NAD Support Statement_Part A

U.S. Department of Agriculture

National Appeals Division

SUPPORTING STATEMENT

1. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

The National Appeals Division (NAD) proposes to modify its existing customer service survey and conduct a customer service survey by mail and by personal hand-out pursuant to Executive Order No. 12862 (attached).

NAD was established under 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, dated October 13, 1994). The Act consolidated the appellant functions and staffs of several USDA agencies. The intent was to provide for independent hearing and review determinations that resulted from Agency adverse decisions. The Agencies served by NAD include the Farm Service Agency (FSA), Risk Management Agency (RMA), Natural Resources Conservation Service (NRCS), Rural Business-Cooperative Service (RB), Rural Housing Service (RHS), Rural Utilities Service (RUS), and any other Agency as may be designated by the Secretary.

Hearing Officers conduct evidentiary hearings on adverse Agency decisions. However, appellants have the option of a review and determination based on the Agency record without a hearing. NAD’s Director is tasked with reviewing Hearing Officer Determinations when requested by either the Appellant or Agency. Currently, NAD has a staff of 121 employees which include Hearing Officers, Appeal Officers and support staff. NAD employs 70 Hearing Officers across the nation. The Hearing Officers work out of either leased office space or from their home. Appeal Officers are located in the National Headquarters Office to assist the Director in reviewing Hearing Officer determinations. Support personnel are located at the National Headquarters Office and three (3) Regional Offices to provide assistance or support in budget, planning, training, personnel and information technology matters. NAD maintains its National Headquarters Office in the Washington, D.C. area, and administers its appeals system through three (3) Regional Offices located in Memphis, Tennessee; Indianapolis, Indiana; and Denver, Colorado.

NAD maintains a database to track appeals requests; however, the database contains only information necessary to process the appeal request, such as the name, address, filing date, and final results of the appeal. NAD wants to update its information that is currently used to measure the efficiency and level of satisfaction with the USDA appeal process and gather data on the public’s awareness of its services. NAD plans to use the information collected in the survey to determine who is and who is not aware of its services. NAD also wants to know of the groups who are aware if its services, just exactly how complete this awareness is. Based on this information, NAD can tailor its public awareness campaign to meet the perceived needs of its audience. NAD also wants to gather current data to measure the appellant’s perception of the quality of how easy the determination was to read; how intently the Hearing Officer was to the appellant; and if the appellant would be willing to have the same Hearing Office hear a future appeal. This data will be used to either alter current or establish new training for Hearing and Appeals Officers. Current training is based on feedback from both current and previous customer feedback data.

2. Indicate how, by whom, how frequently, and for what purposes the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

The information will be used to help determine the extent of the public’s awareness of NAD’s purpose, mission, and services. Also, information from the survey will be used to provide a snapshot of the quality of NAD’s services. The survey will be handed out at the NAD display booth at each farm show that NAD attends throughout the United States. Each visitor who agrees to take the quick survey will complete the survey at the booth. NAD will use the results of the survey for feedback on the public’s awareness of its services.

The survey will also be sent to each appellant after his or her appeal is finalized. One survey will be sent for each completed appeal. NAD will use the information gathered from its surveys to tailor and prioritize training. It also allows for management to review perceived quality by USDA agencies to isolate agency-specific issues. For example, NAD managers found out from the current survey that a significant number of appellants did not understand the written determinations rendered by Hearing Officers. NAD designed a tailored Holistic Writing Program based on the specificity gained from the feedback of surveys. NAD married up this problem with current writing programs based on the Holistic Writing standards of the new SAT. NAD contracted with a nationally known company and combined this expertise with in-house capabilities and experience to provide individual and group training programs. Also, NAD established individual performance standards for Hearing Officers that have been quite successful in improving the quality of written determinations.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also, describe any consideration of using information technology to reduce burden.

The majority of NAD’s customers are low income rural residents and/or family size farming operations who do not have access to, or cannot afford the technology that would allow electronic collection of information, such as internet service. NAD may include a fax number with the survey for those respondents who do not wish to return their survey by mail. NAD will use farm shows and other venues to sample attendee responses.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purpose described in item 2 above.

NAD was established by the Department of Agriculture Reorganization Act of 1994. NAD conducts administrative appeals for several Agencies. No duplicate or similar information regarding administrative appeals is available or is presently being collected within USDA.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

The collection of this information has minimal or no impact on small businesses or entities.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

NAD is collecting this information in compliance with E.O. No. 12862. Failure to collect this information will not impede NAD’s ability to conduct administrative appeals; however, it will impair NAD’s ability to develop and improve Customer Service Standards.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

• Requiring respondents to report information to the agency more often than quarterly;

• Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

• Requiring respondents to submit more than an original and two copies of any document;

• Requiring respondents to retain records, other than health, medical government contract, grant-in-aid, or tax records for more than three years;

• In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

• Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

• That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

• Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

Information will not be collected in a manner requiring respondents to report more often than annually, respond in less that 30 days or submit more than an original document. This collection does not require respondents to retain records, to submit proprietary trade secrets or confidential information. The survey does not require the respondents to sign the survey instrument. The survey instrument will contain a tracking number for mailing purposes. This collection is designed to produce valid statistical results and comply with the guidelines in 5 CFR 1320.5.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice, soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting form, and on the data elements to be recorded, disclosed, or reported.

NAD published a “Notice of Request for Extension and Revision of a Currently Approved Information Collection” in the Federal Register, Volume 71, Number 113, Page 34052, on June 13, 2006. NAD received one comment. The commenter felt that surveying customers was a “stupid” idea because the respondents will only provide positive responses because they benefit from USDA programs at the expense of the U.S. taxpayers. NAD does not share this opinion and believes respondents will provide unbiased responses without regard to their status whether they be participants, appellants, or interested citizens. Since NAD is a fairly new organization within USDA with limited staff, we elected to concentrate our customer survey efforts on the public, in compliance with E.O. No. 12862. NAD earlier consulted with the National Agricultural Statistics Service (NASS0 and other USDA Agencies that have conducted customer service surveys regarding the availability of data, the clarity of instructions, and the data elements to be reported.

9. Explain any decision to provide any payment or gift to respondents, other than reenumeration of contractors or grantees.

NAD proposes no payment of gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

NAD will not require the appellants to identify themselves on the survey instrument. Recipients of the survey will be selected from NAD’s database of concluded administrative appeals and farm show attendees. The survey will contain a tracking number for mailing purposes so NAD can track what surveys have been returned.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior or attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to person from whom the information is requested, and any steps to be taken to obtain their consent.

NAD does not propose any questions of a sensitive nature that are commonly considered private.

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories.

N umber of Frequency of Estimate Annual Total Annual Cost to

Respondents Response Hour Burden Hour Burden Respondents

Per Respondent

TOTAL: 2000

Individual: 1600 1 .33 528 $6,336.00

Business/NFP/Farms/

Farm Shows: 400 1 .33 132 $1,584.00

State/Local Govt: 0

Burden estimates are based on 2000 surveys mailed, with an 80% response rate, or 1600 respondents @ 20 minutes each for a total annual burden of 528.0 hours plus 400 attendees surveyed at farm shows for a total annual burden of 132.0 hours. The majority of respondents will be family-size farmers or low income rural residents. An estimate of $12 per hour was used to calculate the total costs to respondents to complete the survey.

13. Provide estimates of the total annual cost burden to respondents or record keepers resulting from the collection of information (do not include the cost of any hour burden shown in items 12 and 14). The cost estimates should be split into two components: (a) a total capital and start-up cost component annualized over its expected useful life; and (b) a total operation and maintenance and purchase of services component.

There are no capital/start-up or operation and maintenance costs to respondents.

14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the method used to estimate cost and any other expense that would not have been incurred without this collection of information.

Cost to the Federal Government is based on one-half hour per survey at the GS-14/6 rate, for a total of $48,706. The cost of printing the survey, mailing, and inclusion of a postage paid return envelope are estimated at $2.00 per survey for a total of $2,800. The total Federal cost of collecting the information is estimated at $51,506.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

The survey was revised to include the measuring of how many people are aware of NAD’s services. The survey was enlarged to measure this awareness while also documenting appellant satisfaction. As time passes, NAD will now be able to measure both impact of its public awareness campaign and compare appellant satisfaction levels.

16. For collections of information whose results are planned to be published, outline plans for tabulation and publication.

NAD proposes to extend the survey through fiscal year 2009. The results of the survey will not be published. In compliance with E.O. No. 12862, the results of the survey will be used to establish NAD Customer Service Standards and public awareness strategies.

17. If seeking approval to not display the expiration date for OMB approve of the information collection, explain the reasons that display would be inappropriate.

NAD is not requesting that the expiration date of OMB approval be omitted from the survey instrument.

18. Explain each exception to the certification statement identified in Item 19 “Certification for Paperwork Reduction Act.”

No exceptions to the certification statement are requested.

19. How is this information collection related to the Customer Service Center?

NAD’s collection of information relating to quality of customer satisfaction and public awareness is not related to the Customer Service Center.