Source: https://www.ecfr.gov/cgi-bin/text-idx?mc=true&node=pt12.7.746&rgn=div5
Timestamp: 2020-01-27 04:28:56
Document Index: 16982125

Matched Legal Cases: ['art 746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§790', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§746', '§701', 'art 701', 'art 701', '§703', 'art 747', '§750', 'arts 702', 'art 747', '§746', '§701', '§746', '§746', '§746', '§701', '§746', '§746']

Title 12 → Chapter VII → Subchapter A → Part 746
§746.101 Authority, purpose, and scope.
§746.102 Definitions.
§746.103 Material supervisory determinations.
§746.104 General provisions.
§746.105 Procedures for reconsideration from the appropriate program office.
§746.106 Procedures for requesting review by the Director of the Office of Examination and Insurance.
§746.107 Procedures for appealing to the Supervisory Review Committee.
§746.108 Composition of Supervisory Review Committee.
§746.109 Procedures for appealing to the NCUA Board.
§746.110 Administration of the appeal.
§746.111 Oral hearing.
§746.112 Retaliation prohibited.
§746.113 Coordination with State supervisory authority.
§746.201 Authority, purpose, and scope.
§746.202 Definitions.
§746.203 Request for reconsideration.
§746.204 Appeal to the Board.
§746.205 Preliminary considerations regarding the appeal.
§746.206 Administration of the appeal.
§746.207 Procedures for oral hearing.
Source: 82 FR 50281, Oct. 30, 2017, unless otherwise noted.
Director of the Office of Examination and Insurance has the same meaning as used in §790.2 of this chapter but also includes individuals designated by the Director of the Office of Examination and Insurance from among senior staff in the Office of Examination and Insurance to handle requests for review pursuant to §746.106 of this subpart.
Material Supervisory Determination is defined in §746.103 of this subpart.
(7) Preliminary examination conclusions communicated to an insured credit union before a final exam report or other written communication is issued;
(a) Standard of review. Each reviewing authority shall make an independent decision regarding whether a material supervisory determination by the program office subject to appeal was appropriate. The reviewing authority shall give no deference to the legal or factual conclusions of the program office or a subordinate reviewing authority; provided, however, that the burden of showing an error in a material supervisory determination shall rest solely with the insured credit union. An insured credit union shall not be prejudiced in any respect by electing to forgo optional review by the Director of the Office of Examination and Insurance pursuant to §746.106 of this subpart.
(b) Dismissal and withdrawal. Any appeal under this subpart may be dismissed by written notice if it is not timely filed; if the basis for the appeal is not discernable; if an insured credit union asks to withdraw the request in writing; if an insured credit union fails to provide additional information requested pursuant to any authority granted in this subpart; if an insured credit union engages in bad faith; if the appeal fails to state a material supervisory determination as defined in §746.103 of this subpart; or for reasons deemed appropriate by the reviewing authority.
(f) Administrative record. A decision by the reviewing authority pursuant to this subpart shall be based exclusively on the administrative record. The administrative record shall consist of all written submissions by an insured credit union and a program office, decisions by subordinate reviewing authorities, and (where applicable) transcripts of an oral hearing before the SRC. For appeals where consultation with the appropriate State supervisory authority is required pursuant to §746.113, the administrative record shall also consist of any written submissions by the State supervisory authority.
(a) Reconsideration. An insured credit union must make a written request for reconsideration from the appropriate program office prior to requesting review by the Director of the Office of Examination and Insurance pursuant to §746.106 or filing an appeal with the Committee pursuant to §746.107. Such a request must be made within 30 calendar days after receiving an examination report containing a material supervisory determination or other official written communication of a material supervisory determination. A request for reconsideration must be in writing and filed with the appropriate program office.
(c) Decision. Within 30 calendar days after receiving a request for reconsideration, the appropriate program office shall issue a written decision, stating the reasons for the decision, and provide written notice of the right to file a request for review by the Director of the Office of Examination and Insurance pursuant to §746.106 or file an appeal with the Committee pursuant to §746.107. If a written decision is not issued within 30 calendar days, the request for reconsideration will be deemed to have been denied.
(d) Subsequent requests for reconsideration. Any subsequent request for reconsideration following an initial request made pursuant to this section will be treated as a request for review by the Director of the Office of Examination and Insurance pursuant to §746.106 or an appeal to the Committee pursuant to §746.107 as determined by the Secretary of the Board after consultation with the insured credit union.
(a) Request for review. Prior to filing an appeal with the Committee pursuant to §746.107, but after receiving a written decision by the appropriate program office in response to a request for reconsideration pursuant to §746.105, an insured credit union may make a written request for review by the Director of the Office of Examination and Insurance of the program office's material supervisory determination. Such a request must be made within 30 calendar days after receiving a final decision on reconsideration from the appropriate program office. A request for review must be in writing and filed with the Secretary of the Board, National Credit Union Administration, 1775 Duke Street, Alexandria, VA 22314-3428.
(3) A statement of the basis for the material supervisory determination to which the insured credit union objects and the alleged error in such determination;
(d) Decision. Within 30 calendar days after the Secretary of the Board receives a request for review, the Director of the Office of Examination and Insurance shall issue a written decision, stating the reasons for the decision, and provide written notice of the right to file an appeal with the Committee pursuant to §746.107. The 30 calendar day deadline is extended by the time period during which the Director of the Office of Examination and Insurance is gathering additional information. If a written decision is not issued within 30 calendar days, as extended by additional time during which the information is being gathered, the request for review will be deemed to have been denied.
[82 FR 50281, Oct. 30, 2017, as amended at 84 FR 1608, Feb. 5, 2019]
(a) Request for appeal. After receiving a written decision by the appropriate program office in response to a request for reconsideration pursuant to §746.105, an insured credit union may file an appeal with the Committee. Such an appeal must be filed within 30 calendar days after receiving a written decision by the appropriate program office on reconsideration or, if the insured credit union requests review by the Director of the Office of Examination and Insurance pursuant to §746.106, within 30 calendar days after a final decision is made by the Director of the Office of Examination and Insurance. An appeal must be in writing and filed with the Secretary of the Board, National Credit Union Administration, 1775 Duke Street, Alexandria, VA 22314-3428.
(a) Formation and composition of committee pool. The NCUA Chairman shall select not less than eight members from among senior staff in NCUA's regional and central offices as a Committee pool from which the Committee Chairman may select Committee members. None of the members appointed by the NCUA Chairman shall also serve as a Regional Director, Associate Regional Director, Executive Director, Deputy Executive Director, General Counsel, Director of the Office of Examination and Insurance, or a senior policy advisor or chief of staff to a Board Member.
(e) Interested staff ineligible. Members of the Committee pool from the program office that made the material supervisory determination that is the subject of the appeal are ineligible to serve on the Committee for that appeal. Members of the Committee pool from the Office of Examination and Insurance are ineligible to serve on the Committee for appeals where the insured credit union previously requested review by the Director of the Office of Examination and Insurance pursuant to §746.106.
(b) Granting an appeal. At least one Board Member must agree to consider an appeal from a decision by the Committee. If a request for an oral hearing pursuant to §746.111 is granted, the Secretary of the Board will notify the parties of the time and location where the oral hearing shall be heard. Except in unusual circumstances, any appeal shall be held at NCUA headquarters. If at least one Board Member does not agree to consider an appeal from a decision by the Committee within 20 days of receiving a request, the request will be deemed to have been denied.
(g) Request for oral hearing. In accordance with §746.111, the insured credit union may request an opportunity to appear before the Board to make an oral presentation in support of the appeal.
(a) Conduct of appeal. Except as otherwise provided in §746.111, the following procedures shall govern the conduct of an appeal to the Board:
(b) Action on the request. The Board shall determine whether to grant the request for oral hearing and shall direct the Secretary of the Board to serve notice of the Board's determination in writing to the parties. A request for oral hearing shall be granted with the approval of any Board Member within 20 days of receiving a request for an oral hearing.
(f) Conclusion of the oral hearing. The Board shall take the oral presentations under advisement. The Board shall render its decision on the appeal in accordance with §746.110.
Source: 82 FR 50294, Oct. 30, 2017, unless otherwise noted.
(a) Authority. This subpart is issued pursuant to sections 120, 207, and 209 of the Federal Credit Union Act (12 U.S.C. 1766, 1787, and 1789).
(b) Purpose. This subpart provides generally uniform procedures by which petitioners may appeal initial agency determinations to the NCUA Board under this part.
(c) Scope. This subpart covers the appeal of initial agency determinations by a program office which the petitioner has a right to appeal to the NCUA Board under the following regulations: §§701.14(e), 701.21(h)(3), 701.22(c), 701.23(h)(3), 701.32(b)(5), and 701.34(a)(4), appendix A to part 701 of this chapter, appendix B to part 701 of this chapter, Chapters 1-4, §§703.20(d), 703.111(d), 703.112(c), 703.114(c), 705.10(a), 708a.108(d), 708a.304(h), 708a.308(d), 709.7, 741.11(d), and 745.201(c), subpart J to part 747 of this chapter, and §750.6(b).
(d) Exclusions. This subpart does not apply to:
(3) Challenges to determinations under the prompt corrective action regime in parts 702 and 704 of this chapter and subparts L and M to part 747 of this chapter; and
[82 FR 50294, Oct. 30, 2017, as amended at 84 FR 53302, Oct. 4, 2019]
Appeal means a process by which a petitioner may obtain the review by the Board of an initial agency determination.
(a) Reconsideration. Prior to submitting an appeal in accordance with §746.204, the petitioner may in its sole discretion make a written request to the appropriate program office to reconsider the initial agency determination.
(c) Special rule regarding change in officials. Notwithstanding paragraph (a) of this section, a request for reconsideration of an initial agency determination disapproving an individual serving as a director, committee member or senior executive officer pursuant to §701.14 of this chapter must be sent to the appropriate program office within 15 calendar days of the date of the initial agency determination.
(f) Notice of determination. The appropriate program office shall provide its decision concerning the reconsideration request to the petitioner in writing, stating the reasons for the decision. The decision shall be treated as an initial agency determination for purposes of §746.204(a).
(1) In addition to a written statement of reasons for the decision, the appropriate program office shall provide the petitioner with written notice of the right to appeal the decision, in whole or in part, to the Board in accordance with the procedures set forth in §746.204.
(g) Failure to make a determination. Failure by the appropriate program office to issue a decision within the timeframe specified in paragraph (e) of this section shall be an affirmation of the original initial agency determination and shall be treated as an initial agency determination for purposes of §746.204(a).
(b) Special rule regarding change in officials. Notwithstanding paragraph (a) of this section, an appeal of an initial agency determination disapproving an individual serving as a director, committee member or senior executive officer pursuant to §701.14 of this chapter must be filed with the Secretary of the Board within 15 calendar days of the date of the initial agency determination.
(2) A statement outlining why the petitioner objects to the conclusions in the initial agency determination, including any errors alleged to have been made by the program office in reaching its determination.
(g) Request for oral hearing. In accordance with §746.207, the petitioner may request an opportunity to appear before the Board, in person, or via teleconference or videoconference, to make an oral presentation in support of the appeal.
(a) Initial review. The Special Counsel shall review all appeals filed with the Secretary of the Board for conformance with the rules set forth in this subpart, including deadlines for submission of an appeal. The Special Counsel shall also make an evaluation concerning whether an appeal is moot or is otherwise not in good order, and shall make a recommendation for the disposition of all such appeals to the Board. The Special Counsel shall have the authority to dismiss an appeal upon the request of the petitioner.
(b) Determination on appeal. Within 90 calendar days from the date of receipt of an appeal by the Secretary of the Board, or within any extension of time as established by the Chairman, the Board shall issue a decision allowing, in whole or in part, or disallowing the petitioner's appeal. The decision by the Board shall be in writing, stating the reasons for the decision, and shall constitute a final agency action for purposes of chapter 7 of title 5 of the United States Code. Failure by the Board to issue a decision on an appeal within the 90-day period or within any extension of time as established by the Chairman shall be deemed to be a denial of the appeal.
(e) Confidentiality. An oral hearing as provided for herein constitutes a meeting of the Board within the meaning of the Government in the Sunshine Act (5 U.S.C. 552b). The NCUA Chairman shall preside over the conduct of the oral hearing. The meeting will be closed to the public to the extent that one or more of the exemptions from public meetings apply as certified by NCUA's Office of General Counsel. The Board shall maintain the confidentiality of any information or materials submitted or otherwise obtained in the course of the procedures outlined herein, subject to applicable law and regulations.
(f) Conclusion of the oral hearing. The Board shall take the oral presentations under advisement. The Board shall render its decision on the appeal in accordance with §746.206.