OFFICE OF ADMINISTRATIVE HEARINGS STRATEGIC PLAN and ... · OFFICE OF ADMINISTRATIVE HEARINGS STRATEGIC PLAN and INFORMATION TECHNOLOGY PLAN FY 2017 - 2019 By Office of Administrative

OFFICE OF ADMINISTRATIVE HEARINGS

STRATEGIC PLAN

and

INFORMATION TECHNOLOGY PLAN

FY 2017 - 2019

By

Office of Administrative Hearings

October 31, 2016

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Contents 1. Office of Administrative Hearings Strategic Plan Executive Summary ....................................................................... 1

2. Office of Administrative Hearings Quick Reference Guide ......................................................................................... 4

3. Office of Administrative Hearings Vision, Mission, and Values .................................................................................. 8

4. Office of Administrative Hearings Goals, Objectives, and Measures of Success ...................................................... 10

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1. Office of Administrative Hearings Strategic Plan Executive

Summary

Hearings Division

By the General Assembly’s creation of OAH in 1985, North Carolina

became the 13th jurisdiction in the nation to provide for a central

panel system for administrative litigation. North Carolina’s central

panel currently consists of the Chief Administrative Law Judge (Chief

ALJ) [appointed by the Chief Justice of the NC Supreme Court] and 10

administrative law judges (ALJs) [appointed by the Chief ALJ]. These

ALJs comprise the core of the OAH Hearings Division.

Article 3 of North Carolina’s Administrative Procedure Act (APA)

confers upon OAH’s ALJs the jurisdiction to hear and decide contested

cases involving most State agencies. Contested Medicaid cases are

conducted under Article 2, Part 6A of Chapter 108A of the General

Statutes by OAH’s Medicaid Administrator.

In order to provide quality service to administrative litigants, OAH has

adopted an aggressive case disposition time standard for non-

Medicaid contested cases of 90% within 180 days. Federal

regulations mandate that Medicaid contested cases are to be

successfully closed within 90 days of filing. With respect to all

contested case dispositions, OAH strives to render decisions that will

be upheld upon any appeal by correctly applying state and federal law

to the facts of the case. These goals are to be accomplished by

implementation of the Hearings Division objectives and strategies

hereinafter set forth in this Plan.


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Rules Division

Article 2A of the APA provides for and authorizes the publication of

the North Carolina Register and the North Carolina Administrative

Code by the OAH. The public is notified of agency rulemaking by

notice published in the North Carolina Register, followed later by

publication of the proposed rule text. After formal adoption and

review by the Rules Review Commission, the rule is filed for

codification in the North Carolina Administrative Code. OAH Rules

Division attorneys serve as staff to the Rules Review Commission. The

Rules Division objectives and strategies hereinafter set forth in this

Plan are calculated to ensure that the rulemaking activities of all state

agencies fully comply with the requirements of the APA.

Civil Rights Division

OAH is designated to serve as the State’s deferral agency for cases

deferred by the Equal Employment Opportunity Commission to OAH

as provided in Section 706 of the Civil Rights Act of 1964, the Age

Discrimination in Employment Act, and the Americans with

Disabilities Act for employment discrimination charges filed by

government employees covered under Chapter 126 of the General

Statutes. The Civil Rights Division was established in OAH to carry out

its functions as an EEOC deferral agency. Civil Rights Division

investigators undertake investigations of charges to determine the

existence of probable cause of discrimination and make appropriate

recommendations to the EEOC. The Civil Rights Division objectives

and strategies hereinafter set forth in this Plan are intended to ensure

that all investigations are carefully documented and evaluated, so as


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to produce accurate recommendations to the EEOC within a time

framework that delivers quality service to all involved parties.


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2. OFFICE OF ADMINISTRATIVE HEARINGS – Hearings Division Quick

Reference Guide

Goal 1 – Conduct Contested Case Hearings

Objective 1.1 - Render final decisions that correctly apply the law of North Carolina in all instances.

1.1.1 – Percentage

of final decisions

that are upheld on

appeal.

Strategy All Administrative Law Judges are to fully comply with North Carolina

State Bar Continuing Legal Education requirements.

Strategy All Administrative Law Judges are to attend monthly meetings as

scheduled by the Chief Administrative Law Judge for discussions of

current legal issues.

Goal 2 – Manage Dockets and Case Flow

Objective 2.1 – Administrative Law Judge assistants review filings upon receipt and issue orders and notices of

hearing accordingly.


of cases noticed for

hearing within

statutory deadlines.

Strategy

All Administrative Law Judge assistants are to maintain a

catalog of case status and deadlines for all assigned contested

cases.


of cases with

decisions rendered

within statutory

deadlines.

Strategy

All Administrative Law Judge assistants are to maintain a

catalog of case status and deadlines for all assigned contested

cases.

Goal 3 – Conclude Contested Cases In A Timely Manner

Objective 3.1 - To dispose of 90% of non-Medicaid contested case filings within 180 days.


of non-Medicaid

contested cases

successfully closed

within 180 days of

filing

Strategy

Monthly reports will be submitted to Administrative Law Judges and

their assistants identifying non-Medicaid contested cases pending

over 180 days and non-Medicaid contested cases with no activity

within past 120 days.

Objective 3.2 - To dispose of 90% of Medicaid contested case filings within 90 days.


of Medicaid

contested cases

successfully closed

within 90 days of

filing.

Strategy

Medicaid Administrative Law Judge assistant will maintain a

spreadsheet of all open Medicaid contested cases, arranged by filing

date, in order to identify aged cases.


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2 Office of Administrative Hearings - Rules Division Quick

Reference Guide

Goal 1 – Publication of Rules

Objective 1.1 – Rules submitted by agencies are published within the deadlines established by statute and

rule

1.1.1 – Notices and

rules are published

and available to the

public at no charge

Strategy Rules and other information about the state’s rulemaking process

are available on the OAH website

Goal 2 – RRC Review of Rules

Objective 2.1 – OAH staff to review rules submitted for approval by the RRC

2.1.1 –RRC review

rules and takes

action within

established


Strategy OAH website contains all information concerning the monthly RRC

meeting, rules and reports submitted for review

Goal 3 – Rulemaking Training

Objective 3.1 – To provide training annually

3.1.1 –OAH provides

one or more

trainings annually

Strategy OAH expands training to individual agencies and interest

groups


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2 Office of Administrative Hearings - Civil Rights Division Quick

Reference Guide

Goal 1 – Conduct Employment Discrimination Investigations

Objective 1.1 – Issue notices of determination that are consistent with established proof standards for Title

VII, ADEA and ADA charges.


of charges that are

accepted and

approved by EEOC.

Strategy All Civil Rights Investigators are to participate in EEOC technical

assistance training and webinars.

Strategy

All Civil Rights Investigators are to attend monthly scheduled

meetings with the Civil Rights Director and Compliance Manager for

charge assessment and development regarding enforcement

standards.

Goal 2 – Reduce the Time to Formalize a Charge of Employment Discrimination

Objective 2.1 – Decrease response time on inquiries to potential charging parties.


of preliminary

intake inquiries

formalized as

charges after initial

inquiry.

Strategy

Complete initial assessment and evaluation of all new inquiries

within 60 days.


of charges

formalized within


Strategy

Complete formalized charge and provide notice to all parties within

10 days.

Goal 3 – Complete Employment Discrimination Investigations in a Timely Manner

Objective 3.1 – Finalize investigative process within 200 days.


of Title VII, ADEA

and ADA charges

approved and

closed.

Strategy

Monthly reports will be distributed to Civil Rights Investigators

identifying TVII, ADEA and ADA pending charges in their inventory

that are over 200 days old.

Strategy

Civil Rights Investigators will access and evaluate charges for

potential settlement within 45 days of case assignment and report

progress monthly.

Objective 3.2 – Reduce the administrative closure rate to 10%.


of formalized Strategy


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charges closed

administratively

within 120 days.

Civil Rights Investigators will review charge files monthly to access

for administrative closures.


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3. OFFICE OF ADMINISTRATIVE HEARINGS Vision, Mission, and

Values

4.1 Vision

To ensure that administrative decisions are made in a fair and impartial manner to protect

the due process rights of citizens who challenge administrative action and to provide a

source of independent administrative law judges to conduct administrative hearings in

contested cases in accordance with Chapter 150B of the General Statutes. The Office of

Administrative Hearings also fulfills the function of Codifier of Rules for the State of North

Carolina and of a deferral EEOC agency to investigate alleged acts of unlawful

discrimination in state government employment.

4.2 Mission

To serve the citizens of North Carolina, with quality and efficiency, by providing an

independent forum for prompt and impartial resolution of administrative law contested

cases involving citizens and state agencies; functioning as the State’s codifier, publisher,

and reviewer of all administrative rules; and investigating alleged acts of unlawful

employment practices in state government.

3.3 Values

Professionalism: Exhibit courteous, conscientious, and businesslike manner in all

work-related activities and when communicating with others in the workplace. Be

knowledgeable about all aspects of one’s job. Act for the public good without regard

to convenience or self-interest. Be considered by others to be trustworthy and

dependable in carrying out one’s job responsibilities. Be respectful and cooperative

when interacting with others in the workplace. Uphold behavioral and ethical

standards relevant to one’s job and/or profession. Honor commitments.

Customer Service: Consistently demonstrate a strong commitment to providing value-added services to external and internal customers. Proactively identify customer needs and requirements, deliver quality service, and continuously improve performance of self and others. Develop, implement, and evaluate work processes which are both efficient and effective from the customers’ perspectives.

Diversity & Inclusion: Demonstrate an open-minded approach to understanding people, regardless of their gender, age, race, national origin, religion, ethnicity, disability status, or other characteristics; treat all people fairly and consistently and with


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dignity and respect; effectively build an inclusive work environment, composed of people from diverse backgrounds and with diverse perspectives, where everyone feels welcomed and valued and is allowed the opportunity to use his/her skills, abilities, and knowledge to succeed.

Safety & Health: Consistently demonstrate a strong commitment to providing state employees with a safe and healthy workplace. Proactively identify and reduce, or take action to reduce, risks and hazards and abide by regulatory requirements. Understand the importance of safe work practices and personal protective equipment, enable assigned employees to do the same, and act to correct unsafe conditions, not waiting for others to correct issues. Develop, implement, and evaluate work processes (utilizes Hazard Recognition practices) that address immediate risk and also improves systems to address future risk. Comply with all state and agency safety requirements for the positions, including training, medical clearance, use of personal protective equipment, injuries/illness reporting requirements, and medical treatment for work-related injuries/illness.


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4. OFFICE OF ADMINISTRATIVE HEARINGS – Hearings Division Goals,

Objectives, and Measures of Success

Goal 1 – Conduct Contested Case Hearings

1.1 Objective – Render final decisions that correctly apply the law of North Carolina in all

instances.

1.1.1 Measure of Success – Percentage of final decisions that are upheld on appeal.

Strategies/Initiatives – All Administrative Law Judges are to fully comply with

North Carolina State Bar Continuing Legal Education requirements.

All Administrative Law Judges are to attend monthly meetings as scheduled by

the Chief Administrative Law Judge for discussions of current legal issues.

Goal 2 – Manage Dockets and Case Flow

2.1 Objective – Administrative Law Judge assistants review filings upon receipt and issue

notices of hearing, pre-hearing orders, and final decisions in a timely manner.

2.1.1 Measure of Success – Percentage of cases noticed for hearing within statutory

deadlines.

Strategies/Initiatives – All Administrative Law Judge assistants are to maintain a

catalog of case status and deadlines for all assigned contested cases.

2.1.2 Measure of Success – Percentage of cases with decisions rendered within


Strategies/Initiatives – All Administrative Law Judge assistants are to maintain a

catalog of case status and deadlines for all assigned contested cases.

Goal 3 – Conclude Contested Cases In A Timely Manner

3.1 Objective – To dispose of 90% of non-Medicaid contested case filings within 180 days.

3.1.1 Measure of Success – Percentage of non-Medicaid contested cases successfully

closed within 180 days of filing.

Strategies/Initiatives – Monthly reports will be submitted to Administrative Law

Judges and their assistants identifying non-Medicaid contested cases pending

over 180 days and non-Medicaid contested cases with no activity within past 120

days.

3.2 Objective – To dispose of 90% of Medicaid contested case filings within 90 days.

3.2.1 Measure of Success – Percentage of Medicaid contested cases successfully closed

within 90 days of filing.


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Strategies/Initiatives – Medicaid Administrative Law Judge assistant will

maintain a spreadsheet of all open Medicaid contested cases, arranged by filing

date, in order to identify aged cases.


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4. Office of Administrative Hearings - Rules Division -- Goals,

Objectives, and Measures of Success

Goal 1 – Publication of Rules

Describe the goal. To efficiently track the rules submitted to OAH for publication in the NC Register, OAH

website, and NC Administrative Code

1.1 Objective – Rules submitted by agencies are published within the established deadlines set

by statute or rule

1.1.1 Measures of Success –Notices and rules are published and available to the public

at no charge

Strategies/Initiatives – Rules and other information about the state’s

rulemaking process are available on the OAH website

Goal 2 – RRC Review of Rules

Describe the goal. To efficiently track the rules submitted to OAH for review by the Rules Review

Commission

2.1 Objective – OAH staff to review rules submitted for approval by the RRC

2.1.1 Measures of Success – RRC reviews rules and takes action within established

statutory deadlines

Strategies/Initiatives – OAH website contains all information concerning the

monthly RRC meeting, rules and reports submitted for review

Goal 3 – Rulemaking Training

Describe the goal. To provide rulemaking training to agency rulemaking coordinators, agency personnel,

and interested persons

3.1 Objective – To provide training annually

3.1.1 Measures of Success – OAH provides one or more training sessions annually

Strategies/Initiatives –OAH expands training to individual agencies and interest

groups

Tip - Recommended number of goals is 3 to 5.


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4. (Civil Rights Division) Goals, Objectives, and Measures of Success

Goal 1 - Conduct Employment Discrimination Investigations

1.1 Objective - Issue notices of determination that are consistent with established proof

standards for Title VII, ADEA and ADA charges.

1.1.1 Measures of Success - Percentage of charges that are accepted and approved by

EEOC.

Strategies/Initiatives - All Civil Rights Investigators are to participate in EEOC

technical assistance training and webinars.

All Civil Rights Investigators are to attend monthly scheduled meetings with the

Civil Rights Director and Compliance Manager for charge assessment and

development regarding enforcement standards.

Goal 2 - Reduce the Time to Formalize a Charge of Employment Discrimination

2.1 Objective - Decrease response time on inquiries to potential charging parties.

2.1.1 Measures of Success - Percentage of preliminary intake inquiries formalized as

charges after initial inquiry.

Strategies/Initiatives - Complete initial assessment and evaluation of all new

inquiries within 60 days.

2.1.2 Measures of Success - Percentage of charges formalized within statutory

deadlines.

Strategies/Initiatives - Complete formalized charge and provide notice to all

parties within 10 days.

Goal 3 - Complete Employment Discrimination Investigations in a Timely Manner

3.1 Objective - Finalize investigative process within 200 days.

3.1.1 Measures of Success - Percentage of Title VII, ADEA and ADA charges approved

and closed.

Strategies/Initiatives - Monthly reports will be distributed to Civil Rights

Investigators identifying TVII, ADEA and ADA pending charges in their inventory

that are over 200 days old.

Civil Rights Investigators will access and evaluate charges for potential

settlement within 45 days of case assignment and report progress monthly.

3.2 Objective - Reduce the administrative closure rate to 10%.

3.2.1 Measures of Success - Percentage of formalized charges closed administratively

within 120 days.


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Strategies/Initiatives - Civil Rights Investigators will review charge files

monthly to access for administrative closures.

Documents

OFFICE OF ADMINISTRATIVE HEARINGS STRATEGIC PLAN and ... · OFFICE OF ADMINISTRATIVE HEARINGS STRATEGIC PLAN and INFORMATION TECHNOLOGY PLAN FY 2017 - 2019 By Office of Administrative