|
INTRODUCTION
The National Appeals Division (NAD) of the U. S. Department
of Agriculture was established by the Secretary of Agriculture
on October 20, 1994, by Secretary's Memorandum 1010-1, pursuant
to the Federal Crop Insurance Reform and Department of Agriculture
Reorganization Act of 1994 (P. L. 103-354, section 271 et
seq. (October 13, 1994)). The Act consolidated the appellate
functions of five USDA agencies and provided for the independent
hearing and review of adverse decisions of various USDA agencies:
the Farm Service Agency, Risk Management Agency, Natural Resources
Conversation Service, Rural Business-Cooperative Service, Rural
Housing Service, Rural Utilities Service and any other agency
as may be designated by the Secretary.
Hearing officers conduct evidentiary hearings on adverse decisions
or, when an appellant requests, they review the agency's record
of the adverse decision without a hearing. NAD's Director reviews
hearing officer determinations when requested by either an appellant
or an agency head. The Director also reviews agency determinations
that an adverse decision is not appealable to NAD.
NAD has an authorized staff of 130, including 75 hearing
and appeals officers. Hearing officers conduct hearings across the nation and work
out of leased office space or home offices. Appeals officers
in headquarters assist the Director in reviewing hearing officer
determinations. Personnel in headquarters and regional
offices provide support in budget, planning, training, personnel,
and automation matters. NAD maintains its headquarters office
in the Washington, D.C. area, and administers its appeals system
through three regional offices located in Memphis, Tennessee;
Indianapolis, Indiana; and Lakewood, Colorado.
NAD receives several thousand requests per year. Many of these
requests are withdrawn by the appellants, are not timely filed,
or involve issues that are not appealable to NAD. However, over
half the appeal requests result in an evidentiary hearing. A
small number of cases are decided, without a hearing, after the
hearing officer reviews the Agency's record of the adverse decision
and any submissions of the Appellant.
The Strategic Plan has been revised to focus more attention
on NAD's mission. The goal has been rewritten to quantify outcome-based
performance indicators. The revised objectives reflect a change
in emphasis and the baselines have been changed to percentages,
rather than averages, to be more easily understood. The associated
performance goals and indicators reflect changes to the baselines.
The management initiatives were modified and consolidated to
reflect a greater emphasis on enhancing efficiency through cost
reduction.
LEGISLATIVE MANDATES
The Secretary of Agriculture was required to establish and maintain
an independent National Appeals Division by the Federal Crop
Insurance Reform and Department of Agriculture Reorganization
Act of 1994 (P. L. 103-354). All activities of the Division are
required to be carried out by the same statute.
PARTNERSHIP AND COORDINATION
NAD relies on the Department for administrative services to
carry out its mission. The Department provides expertise and
assistance with procurement, human resources, civil rights, and
processing modernization activities. Since by law the Division
may not receive administrative support except on a reimbursable
basis, NAD reimburses the Department for those services. NAD
also coordinates with the Office of General Counsel (OGC) to
assure compliance with regulatory and statutory requirements.
KEY EXTERNAL FACTORS
On-time performance can be affected by a variety of circumstances
including: requests for hearing delays by parties, keeping the
record open due to unprepared parties, and other factors.
Federal court rulings that apply to NAD proceedings could affect
the need to expand the current training curricula and necessitate
additional employees. The severity and frequency of natural disasters
affects many of the programs administered by NAD's assigned agencies.
These, in turn, affect the caseload and may affect "on-time" performance
targets. The creation of new programs may also affect caseload
and "on-time" performance targets.
Continued increased transportation costs, particularly for air
travel, could have a negative effect on cost-reduction efforts.
Demand for face-to-face hearings and NAD's statutory requirement
for conducting hearings in the state of residence or otherwise
convenient location could minimize savings realized by conducting
telephone hearings.
MISSION
Support the Department of Agriculture’s mission by conducting
evidentiary administrative appeal hearings and reviews arising
from program operations of assigned USDA agencies.
GOAL
Issue timely and well-written determinations that correctly
interpret applicable regulations.
Objectives:
- Issue appeal hearing and review determinations within established
time frames.
- Issue appeal hearing and review determinations that, when
evaluated, fall within a standard deviation of 1.0 on a holistic
score of 1-6.
USDA Strategic Plan Tie-In
NAD’s goal and objectives tie in with the following USDA
strategic goals:
USDA Strategic Goal 2: Enhance the Competitiveness and Sustainability of Rural and Farm Economies
2.3 Provide Risk Management and Financial Tools to Farmers and Ranchers
USDA Strategic Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America
3.1 Expand Economic Opportunities by Using USDA Financial Resources to Leverage Private Sector Resources and Create Opportunities for Growth
3.2 Improve the Quality of Life Through USDA Financing of Quality Housing, Modern Utilities, and Needed Community Facilities
USDA Strategic Goal 6: Protect and Enhance the Nation's Natural Resource Base and Environment
6.2 Enhance Soil Quality to Maintain Productive Working Cropland
Baselines:
- At least 85% of determinations are issued within established
time frames.
- A standard deviation of less than 1.0 on holistic reading
scores of determinations is maintained.
Performance Goals and Indicators:
- Increase percent of determinations issued within mandated
time frames.
- Maintain calibration of reading standards and scoring.
MANAGEMENT INITIATIVES
NAD will work to improve and strengthen its management by using
and adapting USDA’s management agenda. Better management
will result in more efficient program operations that offer improved
customer service and more effective stewardship of taxpayer funds.
Management Initiative 1: Improve Human Capital Management
NAD has a Human Capital Plan that serves as its blue print for
identifying actions that will help it accomplish its mission
and excel as an organization. The plan ensures that NAD
has the human talent necessary to carry out its mission and that
the environment is one where each employee can perform to his
or her potential and be recognized for successful performance. With40
percent of its employees eligible to retire by FY 2007, NAD is
challenged to ensure it maintains a recruitment, training and
development program designed to attract and retain a quality
workforce.
Management Initiative 2: Improve Financial Management
NAD intends to ensure that all funds spent are properly accounted
for to the taxpayers and the Congress. NAD’s financial
management activities, in partnership with the Chief Financial
Officer of USDA, are working to embed effective financial management
disciplines into its operating culture. NAD is also working
to ensure that it meets and supports USDA’s goal of meeting
all core criteria of the Standards for Success established by
OMB. NAD is also committed to the best management of the
resources under its stewardship. It will work closely with
USDA OCFO to ensure it meets the requirements of the Management
Control Manual.
Management Initiative 3: Establish Budget and Performance
Integration
NAD has taken a number of steps to improve its linkage of performance
information into its budget decision-making processes. NAD
is completing an updated, and improved, strategic plan that develops
a budget and performance integration plan to guide its efforts. It
also provides a framework for developing performance information.
LINKAGE OF GOAL TO ANNUAL PERFORMANCE PLAN
NAD's strategic plan includes one goal with numerous objectives
and one management initiative. NAD's goal is to issue timely,
well-reasoned determinations that recognize the rights of program
participants and promote the lawful operation of agency programs.
PROGRAM EVALUATION
Performance indicators and baselines have been established that
NAD will use to evaluate program results. Because Congress gave
NAD a precise, narrow mission, it is unlikely that future performance
indicators will change significantly. However, existing performance
indicators may be refined or modified as indicated by experience.
In addition to annual performance measures, NAD will continue
to monitor its activities through quality assurance reviews,
management and financial accountability control plans, and customer
surveys of appellants and agency officials. In addition, OIG
audits, GAO reports, as well as informal feedback from assigned
agency officials, appellants, appellant representatives, and
interest groups will be considered. Evaluation of specific program
elements will also be conducted as needed.
NAD has scheduled the use of customer surveys to assess the
level of customer satisfaction with the efficiency, fairness,
and competence afforded by the appeals process. NAD has implemented
quality assurance reviews to assure compliance with statutory
and regulatory requirements. Information gathered from the surveys
and reviews will be used for future evaluation to assure the
intended objectives in the strategic plan are met.
Last Modified: 1/18/2007
|