Source: https://regulations.vlex.com/vid/conservation-operations-appeals-procedures-22140194
Timestamp: 2020-08-15 18:19:28
Document Index: 569768214

Matched Legal Cases: ['art 780', 'art 11', 'art 780', 'art 11', 'art 11', 'art 780', 'art 510', 'art 11', 'art 614', 'ART 614', 'art 785']

Conservation operations: Appeals procedures, - May 16, 2006 - Regulations - VLEX 22140194
Conservation operations: Appeals procedures,
[Page 28239-28248]
[DOCID:fr16my06-2]
RIN 0578-AA16
AGENCY: Natural Resources Conservation Service.
SUMMARY: The Natural Resources Conservation Service (NRCS), United States Department of Agriculture (USDA) issues this interim final rule amending NRCS's informal appeals procedures as required by Title II of the Federal Crop Insurance Reform and Department of Agriculture Reorganization Act of 1994, 7 U.S.C. 6991 et seq. (the 1994 Act). This interim final rule amends regulations promulgated by the interim final regulations published by the Secretary of Agriculture for NRCS on December 29, 1995 (60 FR 67313), and also includes new language to address statutory changes and make procedural and structural changes. Because of the substantive changes the agency is making to its informal appeal process under the current regulation, NRCS is publishing this rule as an interim final rule with request for comments.
DATES: Effective Date: May 16, 2006. Comments must be received by June 15, 2006.
NRCS invites interested persons to submit comments on this interim final rule. Comments may be submitted by any of the following methods: Mail: Send comments to: Beth Schuler, Natural Resources Conservation Service, 1400 Independence Avenue, SW., 103, Washington, DC 20250, or E-Mail: Send comments to beth.schuler@wdc.usda.gov. You may also submit comments via facsimile transmission to: (615) 673-6705; or through the Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow
ADDRESSES: This interim final rule can be accessed via the internet. Users can access the NRCS homepage at: http://www.nrcs.usda.gov/programs/appeals/interimfinalrule .
FOR FURTHER INFORMATION CONTACT: Beth A. Schuler, Conservation Planning and Technical Assistance Division, Room 6015-S, 1400 Independence Ave, SW., 103, Washington, DC 20250. Telephone: (615) 646-9741; E-mail: beth.schuler@wdc.usda.gov. Persons with disabilities who require
alternative means for communication (Braille, large print, audio tape, etc.) should contact the USDA Target Center at (202) 720-2600 (voice and TDD).
This interim final rule has been determined to be not significant under
[[Page 28240]]
Executive Order 12866 and has not been reviewed by the Office of Management and Budget (OMB).
Section 275 of the 1994 Act, 7 U.S.C. 6995, requires USDA agencies to hold informal hearings at the request of a participant for the decisions they render. NRCS interprets the ``informal hearing'' requirement to require the agency to provide an opportunity for informal appeal at the agency level. This interim final rule amends the current NRCS appeal procedures as promulgated by the 1995 interim final rule to better conform to the requirements of the 1994 Act and subsequent legislation, as well as to make other substantive changes to clarify and improve the agency's informal appeals process.
Mediation: The mediation informal appeal option is available for both preliminary technical decisions and program decisions. This rulemaking incorporates additional guidelines that have become a part of the agency's
[[Page 28241]]
practice over the last several years regarding the use of the mediation to resolve NRCS program disputes. Under this rule, all mediations will be conducted by a ``qualified mediator,'' as defined at Sec. 614.2. In a State that has a USDA certified mediation program, a ``qualified mediator'' is a person who is accredited as a mediator under relevant State law. In a State that does not have a USDA certified program, a ``qualified mediator'' is a person who meets certain core knowledge and training requirements set forth in the definition of the term. Additionally, this rule clarifies that all mediation requests are to be submitted to the appropriate State Conservationist, as indicated in the written decision notice received by the participant.
Under 7 U.S.C. 5103(a)(1)(A), NRCS must participate in good faith in any State mediation program certified under 7 U.S.C. 5101. NRCS is applying this good faith requirement to mediation generally, regardless of whether the dispute is being mediated under a State certified mediation program. This good faith policy is set forth in this rulemaking at Sec. 614.11. NRCS demonstrates good faith in mediation by doing, among other things, the following:
--Designating a person to represent NRCS in mediation; --Defining the NRCS representative's authority to bind NRCS to agreements reached in the mediation; --Instructing NRCS's representative to ensure that any agreement reached during, or as a result of, the mediation is consistent with the statutory and regulatory provisions and generally applicable program policies and is mutually agreed to in writing by all affected parties; --Authorizing NRCS's representative to assist in identifying and exploring additional options that may resolve the dispute; --Assisting, as necessary, in making pertinent records available for review and discussion during the mediation; --Directing NRCS's representative in the mediation to forward any written agreement proposed in mediation to the appropriate NRCS official for approval; and --Considering, in a timely manner, dispute resolution proposals requiring actions or approvals.
NRCS believes adding reconsideration to the field review process will improve the accuracy of technical determinations and sufficiency of the administrative record upon which the technical decision is based. Both the agency and the participant benefit from this change because it fosters the best possible technical decisions in accordance with law and policy and offers the participant a meaningful opportunity for appeal at the NRCS State level. These changes to the current appeal rule also ensure that the participant has the option of obtaining an impartial review of an adverse preliminary technical determination within the agency by an authority other than the original decision maker. A decision issued on reconsideration constitutes a final technical determination in accordance with the regulation at Sec. 614.8, and as such, starts the running of time for any subsequent appeal to the FSA county committee pursuant to 7 CFR part 780,
[[Page 28242]]
if applicable, or NAD under 7 CFR part 11.
Hearing: The hearing appeal option is available for adverse program decisions, much like reconsideration is available for technical determinations. A hearing provides an informal opportunity for a participant to present testimony and/or documentary evidence before the appropriate State Conservationist to show why an adverse NRCS program decision is erroneous and why it should be reversed or how it should be modified. In this rulemaking, several changes have been made to the hearing process. First, language has been added to clarify that the Federal Rules of Evidence do not apply to these hearings. Second, this rule provides that only verbatim transcripts may serve as official transcripts of an NRCS hearing. And, lastly, this rule does not include the right of appeal to NAD which was included at Sec. 614.204(c) in the current regulation since the participant will likely forgo that option by appealing to the State Conservationist. In lieu of an NRCS hearing, a participant may appeal a program decision to the FSA county committee pursuant to 7 CFR part 780, if it is a conservation program under Title XII of the Food Security Act of 1985, as amended, (Title XII) or to NAD pursuant to 7 CFR part 11.
This rule, at Sec. 614.10, changes the current regulation by adding the FSA county committee appeal option for Title XII program decisions. In addition, the actions of the State Conservationist on remand from the FSA county committee have been changed from permissive to mandatory in this rule making to ensure uniformity.
This rulemaking includes a new provision, Sec. 614.13, which affords the participant the opportunity to seek the review of the State Conservationist of an NRCS decision denying an appeal based upon appealability. Section 614.13 also informs the participant of the right to seek an appealability review from NAD.
Section 614.1 General
Section 614.2 Definitions
This section remains the same in designation, but adds several new definitions and removes a few definitions that appear in the existing appeal procedures. Specifically, definitions have been added for the terms ``agency'', ``agency record'', ``appeal'', ``final technical determination'', ``hearing'', ``mediator'', ``participant'', ``program decision'', ``qualified mediator'', ``reconsideration'', and ``verbatim transcript.'' The definitions for ``adverse technical determination'' and ``decision'' have not been included in this rule.
The definitions for ``final technical determination'', ``reconsideration'' and ``program decision'' are added to provide precision and clarity in the use of those terms. The term ``agency record'' is defined in order to help improve the agency's decision making and documentation process. The term ``participant'' is broadly defined in this rulemaking to mean any individual or entity who has applied for, or whose right to participate in, a program or receive a payment or benefit in accordance with any program covered by this regulation has been affected by an adverse NRCS decision. The term ``participant'' does not include individuals or entities whose disputes arise under the items excluded in the definition of a participant set out in the NAD regulations at 7 CFR part 11. The broadening of the definition of ``participant'' removes the need to also use the term ``landowner'' as was done in the existing appeal regulation.
The term ``qualified mediator'' is provided by this rule so that there is a clear direction regarding the qualifications required in order to mediate an NRCS dispute.
The term ``verbatim transcript'' is added as part of agency's new policy providing that only verbatim transcripts constitute an official record of a hearing and that recordings are prohibited. This policy change ensures a uniform, accurate, and fair means of documenting NRCS hearings. In addition, this policy parallels NAD's policy.
The definition of ``adverse technical determination'' contained in the
existing appeal regulation is not included here because the meaning of the term has been adequately covered in the appealability section. The general term ``decision'' is not included here because the types of NRCS decisions are more precisely defined in this rule as noted above.
Section 614.3 Applicability of Appeal Procedures
Comments have been received on this section concerning FSA review of adverse NRCS technical determinations made under Title XII program authorities being limited to technical determinations. The commenters argued that all decisions, not just technical determinations, made for those programs authorized under Title XII may be appealed under 7 CFR part 780. NRCS agrees with these comments. 7 U.S.C. 6932(d) provides that the ``[u]ntil such time as an adverse decision described in this paragraph is referred to the National Appeals Division for consideration, the [Consolidated] Farm Service Agency shall have initial jurisdiction over any administrative appeal resulting from an adverse decision made under title XII of the Food Security Act of 1985 (16 U.S.C. Sec. 3801 et seq.).'' Therefore, in this rulemaking, NRCS has changed the scope of the FSA county committee review to encompass all technical determinations and program decisions made under Title XII.
Section 614.4 Decisions Not Subject To Appeal
Section 614.5 Reservation of Authority
This section remains the same in content. However, the number designation has been changed from Sec. 614.4 so that the two sections addressing applicability in this rulemaking appear sequentially. Under this section, the Chief of NRCS, either as the head of the agency or as the Executive Vice President of CCC, and the Secretary reserve the authority to determine, at any time, any question arising under programs within their respective authority or from reversing or modifying any program decision or technical determination made by NRCS or CCC.
Section 614.6 Agency Records and Decision Notices
Section 614.7 Preliminary Technical Determinations
This section was designated as Subpart B, Section 614.101--Notice of Preliminary Technical Determinations in the current appeal regulation. As described earlier in this preamble, two substantive changes are being made to this section. One change is that the field review appeal option is now combined with a reconsideration determination by either the designated conservationist or the State Conservationist. The other change is that the participant now has the option of waiving in writing the appeal process for the purpose of immediately implementing any actions required by NRCS.
Comments have been received concerning whether waiting 30 days for a preliminary technical determination to become final prior to being able to appeal to the FSA county committee or to NAD is timely program administration. Given the technical nature of these types of agency decisions, the agency's experience is that issuing the technical decision as preliminary and then affording an adequate informal appeal process at the agency level where such expertise resides is essential to effective program administration. Consequently, the agency is making no significant changes to the regulation as a result of these comments. However, for those participants who want a final technical determination so that they may begin required actions as determined by NRCS (e.g., wetland restoration), NRCS is providing at Sec. 614.7(d) a new option to waive appeal.
Section 614.8 Final Technical Determinations
This section was designated in the current regulation as Sec. 614.103--Final
[[Page 28244]]
Determinations. This section sets forth when technical determinations become final and the appeals procedures available. The content of this section remains similar to the current regulation. However, changes are being made to address finality for reconsideration appeals, to remove subsection (b), and to set forth the available appeal options.
NRCS notes that this type of requirement was generally addressed at Sec. 614.103(b) in the current regulation. However, NRCS agrees with this concern and, as previously discussed, has included guidance in this rulemaking at Sec. 614.7 ``Agency records and decision notices.'' In addition, NRCS has included further guidance regarding notification as part of the NRCS Appeals and Mediation policy document, Conservation Programs Manual, Part 510, Appeals and Mediation, (440-V-CPM).
Section 614.9 Program Decisions
This section sets forth the informal appeals procedures available for program decisions which were originally contained in subpart C of the current regulation. Program decisions are decisions issued for conservation programs administered by NRCS which relate to the administration of a conservation program. Unlike technical determinations, program decisions are issued as `final decisions' meaning they may be appealed directly to NAD or the FSA county committee, if the program decision is made under a Title XII program.
The informal appeals options provided in this section are similar to those provided in the current regulation with three exceptions. First, language is included that addresses appeal to the FSA county committee for Title XII decisions. Second, Sec. 614.203(b)(3) in the current regulation, which provided that the State Conservationist has up to 30 days to render a final decision if no mediated settlement has been reached, is not included in this rule making. This is consistent with the structure of informal appeal options set forth for technical determinations and makes sense given that the informal appeal options for an adverse program decisions are in the alternative, that is, participants choose either mediation or a hearing. Third, this section now provides a clear deadline within which the State Conservationist must render his or her opinion after the hearing.
Section 614.10 Appeals Before the Farm Service Agency County Committee
This section was designated as subpart B, Sec. 614.104, Appeals of technical determinations, in the current regulation. The agency is changing the title of this section to ``Appeals before the Farm Service Agency county committee'' because both program and technical appeals may be appealed to the FSA county committee. Likewise, this section provides that technical determinations and program decisions made under Title XII may be appealed to the FSA county committee.
Section 614.11 Mediation
This section encompasses those sections designated as Sec. 614.102--Mediation of preliminary technical determinations and Sec. 614.203--Mediation of adverse final decisions in the current regulation by setting forth agency policy regarding mediation for both preliminary technical decisions and program decisions. In addition to the organizational change, new policy is added to address the requirements for mediation in good faith, confidentiality, and mediator impartiality.
NRCS has removed the reference to ``qualified members of a local conservation district'' as a source of mediators because of its ambiguity. The new language provides that, in those states without a certified State Mediation Program, qualified mediators will be provided, when available, through a request by the participant to NRCS.
Section 614.12 Transcripts
This new section is added to provide uniform policy regarding how participants may obtain official transcripts of hearings before the State Conservationist under Sec. 614.9. Only official transcripts will become a part of the agency record. This provision is similar to NAD's policy regarding transcripts as set forth in 7 CFR part 11.
Section 614.13 Appealability Review
Section 614.14 Computation of Time
Section 614.15 Implementation of Final Agency Decisions
Whether the final decision is implemented by NRCS may depend upon the availability of funds. If funds are not available, a final decision on appeal will not cause a payment to be issued immediately to a participant, notwithstanding a successful appeal. However, in such circumstances, the appeal is still an effective resolution of the issues related to the participant's compliance with the appealed program requirements. If funds later become available, and a participant's
[[Page 28245]]
circumstances remain unchanged, NRCS may make payment.
Section 614.16 Participation of Third Parties in NRCS Proceedings
Section 614.17 Judicial Review
Administrative practice and procedure, Agriculture, Agriculture commodities, Alternative Dispute Resolution, Appeal, Conservation programs, Contracts, Decisions, Determinations, Easements, Farmers, Farmland, Mediation, Soil conservation.
0 Accordingly, the regulations found at 7 CFR part 614 are revised in their entirety as follows:
PART 614--NRCS APPEAL PROCEDURES
Sec. 614.1 General. 614.2 Definitions. 614.3 Decisions subject to informal appeal procedures. 614.4 Decisions not subject to appeal. 614.5 Reservation of authority. 614.6 Agency records and decision notices. 614.7 Preliminary technical determinations. 614.8 Final technical determinations. 614.9 Program decisions. 614.10 Appeals before the Farm Service Agency county committee. 614.11 Mediation. 614.12 Transcripts. 614.13 Appealability review. 614.14 Computation of time. 614.15 Implementation of final agency decisions. 614.16 Participation of third parties in NRCS proceedings. 614.17 Judicial review.
Sec. 614.1 General.
Sec. 614.2 Definitions.
(o) Program decision means a written decision by NRCS concerning eligibility for program benefits, program administration or program
implementation and based upon applicable regulations and program instructions. Program decisions are issued as final decisions.
(p) Qualified mediator means a mediator who is accredited under State law in those States that have a mediation program certified by the USDA pursuant to 7 CFR part 785, or, in those States that do not have a mediation program certified by the USDA, an individual who has attended a minimum of 40 hours of core mediator knowledge and skills training and, to remain in a qualified mediator status, completes a minimum of 20 hours of additional training or education during each 2- year period. Such training or education must be approved by USDA, by an accredited college or university, or by one of the following organizations: State Bar, a State mediation association, a State approved mediation program, or a society of dispute resolution professionals.
Sec. 614.3 Decisions subject to informal appeal procedures.
Sec. 614.4 Decisions not subject to appeal.
Sec. 614.5 Reservation of authority.
Sec. 614.6 Agency records and decision notices.
(b) NRCS notifies participants of the agency's preliminary and final technical determinations and program decisions through decision notices. By certified mail return receipt requested, NRCS will send to the participant a decision notice within 10 working days of rendering a technical determination or program decision. In lieu of certified
mail, NRCS may hand deliver notices to participants with written acknowledgment of delivery by the participant. Each decision notice contains the following:
Sec. 614.7 Preliminary technical determinations.
(2) Mediation as set forth in Sec. 614.11.
Sec. 614.8 Final technical determinations.
(3) Upon receipt by the participant of the final technical determination issued on reconsideration as provided above in Sec. 614.7(c).
Sec. 614.9 Program decisions.
(2) Mediation as provided for at Sec. 614.11; or
Sec. 614.10 Appeals before the Farm Service Agency county committee.
(4) After the actions set forth in paragraphs (b)(1) through (3) of this section are completed, provide the FSA county committee with a written technical determination in the form required by Sec. 614.6(b)(1) through (2) as well as a copy of the agency record.
Sec. 614.11 Mediation.
(b) A dispute will be mediated by a qualified mediator as defined at Sec. 614.2(p).
(d) Settlement agreement reached during, or as a result of, the mediation process must be in writing, signed by all parties to the mediation, and comport with the statutory and regulatory provisions and policies governing the program. In addition, the participant must waive all appeal rights as to the
Sec. 614.12 Transcripts.
(a) No recordings shall be made of any hearing conducted under Sec. 614.9. In order to obtain an official record of a hearing, a participant may obtain a verbatim transcript as provided in paragraph (b) of this section.
(b) Any party to an informal hearing appeal under Sec. 614.9 may request that a verbatim transcript is made of the hearing proceedings and that such transcript is made the official record of the hearing. The party requesting a verbatim transcript must pay for the transcription service and provide a copy of the transcript to NRCS at no charge.
Sec. 614.13 Appealability review.
Sec. 614.14 Computation of time.
(a) The word ``days'' as used in this part means calendar days, unless specifically stated otherwise.
Sec. 614.15 Implementation of final agency decisions.
Sec. 614.16 Participation of third parties in NRCS proceedings.
Sec. 614.17 Judicial review.
Signed in Washington, DC, on May 8, 2006. Bruce I. Knight, Chief, Natural Resources Conservation Service, and Executive Vice President, Commodity Credit Corporation.