968 (9th Cir.
1985) (citing Patel v. INS, 741 F.2d 1134, 1136 (9th Cir. 1984)); see also
Watkins v. INS, 63 F.3d 844, 850 (9th Cir. 1995) (reaffirming that “‘[w]hile
agencies must have significant flexibility to adapt their practices to meet
changed circumstances or the facts of a particular case . . . [they] abuse their
discretion no less by arriving at plausible decisions in an arbitrary fashion
than by reaching unreasonable results’” (quoting Yepes-Prado v. INS, 10
F.3d 1363, 1370 (9th Cir. 1993))); Batoon v. INS, 791 F.2d 681, 684 (9th
Cir. 1986) (en banc) (upholding review for abuse of discretion). For almost
2 decades, the Ninth Circuit has made clear that discretionary denials must
show that the Board, and the Immigration Judges, weighed both favorable
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and unfavorable factors. De La Luz v. INS, 713 F.2d 545, 546 (9th Cir.
1983); see also Ahwazi v. INS, 751 F.2d 1120, 1122-23 (9th Cir. 1985)
(emphasizing that the Board must state its reasons and show proper consid-
eration of all factors when weighing equities and denying relief);
Contreras-Buenfil v. INS, 712 F.2d 401, 403 (9th Cir. 1983); Ramirez-
Gonzalez v. INS, 695 F.2d 1208, 1213 (9th Cir. 1983); Chae Kim Ro v. INS,
670 F.2d 114, 116 (9th Cir. 1982); Villena v. INS, 622 F.2d 1352, 1361 n.12
(9th Cir. 1980). Accordingly, the Board has consistently required that all
relevant factors must be considered individually and cumulatively. Matter
of O-J-O-, 21 I&N Dec. 381 (BIA 1996); Matter of Anderson, 16 I&N Dec.
596 (BIA 1978); Matter of Riccio, 15 I&N Dec. 548 (BIA 1976).
Although we need not weigh or balance here any of the positive and
adverse factors that must be considered individually or cumulatively, I do
note that the record contains evidence that the respondent has been in the
United States since 1983, a period of 15 years, that he is 45 years of age,
and that he has worked in a stable position at Barrier Oil Company for the
past 10 years, starting as a service representative and moving up to the posi-
tion of service station supervisor. The record also indicates that the respon-
dent suffered a heart attack in 1995, and that he has been taking medication
for a heart condition and has suffered additional heart problems requiring
hospitalization since that time. The record also contains information that the
respondent is a member of a religious group in the United States and has
formed meaningful religious and personal ties to that group and its mem-
bers. In addition, the respondent has documented the adverse conditions in
the Punjab, the region of India to which, as a Sikh, he would return.
In addition, the record contains affirmative evidence indicating that the
respondent has no criminal record and has not been involved in any crimi-
nal activity in the United States, and it contains no information that the
respondent ever has sought or received any federal or state public assistance
for which he was not eligible. The record contains no information indicat-
ing that the respondent has any previous record of immigration violations
of any sort. At the same time, the record does contain information that the
respondent affirmed false representations made in an asylum application,
and that he may have made further statements in the asylum interview that
perpetuated the falsehoods contained in the application. The determination
whether the respondent has demonstrated good moral character, for pur-
poses of establishing his eligibility to apply and be considered for both sus-
pension of deportation and voluntary departure, must rest on a considera-
tion of all the factors in the record. Arrozal v. INS, 159 F.3d 429, 432-33
(9th Cir. 1998).
The initial determination as to whether the respondent has established
good moral character is not before us, but is for the Immigration Judge.
Therefore, without deciding the burden of proof and discretionary questions
raised, regarding either the respondent’s good moral character alone or his
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ultimate eligibility for suspension of deportation, I would remand this
appeal to the Immigration Judge for all purposes. The respondent is entitled
to a hearing in which the Immigration Judge assesses the evidentiary fac-
tors pertaining to good moral character and makes a legal determination
concerning the respondent’s eligibility to apply for suspension of deporta-
tion in that regard, as well as in terms of whether the respondent can demon-
strate extreme hardship and merits suspension of deportation in the overall
exercise of discretion.
III. CONCLUSION
I conclude that, as a matter of law, statements provided in the asylum
interview cannot constitute the basis for a “false testimony” finding. While
the majority would remand this case to the Immigration Judge to determine
whether the respondent testified under oath during the interview before the
asylum officer, I do not view that determination dispositive, as I conclude
that even false statements made under oath before the asylum officer do not
constitute false testimony within the meaning of section 101(f)(6) of the
Act. Rather, in light of my conclusion that the respondent is not statutorily
barred from demonstrating good moral character, the case should be
remanded to allow the Immigration Judge to consider both favorable and
adverse factors bearing on whether the respondent has demonstrated good
moral character and other eligibility for discretionary relief.
888