SOUTHERN FOREST WATCH, INC.; John Walton Quillen; Earl Rob Cameron; Gregory D. Bostick, Plaintiffs-Appellants, v. Sally JEWELL, Secretary of the Interior, et al., Defendants-Appellees.
No. 15-5413.
United States Court of Appeals, Sixth Circuit.
Argued: Dec. 3, 2015. Decided and Filed: March 23, 2016.
Rehearing En Banc Denied May 9, 2016.
817 F.3d 965
For all of these reasons, we hold that the names, addresses, and taxpayer-identification numbers of applicants for tax-exempt status are not “return information” under
* * *
In closing, we echo the district court‘s observations about this case. The lawyers in the Department of Justice have a long and storied tradition of defending the nation‘s interests and enforcing its laws—all of them, not just selective ones—in a manner worthy of the Department‘s name. The conduct of the IRS‘s attorneys in the district court falls outside that tradition. We expect that the IRS will do better going forward. And we order that the IRS comply with the district court‘s discovery orders of April 1 and June 16, 2015—without redactions, and without further delay.
The petition is denied.
ARGUED: J. Myers Morton, Morton & Morton, PLLC, Knoxville, Tennessee, for Appellants. Robert P. Stockman, United States Department of Justice, Washington, D.C., for Appellees. ON BRIEF: J. Myers Morton, Morton & Morton, PLLC, Knoxville, Tennessee, for Appellants. Robert P. Stockman, United States Department of Justice, Washington, D.C., for Appellees.
Before: DAUGHTREY, COOK, and WHITE, Circuit Judges.
OPINION
HELENE N. WHITE, Circuit Judge.
Southern Forest Watch, Inc. and three individual plaintiffs (“SFW,” collectively) appeal the grant of summary judgment to the U.S. Department of the Interior, the National Park Service, and four officials (the “Park Service,” collectively), in this action challenging a new fee at Great Smoky Mountains National Park. SFW argues that the Park Service failed to comply with the Federal Lands Recreation Enhancement Act (FLREA),
I.
Great Smoky Mountains encompasses more than 500,000 acres of public lands in Tennessee and North Carolina. Visitors can hike and camp in the park‘s backcountry, which includes parts of the Appalachian Trail. In the years leading up to the new fee, Great Smoky Mountains required backcountry visitors to register with the park and obtain a permit. Some of the campsites also required reservations,
The park then developed a public-engagement plan for the new fee, emphasizing the expected improvements in trip planning, campsite reservations, and customer service in the park‘s backcountry office. Park staff planned to contact congressional delegations, local officials, chambers of commerce, and local partners. On July 27, 2011, the park issued a proposal for circulation to local stakeholders explaining the new fee and the rationale for it, including complaints about the reservation system, public desire for more rangers in the backcountry, and overcrowding at sites without a reservation system. The proposal invited written comments and advertised two open houses. Great Smoky Mountains also issued a press release on July 29, announcing the potential changes, and another on August 8, inviting the public to open houses to be held on August 16 and 18. The park received 230 written comments, and sixty-nine persons attended the open houses. An internal analysis of the public feedback noted general opposition to fees, concern about the use of an outside contractor to manage the reservation system, and differing views about the need for additional backcountry management by rangers.
Great Smoky Mountains decided to move forward with the new fee and developed an implementation plan in November 2011. The park would charge four dollars per person, per night at 101 backcountry campsites and shelters beginning on January 1, 2013. The implementation plan summarized the public-engagement process, including the press releases, open houses, written comments, and phone calls to local stakeholders. The plan acknowledged the broad public opposition to the fee—“more comments expressed general opposition or specific concerns than support for the proposal“—but suggested that “most issues of concern that go beyond the philosophical issue of imposing any fee can be satisfactorily addressed in the design of a reservation system and its subsequent implementation.” R. 39-2, PID 536-37. The regional director approved the implementation plan and submitted it to the Washington office.
After the Washington office expressed concerns about negative feedback from the public, Great Smoky Mountains issued a new briefing on its proposal that further explained its public-engagement efforts. The park described the concerns expressed in the 230 written comments, including general opposition to the imposition of a fee, skepticism about the reservation system, and principled objections to fees on the Appalachian Trail. The park superintendent also followed up with the regional director to report that contacts with the local congressional delegations revealed no significant opposition. The Washington office approved the fee, and Great Smoky Mountains announced the new fee in a news release on March 7, 2012.
II.
SFW argues that the Park Service failed to comply with the Federal Lands Recreation Enhancement Act (FLREA),
The FLREA authorizes the Department of the Interior to “establish, modify, charge, and collect recreation fees at Federal recreational lands and waters,”
A.
The Park Service must “publish a notice in the Federal Register of the establishment of a new recreation fee area . . . 6 months before establishment.”
Congress did not explain the term “new recreation fee area,” and the legislative history offers little, if any, additional insight into Congress‘s intended meaning. See H.R.Rep. No. 107-790 (2004); S.Rep. No. 108-233 (2004). Neither the statute nor the legislative history addresses pre-existing fees or pre-existing fee areas; the
The Park Service relies on its internal guidance documents as authoritative. Statutory interpretations in agency guidance documents are “‘entitled to respect,’ . . . but only to the extent that those interpretations have the ‘power to persuade.‘” Christensen v. Harris Cty., 529 U.S. 576, 587 (2000) (quoting Skidmore v. Swift & Co., 323 U.S. 134, 140 (1944)). Neither party discusses the language of the guidance documents, which is not entirely clear.2 In any event, the interpretation of the FLREA the Park Service advances before this court is persuasive,3 and to the extent
B.
Still, other FLREA requirements apply to any new fee, even when the park has previously charged fees. The Park Service must “provide the public with opportunities to participate in the development of or changing of a recreation fee.”
1.
As a general matter, “agencies are bound to follow their own regulations,” Wilson v. Comm‘r of Soc. Sec., 378 F.3d 541, 545 (6th Cir. 2004), but “[i]nternal operating manuals . . . do not carry the force of law, bind the agency, or confer rights.” Reich v. Manganas, 70 F.3d 434, 437 (6th Cir. 1995) (holding that a Social Security Administration manual did not have the force of law); see also Valen Mfg. Co. v. United States, 90 F.3d 1190, 1194 (6th Cir. 1996) (holding that an Internal Revenue Service manual did not have the force of law). Although this general principle does not foreclose the possibility that a manual could contain rules carrying the force of law, see, e.g., Atrium Med. Ctr. v. U.S. Dep‘t of Health & Human Servs., 766 F.3d 560, 571-73 (6th Cir. 2014), we conclude Manual 22A is not binding.
First, the Park Service did not publish Manual 22A in the Federal Register or the Code of Federal Regulations, and any substantive rules the manual contains did not go through the appropriate procedures for agency rulemaking. See Perez v. Mortg. Bankers Ass‘n, 135 S. Ct. 1199, 1203-04 (2015). Under the APA, agencies must follow the notice-and-comment process before issuing binding, legislative rules.
Further, the Park Service did not intend for Manual 22A to be binding. See Long Island Care at Home, Ltd. v. Coke, 551 U.S. 158, 172-73 (2007). Although the manual at times uses mandatory language, the stated intention of the manual‘s public-participation rules is to “[a]ssist parks in complying with legal public participation
Lastly, SFW argues that Manual 22A must be binding because it was issued pursuant to the FLREA. This argument is misplaced. The FLREA mandates the promulgation of public-participation guidelines “[b]efore establishing any new recreation fee area,”
Our conclusion that Manual 22A does not create legally enforceable rules is in line with other courts that have addressed challenges arising under Park Service guidance documents. In Wilderness Soc‘y v. Norton, 434 F.3d 584 (D.C.Cir.2006), the D.C. Circuit considered whether the Park Service‘s 2001 Management Policies created legal obligations. The court found that that these policies constituted “a non-binding, internal agency manual intended to guide and inform Park Service managers and staff,” and were not “judicially enforceable at the behest of members of the public who question the agency‘s management.” Id. at 596. The Ninth Circuit reached a similar conclusion in River Runners for Wilderness v. Martin, 593 F.3d 1064 (9th Cir.2010), and explained that “the 2001 Policies are not enforceable against the Park Service” because they “do not prescribe substantive rules.” Id. at 1070-73. As the Park Service points out, the 2001 Management Policies have a greater degree of authority than Manual 22A, a relatively low-level fee-operations manual.
2.
SFW suggests it would be arbitrary and capricious for the Park Service not to follow its own manual, even if non-binding. Under the FLREA,
First, Great Smoky Mountains contacted a number of public officials at the federal,
Second, Great Smoky Mountains incorporated chambers of commerce into its public-engagement plan. In July 2011, park staff listed chambers of commerce among the stakeholders to be contacted, and the November 2011 public-engagement summary reported that “[n]o comments were received from local Chambers of Commerce.” Id. Although the administrative record does not include actual documentation of contacts with chambers of commerce, the summary suggests that the chambers were contacted, and SFW offers only a conclusory allegation that the park failed to follow through on its plan. Lastly, Great Smoky Mountains made contact with several commercial-tour operators, which the Park Service described as commercial-use authorization (CUA) holders in its internal correspondence. The park‘s concessions-management specialist contacted six of the CUA holders in July 2011 and reported their “universally positive or very positive” feedback. Id. at PID 494. The specialist also forwarded the proposal to seventeen other CUA holders.
SFW also emphasizes that Great Smoky Mountains received hundreds of comments from the public, the majority of which were negative. The quantity of feedback from the public suggests, contrary to SFW‘s position, that the Park Service fulfilled its duty to solicit public input. Further, the Park Service consistently noted the considerable public opposition and factored that feedback into its considerations. The FLREA does not require a fee to have a majority of public support, only “public participation,” and Great Smoky Mountains gave the public ample opportunity to participate in the process and provide feedback on the planned fee.
3.
SFW also argues that the Park Service misled the public about the rationale for the fee, depriving the public of a real opportunity to participate. SFW identifies three alleged misrepresentations in the administrative record: (1) complaints about the old reservation system; (2) crowding at backcountry campsites; and (3) funding for backcountry rangers.
First, SFW argues that the Park Service exaggerated the number of complaints it received about problems with the Wilderness Trakker reservation system. In a June 2011 draft of the fee proposal, the Park Service explained that “[t]he park consistently receives complaints about the amount of time it takes to get a backcountry reservation” and “[c]ustomers frequently report calling for days before they can reach someone.” R.
The administrative record contains seven email complaints from visitors about the reservation system, dating from 2009 to 2011. These visitors reported difficulty getting through to the reservation system after multiple calls, and expressed concern that they would not be able to reserve a campsite for an upcoming trip. When Great Smoky Mountains’ chief ranger solicited feedback from employees, one of the park rangers noted that the reservation system was “very frusterating [sic] for visitors and staff.” Id. at PID 469. A second park ranger added, “Visitors get mad at our staff when we cannot make the reservations for them.” Id. at PID 475. Another employee agreed “that there‘s a set of problems with the system as it is regarding confusion, wait times on the phone, non-compliance and crowding.” Id. at PID 485.
Great Smoky Mountains also heard accounts of reservation-system issues during the public-engagement process. In a written comment submitted at an open house, a former seasonal ranger recalled, “I can‘t count how many times I had to try to placate irritated/frustrated would-be backpackers because they were trying to do the right thing (ie [sic] getting the proper permit) and they simply couldn‘t get through on the phone line to the backcountry office.” R. 39-3, PID 652. The park also received an email from a Great Smoky Mountains volunteer who observed, “There is not a day that goes by that I do not take multiple calls from people who have had to make numerous phone calls, sometimes over multiple days, just to get through.” R. 39-4, PID 856. A number of comments from the general public also noted difficulties with the reservation system. We discern no misrepresentation regarding the need for a new approach to reservations due to complaints.
Second, SFW argues that the Park Service misleadingly described overcrowding at campsites. In the July 2011 version of the fee proposal, Great Smoky Mountains stated that “capacities are frequently exceeded” at sites that did not require reservations, leading to “food storage violations, increased wildlife encounters and the need to close campsites to protect visitors and wildlife.” R. 39-2, PID 499. SFW asserts that this description is contested by an allegation in its amended complaint that eighty percent of backcountry campsites at Great Smoky Mountains did not require reservations. But this statistic says nothing about overcrowding at the unreserved campsites or the Park Service‘s explanation that the new system was necessary specifically because there were no reservations at these sites. Further, the Park Service cites to a number of comments in the record describing complaints about hikers without backcountry permits causing overcrowding at sites that did not require reservations.
Third, SFW argues that the Park Service misleadingly described its intention to use reservation-system revenue to pay for additional backcountry rangers. SFW emphasizes that the Park Service did not discuss additional rangers in its early meetings and correspondence. When Great Smoky Mountains sought approval to begin the civic-engagement process, the park‘s assistant superintendent wrote, “The primary purpose of the permit reservation fee would be to cover the cost of administrating an improved permit system that significantly enhances visitor convenience and experience.” R. 39–1, PID 397.
After the national office approved the park‘s request to begin public engagement in 2011, Great Smoky Mountains staff began considering an increase in the number of backcountry rangers. In a July 1 public-engagement plan, the Park Service brought up the “[e]ffects of more rangers” in the backcountry, and the July draft of the fee proposal mentioned that a law-enforcement position “would increase park presence in the backcountry and improve permit and reservation compliance.” Id. at PID 424, 429. By July 15, the Park Service had developed a briefing paper that directly tied the fee to funding for more ranger positions, stating, “The Park would collect fees to cover the cost of making reservations and issuing permits, and to fund backcountry office staffing and backcountry ranger positions.” Id. at PID 436. Further, the briefing paper specifically noted that revenues would be used to fund “at least 2 seasonal commissioned Rangers to patrol the backcountry.” Id. at PID 435. The Park Service subsequently incorporated the hiring of additional rangers into all planning for the proposed fee. In the press release to announce the public-engagement process, Great Smoky Mountains expressed its intention to “hire additional Rangers who would exclusively patrol the backcountry” if it imposed the fee. In the final proposal, the Park Service reiterated that it would “hir[e] two dedicated seasonal law enforcement positions.” R. 39-2, PID 622.
The Park Service‘s decision to modify its plan in advance of the public-engagement process was not arbitrary or capricious. The Supreme Court has explained that agencies are “fully entitled” to “change[] their minds” during the decision-making process, so long as the ultimate decision is not arbitrary and capricious. Nat‘l Ass‘n of Home Builders v. Defs. of Wildlife, 551 U.S. 644, 659 (2007). SFW appears to argue that the Park Service did not actually intend to hire rangers. However, the final proposal approved by the Washington office states that the Park would hire two seasonal rangers, and the Great Smoky Mountains press release announcing the fee approval stated that the park would “expand its backcountry Ranger presence to better protect park resources.” R. 39-3, PID 627. Absent evidence to the contrary, there is no reason to believe that the Park Service deceived the public when it said it would hire rangers.
C.
Finally, the FLREA also requires the Park Service to “publish notice of a new recreation fee or a change to an existing recreation fee established under this chapter in local newspapers and publications located near the site at which the recreation fee would be established or changed.”
III.
SFW also challenges the district court‘s denial of its motion to supplement the administrative record. We review the district court‘s denial of a motion for discovery beyond the administrative record for an abuse of discretion. Sierra Club v. Slater, 120 F.3d 623, 639 (6th Cir. 1997). In an APA action, our review generally is “limited to the administrative record, which includes materials compiled by the agency at the time its decision was made.” Latin Ams. for Soc. & Econ. Dev. v. Adm‘r of the Fed. Highway Admin., 756 F.3d 447, 464-65 (6th Cir. 2014) (citing Slater, 120 F.3d at 638). “The focal point for judicial review should be the administrative record already in existence, not some new record made initially in the reviewing court.” Kroger Co. v. Reg‘l Airport Auth. of Louisville & Jefferson Cty., 286 F.3d 382, 387 (6th Cir. 2002) (quoting Camp v. Pitts, 411 U.S. 138, 142 (1973) (per curiam)).
Supplementation of the administrative record may be appropriate “when an agency has deliberately or negligently excluded certain documents from the record, or when a court needs certain ‘background’ information to determine whether the agency has considered all relevant factors.” Latin Ams. for Soc. & Econ. Dev., 756 F.3d at 465 (citing Slater, 120 F.3d at 638); see also United States v. Akzo Coatings of Am., Inc., 949 F.2d 1409, 1428 (6th Cir. 1991). SFW argues that the Park Service deliberately excluded documents necessary to enable judicial review. We disagree.
A.
SFW argues that the Park Service deliberately or negligently excluded (1) oral complaints about the reservation system, (2) oral comments from public officials, (3) media interviews, (4) written complaints of overcrowding, (5) email communications, (6) an announcement on the Great Smoky Mountains website, and (7) information about other fees in the park.
First, the Park Service could not include oral complaints in the administrative record unless there was documentation, and SFW does not allege any documentation that could be added to the record. SFW‘s second objection regarding conversations with political officials fails for the same reason. Third, SFW objects to the Park Service‘s failure to include media interviews in the record, but there is no allegation that the Park Service documented these interviews and purposefully excluded that documentation. Fourth, SFW argues that the Park Service excluded written complaints of overcrowding. In its answer to SFW‘s complaint, the Park Service explained that its response to a Freedom of Information Act request did not reflect written complaints that the Park Service did not archive. Again, SFW complains that these missing complaints are not in the record but fails to explain how the Park Service could supplement the record with unavailable documents.
SFW next challenges the failure to include deliberative email communications. In July 2011, the park‘s chief ranger and backcountry specialist circulated the fee
SFW asserts that Great Smoky Mountains “scrubbed” an announcement from its website, citing to a document attached to one of its motions in the district court. This document is in the administrative record; it is not clear what SFW believes was excluded. Lastly, SFW cites to a document detailing Great Smoky Mountains’ frontcountry camping fees and argues there is no information about the date those fees were imposed. But it is not contested that Great Smoky Mountains charged fees before 2005, so this information is not necessary background.
B.
SFW also argues that the record should be supplemented with documentation from public officials opposing the fee. There are five documents that SFW would add to the record: (1) a resolution of the Board of Commissioners of Swain County; (2) an affidavit of Ted A. Burkhalter, Jr., a Blount County Commissioner; (3) a resolution of the Board of Commissioners of Blount County; (4) a resolution of the Knox County Commission; and (5) a proclamation of the Speaker of the Tennessee House of Representatives. These documents were executed in 2013 or 2014, after the fee approval.
The only document addressing contemporaneous objections to the fee is the Burkhalter affidavit, which asserts that no one contacted him about the fee, that he would have voiced his opposition if given the chance, and that Great Smoky Mountains’ superintendent acknowledged that he had not directly contacted anyone from the Blount County Commission. But this affidavit does not contradict the outreach efforts described in the administrative record; the Park Service did not claim to have contacted Burkhalter individually, and neither the FLREA nor Manual 22A requires the Park Service to contact every local official. Further, the superintendent did not claim to make all the contacts personally. The record substantiates that the Park Service reached out to at least some local officials.
The other four documents are evidence of opposition that arose after the fee was imposed. The Park Service could not have considered this opposition at the time of its decision. Davidson v. U.S. Dep‘t of Energy, 838 F.2d 850, 855 (6th Cir. 1988) (declining to supplement the record when plaintiffs failed to raise the issues during a rulemaking process); cf. Latin Ams. for Soc. & Econ. Dev., 756 F.3d at 475 (noting that an agency could not have considered documents that “post-date” the agency action). Thus, these documents are not relevant to an evaluation of the agency‘s reasoning and do not warrant supplementing the administrative record.
IV.
For these reasons, we AFFIRM.
Notes
On the other hand, the Park Service‘s guidance documents can also be construed to assume that any recreation fee initially imposed under prior law would effectively become a fee charged “under” or “using” the FLREA. Manual 22A provides in an earlier section that:
R. 72-1, PID 1440. Apparently, the Park Service understood its existing recreation fee programs to be governed by the FLREA after it took effect, and any existing fees would therefore be charged “under” or “using” the FLREA.Whether [a] park already collects fees or is considering it, [the park] must ask if the collection of fees will enhance services or otherwise benefit park visitors. In addition, all park fee programs must meet the criteria of the [FLREA], and the NPS guiding principles for fee programs. . . . Both prospective and existing park fee programs should complete a cost: benefit analysis. . . .
