417 FW 5
Administered Audits of Grantees - Appeals

Supersedes 417 FW 5, FWM 454, 08/23/04

Date:  April 19, 2010

Series: Audits

Part 417: Wildlife and Sport Fish Restoration Program Audits

Originating Office: Office of Wildlife and Sport Fish Restoration



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5.1 What is the purpose of this chapter? This chapter tells employees how to handle appeals of Service determinations (decisions), corrective actions, and resolutions for Service-administered audits in the Wildlife and Sport Fish Restoration Program (WSFR).


5.2 To which grant programs does this chapter apply? This chapter applies to the Federal grant programs in 417 FW 1.2.


5.3 What are the authorities for this chapter? The authorities for this and the other chapters in Part 471 are in 417 FW 1.


5.4 Who is responsible for handling appeals? The individuals responsible for handling appeals and their responsibilities are in 417 FW 1.


5.5 Who can appeal? A grantee affected by a Corrective Action Plan (CAP) may appeal Service determinations, corrective actions, or resolutions in the CAP.


5.6 How much time does the grantee have to appeal? A grantee must file a written appeal to the Director within 21 calendar days of the date the Regional Director approves the CAP (see 417 FW 4).


5.7 What must be in the appeal? The appeal must:


A. Specify which Service determinations, corrective actions, or resolutions the grantee is appealing.


B. Explain why the grantee is appealing and include justification and citations supporting the grantee’s position. The justification supplements the original response to the audit findings.


C. Include a brief summary of discussions with the Service on the action being appealed.


5.8 How does the CAP appeals process work?


A. The Regional Director consults with the grantee to prepare a CAP, and the CAP must be acceptable to the Regional Director. It does not have to be acceptable to the grantee (see 417 FW 4). If the grantee is going to appeal, the CAP must:


(1) Note any specific Service determinations, corrective actions, or resolutions with which the grantee disagrees;


(2) Explain the specific reasons for the disagreement; and


(3) Include the grantee’s intention to appeal the specific determinations, corrective actions, or resolutions.


B. The Regional Director approves and issues the CAP. The Regional Director and the Department’s Office of Policy, Management, and Budget (PFM) monitor progress.


C. The appeal affects only the Service determinations, corrective actions, or resolutions that are specifically mentioned in the appeal. The other findings and resolutions are final.


5.9 How long does the Director have to resolve appeals? The Director works with the grantee(s), Regional Director(s), the Assistant Director for WSFR, and technical experts to resolve appeals within 30 calendar days of receiving all pertinent documents.


5.10 May a grantee appeal the Director’s decision? Yes. The grantee may appeal the Director’s decision, as described in 43 CFR 4.700 to 4.704, within 30 days of the postmark date of the letter that notifies the grantee of the Director’s decision. The Director must mail the letter “return receipt requested,” or by a similar method that permits WSFR to receive documentation of the date of mailing and the date the grantee receives the letter. The grantee must submit appeals of the Service Director’s decision to the director of the Department’s Office of Hearings and Appeals.


A. The Service Director has 10 calendar days after notification by the Office of Hearings and Appeals to provide that office with the records, documents, transcripts of testimony, and other information from the proceedings that led to the appeal.


B. After receiving notification, the director of the Office of Hearings and Appeals or an ad hoc appeals board may do any of the following:


(1) Hold a hearing on the entire matter or specified portions of it,


(2) Decide based on the available information, or


(3) Dispose of the case in another way.


C. The director of the Office of Hearings and Appeals may allow an opportunity for oral arguments if either the Service or the grantee requests and justifies it. If oral arguments are heard, an ad hoc appeals board or an administrative law judge of the Office of Hearings and Appeals conducts a hearing.



For information on the content of this chapter, contact the Office of Wildlife and Sport Fish Restoration. For more information on this Web site, contact Krista Bibb in the Division of Policy and Directives Management.



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