RD Instruction 2006-B

PART 2006 - MANAGEMENT

Subpart B - State Issuances

## [TABLE OF CONTENTS]{.underline}

[Sec]{.underline}. [Page]{.underline}

2006.51 General. 1

2006.52 Responsibility and approval authority. 1

2006.53 Authorized State issuances and definitions. 2

2006.54 Coordination, clearance, and release of

State issuances. 4

2006.55 Review and approval of State issuances by

the National Office. 5

\(a\) Prior approval. 5

\(b\) Post approval. 5

\(c\) National Office submission. 6

\(d\) National Office review and approval. 6

2006.56 - 2006.60 \[Reserved\] 6

2006.61 Administrative Notice (ANs). 6

2006.62 Unnumbered Letters (ULs). 6

2006.63 State forms. 7

2006.64 National forms prescribed for individual

States. 7

2006.65 Guide Letters. 8

2006.66 Instructions. 8

2006.67 Procedure Notices (PNs). 8

2006.68 Table of Contents and Checklists. 9

2006.69 \[Reserved\] 9

2006.70 Forms reference list. 9

2006.71 Area and Local Office issuances. 9

2006.72 Maintenance of master manuals. 9

\(a\) Current material. 9

\(b\) Obsolete material. 10

\(c\) Working files of State issuances. 10

2006.73 - 2006.100 \[Reserved\] 10

## o0o

(11-07-07) PN 414

RD Instruction 2006-B

PART 2006 - MANAGEMENT

Subpart B - State Issuances

§ 2006.51 [General]{.underline}.

State issuances should be limited to those necessary to supplement
National issuances. They may not alter the Agency's policies or
procedures. State issuances should not impose unnecessary burdens or
create the need for field office staff to consult other than National
issuances unless there is a definite need. They should be clearly and
simply written. They should minimize paperwork and the cost of the
issuance should always be considered. This Instruction specifies
authorized types of State issuances and provides for a standardized
format. The Regulations and Paperwork Management Branch (RPMB), National
Office, provides assistance for matters dealing with State issuances;
program area offices will provide guidance relating to content.

§ 2006.52 [Responsibility and approval authority]{.underline}.

\(a\) The State Director is responsible for and authorized to plan,
organize, maintain, supervise, approve, and distribute State issuances
according to authorities and routines prescribed in this Instruction.

\(b\) The State Director is authorized to translate into Spanish, or
other languages if necessary, Rural Development forms used by applicants
or borrowers. Standard Government or Departmental forms may not be
translated. Agency forms translated into Spanish carry the same date and
number as the English original except that the letter \"S\" appears as a
suffix to the form number. For example, the Spanish translation of Form
RD 3550-1, \"Authorization to Release Information,\" would be \"Form RD
3550-1S.\" An English translation must accompany each Spanish form. When
transmitting translated forms on Form RD 2006-3, \"Instruction and Form
Justification,\" show the following statement in lieu of answers to the
items listed on the form: \"The translation is a true and practical
interpretation of the original.\"

\(c\) The Administrative Officer, or other official designated by the
State Director, is responsible for the coordination, clearance, and
release of State issuances; the maintenance of the State issuance
system; the continuous analyses of State issuances; and the
recommendation of improvements in issuances and operations when needed.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DISTRIBUTION: WSAL Administration

Management

## 1

## (Revision 1)

(10-08-03) PN 364

RD Instruction 2006-B

§ 2006.52 (Con.)

\(d\) All State Office officials are responsible for knowing and keeping
currently advised of all policies and procedures affecting their
operation; for developing State issuances to supplement National
issuances when necessary; and for training field personnel in the
establishment and use of new or revised issuances affecting operations
under their jurisdiction.

§ 2006.53 [Authorized State issuances and definitions]{.underline}.

\(a\) State Directors are authorized to issue to employees, the types of
issuances listed in this section. All State issuances should fall within
the definition of one of the authorized types. The format for each of
the issuances follows National issuance format.\
(Revised 11-07-07, PN 414.)

\(1\) [State Administrative Notices (ANs)]{.underline} are temporary
issuances which the State Director may use to provide limited
information or interpretation to clarify existing policies or
procedures. An AN is not used to modify, change, or establish policies
or procedures. ANs are applicable for a limited time and should be used
for one-time announcements or requests, e.g., requests for special
internal reports or reminders of continuing internal reports. ANs should
not be reissued year after year.

\(2\) [Unnumbered Letters (ULs)]{.underline} are informal letters which
the State Director may use to make general announcements of a
nonprocedural nature to inform State Agency employees about matters of
procurement, organization, or management and to inform an Agency's
borrowers about matters of general interest. An UL is not used to change
or modify existing policies or official operating procedures or to
establish new policies or procedures.

\(3\) [Forms Manual Inserts (FMIs)]{.underline} are sample copies of
forms with information on the purpose of a form; references to
Instructions requiring its use, information to be inserted on the form;
number of copies to be prepared and who is to sign; and distribution of
the form. FMIs are primarily to assist Agency employees; forms to be
completed by the public must have directions for completion available to
the public.

\(4\) [Forms]{.underline}. State forms are prescribed in State
Instructions. They are designed for use only in a particular state.

## 2

## (Revision 1) 

RD Instruction 2006-B

§ 2006.53 (a) (Con.)

\(5\) [Guide Letters]{.underline} are sample letters which prescribe the
style and contain information for use in preparing a letter or
memorandum. They are intended to save time in composition, obtain
uniformity in handling similar transactions and to expedite work flow.
They are useful when it is not practical to establish a printed form and
when it is not appropriate to use a printed letter. Guide Letters
contain cross-references to Instructions and other directives requiring
their use.

\(6\) [State Instructions]{.underline} supplement National Office
Instructions when necessary and specifically authorized to handle local
situations. They prescribe methods for conducting business, clarify
National Office Instructions, and apply State law to National Office
requirements. They are issued in the same classification and format as
National Office Instructions.

\(7\) [State Procedure Notices (PNs)]{.underline} transmit announcements
and summarize new and revised directives. They are issued in the same
format as National Office PNs.

\(8\) [Tables of Contents and Checklists]{.underline} are listings of
every current State directive indicating its classification, subject,
and date of issuance. These include table of contents and checklists for
Guide Letters, ANs and forms.

\(b\) Issuances containing reporting or recordkeeping requirements
imposed on 10 or more members of the public are prohibited except when
required by State law. Issuances required by State law which contain
these requirements must be submitted to the National Office for prior
approval in accordance with §2006.55(a).

\(1\) The term \"public\" includes applicants and borrowers. It may also
include, but is not limited to, individuals, partnerships, associations,
corporations, business trusts or legal representatives, an organized
group of persons, a State or territorial Government or branch, or a
political subdivision. It does not include agencies, instrumentalities,
or employees of the United States Government.

\(2\) \"Recordkeeping and reporting\" requirements include requirements
for the collection or recording of information. This includes
Instructions, ANs, Forms, FMIs, or Guide Letters which contain
requirements to provide information or maintain records. It includes
repetitive or single-time requests.

## 3

(10-08-03) PN 364

RD Instruction 2006-B

§ 2006.53(b)(Con.)

\(3\) The term \"10 or more\" means that answers are required to
identical questions from 10 or more members of the public or that 10 or
more members of the public are required to keep records. When
determining whether there is \"10 or more\", if the primary or principal
respondents must obtain from others the same information that is
requested of them (e.g., prime contractors obtaining information from
their subcontractors), the secondary respondents are also included in
the total number.

\(c\) State Directors may request the National Office to issue a
National form or instruction if there is a need for reporting or
recordkeeping requirements to be imposed on 10 or more members of the
public which is not already required in existing RD Instructions or by
State law. The request should be made by memorandum to the
Administrator, Attention: RPMB. The memorandum should thoroughly explain
the need for the form or Instruction and include a recommended draft.

§ 2006.54 [Coordination, clearance, and release of State
issuances]{.underline}.

The responsible official will:

\(a\) Determine the type of issuance.

\(b\) Set up a file to include the approved drafts and opinions.

\(c\) Draft and analyze the proposed issuance for effectiveness and
conformity with applicable policies and standards.

\(d\) Arrange for clearance of the proposed issuance with officials
concerned, including the St. Louis, MO, Office when appropriate.

\(e\) Coordinate comments of all interested officials. Refer differences
of opinion which cannot be reconciled to the State Director.

\(f\) After approval by interested officials, edit the proposed
issuance. All issuances must identify the originating office and date of
issuance.

\(g\) Obtain clearance of the Regional Attorney or Attorney-in-Charge
when appropriate.

\(h\) Prepare Form RD 2006-3 and necessary authorization for
application.

\(i\) Submit the proposed issuance and approved drafts and clearances to
the State Director for approval.

## 4

##  

RD Instruction 2006-B

§ 2006.54 (Con.)

\(j\) Upon approval by the State Director, arrange for distribution and
National Office clearance. See § 2006.55(a). In addition to the field
office distribution, furnish sufficient copies to the Regional Attorney
or Attorney-in-Charge, and the appropriate Regional Inspector General of
the Office of Inspector General according to arrangements between the
State Director and these officials.

\(k\) Send work file to the permanent State files.

§ 2006.55 [Review and approval of State issuances by the National
Office]{.underline}.

[All]{.underline} State issuances must be submitted to the National
Office for either prior approval or post approval. If the issuance
involves legal issues, attach a copy of the approval or recommendations
of the Regional Attorney or Attorney-in-Charge.

\(a\) [Prior approval]{.underline}.

\(1\) Submit drafts of State Instructions, State ANs, State Forms, FMIs,
and State Guide Letters to the National Office for prior approval when:

\(i\) Prior approval is specifically required by the National Office
issuance authorizing a State issuance.

\(ii\) The issuance contains reporting or a recordkeeping requirement
imposed on 10 or more members of the public and is required by State
law. (See § 2006.53(b))

\(iii\) The National Office specifically requires that a particular
State issuance or class of issuances be submitted for prior approval for
a limited time.

\(2\) Send a copy of the proposed issuance with Form RD 2006-3 to the
National Office. Upon receipt of National Office approval and
incorporation of any required changes, the State Office may release the
issuance to the field. Send two copies of the duplicated issuance to the
National Office with the PN.

\(b\) [Post approval]{.underline}. Submit State Instructions, State ANs,
State Forms, State FMIs, and State Guide Letters which do not require
prior approval to the National Office with Form RD 2006-3. [Consider
post approval issuances approved unless notified of disapproval or
conditional approval]{.underline}.

## 5

## 

(10-08-03) PN 364

RD Instruction 2006-B

§ 2006.55 (Con.)

\(c\) [National Office submission]{.underline}. The State Director sends
State issuances directly to the Division/Staff Director primarily\
responsible for the subject matter covered by the issuance. See\
RD Instruction 2003-A for the assignment of functions for National
Office organizational units.

\(d\) [National Office review and approval]{.underline}. The National
Office official to whom the issuance is sent is responsible for any
coordination needed with other National Office officials.

\(1\) [Prior approval]{.underline}. The National Office Division/Staff
Director primarily responsible for the subject matter covered by the
issuance indicates approval or disapproval on Form RD 2006-3 and
notifies the State Director of the approval or disapproval and any
recommended changes. The completed Form RD 2006-3 and a copy of the
issuance are sent to the National Office Central Files Unit.

\(2\) [Post approval]{.underline}. The National Office Division/Staff
Director primarily responsible for the subject matter covered by the
issuance indicates approval or disapproval on Form RD 2006-3 and
notifies the State Director only if the issuance is not approved or if
changes are recommended. The completed Form RD 2006-3 is sent to the
National Office Central Files Unit.

§§ 2006.56 - 2006.60 \[Reserved\]

§ 2006.61 [Administrative Notices (ANs)]{.underline}.

The AN follows the same format as the National Office AN but includes
the State Office identification. Number ANs in the order in which they
are issued. In the upper right corner of the first page of the AN,
include the classification number in parentheses after the serial
number. At the bottom left corner of the first page show an expiration
date not later than the last day of the twelfth month after the month in
which the AN is issued. At the bottom right corner of the first page of
the AN include the instructions for filing the AN in the Instruction
manual, e.g., Filing Instructions: Preceding State Instruction 1924-A.

§ 2006.62 [Unnumbered Letters (ULs)]{.underline}.

The State Director may issue an unnumbered letter for personalized
messages or other information not appropriate for ANs or Instructions.
Examples include matters of general interest to employees such as health
care programs and training opportunities, and matters of general
interest to borrowers such as recommended improved farming practices. An
UL may include items related only to Rural Development and may not
include references to specific firms or brand names unless necessary for
clarity.

## 6

##  

RD Instruction 2006-B

§ 2006.63 [State forms]{.underline}.

The State Office may issue a State form only when a Rural Development or
other form has not been prescribed for use or when a Rural Development
form cannot meet the requirements for use in the State. The form must be
essential to the conduct of Rural Development business. Area and Local
Offices are not authorized to issue forms. If Area and Local Office
employees believe that a new form is necessary, they may submit the
proposed form to the State Director for consideration as a State form.

\(a\) Assign a State form number to each State form (except one-time-use
forms) used in the field offices. The State form number will include the
State abbreviation as part of the prefix to the assigned form number
which relates to the instruction that prescribes the use of the form.
The form number is followed by a serially assigned suffix number, e.g.,
if New York had a State form to obtain information from landlords or
creditors with regard to applications for loans, the form would be
numbered RD-NY 410-1. Include the revision date under the form number.

\(b\) As a general rule, State forms are designed in the State Office
and should be made available electronically. If there are special design
problems or other reasons which prevent the form from being made
electronic at the State Office, submit the approved State form to the
National Office, RPMB, for designing an electronic version.

§ 2006.64 [National forms prescribed for individual States]{.underline}.

Because of variances in State laws, separate National forms, such as
mortgages and deeds, are prescribed for use by individual States. To
distinguish these forms from State forms, the abbreviated name of the
State is at the end of the form number. When a State Office has more
than one State under its jurisdiction, use the name of the lead State in
the form number. Include the name of the State(s) in which such a legal
form may be used in the heading of the form.

\(a\) To reorder Rural Development legal series forms when the State
Office inventory of a particular legal series form reaches a 6-month
supply, the State Director will:

\(1\) Obtain from the Regional Attorney or Attorney-in-Charge a
memorandum approving any changes in the form, or continued use without
change.

## 7

## (Revision 1)

(10-08-03) PN 364

RD Instruction 2006-B

§ 2006.64(a)(Con.)

\(2\) Forward the memorandum from the Regional Attorney or
Attorney-in-Charge to the National Office, RPMB, with any
recommendations from the State Director. Indicate the quantity on hand
in the State Office, the estimated annual usage, and the date the new
supply will be needed.

\(b\) After approval by the National Office, the form will be printed
and distributed to the State Office. When a mortgage form is revised,
the State Office will, if necessary, retain a small supply of the old
form for servicing cases as required by State law.

§ 2006.65 [Guide Letters]{.underline}.

Each State Office may issue State Guide Letters in the same format as
National Guide Letters except that the Guide Letter number will be
preceded by the two-letter state abbreviation, (for example, RD \[ND\]
Guide Letter

1930-02).

§ 2000.66 [Instructions]{.underline}.

Issue State Instructions only when authorized by National Office
Instructions for when State or local laws or regulations make it
necessary. Correlate the State Instruction with the basic National RD
Instruction. Identify State Instructions with the abbreviation of the
State or States served and assign the Instruction number of the
corresponding National RD Instruction. For example, number an Alabama
Instruction supplementing RD Instruction 1955-A as \"AL Instruction
1955-A.\" Issue only one State Instruction for each National RD
Instruction. Revise State Instructions as needed. (Revised 11-07-07, PN
414.)

§ 2006.67 [Procedure Notices (PNs)]{.underline}.

\(a\) Each State Office shall include the following in State PNs:

\(1\) General notice material,

\(2\) Material describing or listing new or revised issuances,

\(3\) Instructions for inserting and removing material from the
Instruction and forms manual,

\(4\) Instructions for changing State issuances, and

\(5\) Instructions for using, requisitioning, and disposing of new,
revised, replacement, and obsolete forms.

## 8

## (Revision 1) 

RD Instruction 2006-B

§ 2006.67 (Con.)

\(b\) Each State Office shall ensure distribution of State PNs to every
office under its jurisdiction as needed.

§ 2006.68 [Table of Contents and Checklists]{.underline}.

Each State Office shall distribute the State Table of Contents and its
subsequent revisions to every procedure manual holder under its
jurisdiction. The State Office periodically will issue a Table of
Contents or Checklist of current State Guide Letters and State ANs.
State Guide Letters and ANs omitted from the current Table of Contents
or Checklist or that have expired or have been superseded may be
destroyed.

§ 2006.69 \[Reserved\]

§ 2006.70 [Forms reference list]{.underline}.

Each State Office shall maintain, revise, and issue to every appropriate
office under its jurisdiction each new or revised State Forms Reference
List.

§ 2006.71 [Area and Local Office issuances]{.underline}.

State Directors may authorize Rural Development Managers and Community
Development Managers to distribute notices, bulletins, newsletters or
announcements to borrowers and County Committee members in counties
under their jurisdiction. These issuances are primarily for information
or reminders to borrowers. Rural Development Managers and Community
Development Managers will submit issuances to the State Office for
either prior or post approval as prescribed by the State Director.

§ 2006.72 [Maintenance of master manuals]{.underline}.

\(a\) [Current material]{.underline}. The National Office does not
require each State Office to maintain a master procedure manual of
current National Office material as the information can be found on the
Internet at <http://www.rurdev.usda.gov/regs>. The State Office,
however, is still responsible for maintaining a master procedure manual
for State issued directives. (Revised 01-25-06, PN 394.)

\(1\) One copy of each State PN for five fiscal years after the fiscal
year in which it was released. On October 1 of each year, destroy
Procedure Notices five fiscal years after the fiscal year in which it
was issued. (Revised 01-25-06, PN 394.)

## 9

## (Revision 2)

(10-08-03) PN 364

RD Instruction 2006-B

§ 2006.72(a)(Con.)

\(2\) One copy of each current State Table of Contents, State
Instruction, State PN, State AN and Checklist, State Form and Reference
List, State FMI, and State Guide Letter and Checklist issued in the
State.

\(b\) [Obsolete material]{.underline}. Each State Office will maintain a
master manual of obsolete material (superseded, revoked, revised or
otherwise replaced). When an issuance becomes obsolete, make an
appropriate notation, including the number and date of the PN which made
it obsolete, at the top of the first page of the item. Remove if from
the current manual and refile it in the obsolete master manual. Obsolete
material may be filed in a separate binder(s) by fiscal year in which it
is made obsolete. State issued materials containing one copy of each of
the following: State Instructions, State AN and AN Checklists,
bulletins, notices, newsletters and announcements, State Forms and
Checklist, State FMIs, and State Guide Letters and Checklist. On October
1 of each year, destroy this material five fiscal years after the fiscal
year in which it was made obsolete. (Revised 11-07-07,\
PN 414.)

\(c\) [Working files of State issuances]{.underline}. Each State Office
will maintain working papers, signed copies, and related correspondence
pertaining to State issuances issued by the State Director. Destroy this
material in accordance with RD Instruction 2033-A.

§§ 2006.73 - 2006.100 \[Reserved\]

## oOo

## 10

## (Revision 2)