Management and Administrative Review Guide

1

Management and Administrative Review Guide

for

Kansas Natural Resources Conservation Service

Management Units

Previous Audits

Are Management and Administrative Reviews conducted according to policy and are they used as effective management tools?

What is the date of the last complete Management Unit (MU)review?

Can the report of theprevious review be located and have corrective actions been completed?

Operations Management

Planning

Workload and Program Assessment

Has a workload and resource assessment been donein the last five years?

Explain how the priorities relate to local, state, and national priorities?

Work Plan or Business Plan

Explain how conservation district (CD) annual work plansare being usedin developing the MU business plan that directs Natural Resources Conservation Service (NRCS)/CD programs within the MU. Is it being effectively used to direct activities in the MU throughout the year?

In addition, is a MU annual work plan being developed and used?

Are goals/action items specific and measurable?

What specific assignments been made as to who will carry out the action items?

What specific action items are included in the work plan to address civil rightsresponsibilities in program delivery?

When was the local Operational Agreement with the CD last reviewed?

Organizing and Directing

Management of Operations

Describe supervisory district conservationist (SDC) actions that reflect full implementation of the MU concept.

When was the last MU staff meeting held? How often are they held? Are minutes taken and submitted to the Area Office (AO) on a monthly basis? Are all staff members, including the partner employees, included in the staff meeting? Why or why not?

How does the SDC ensure that all staff members are made aware of policy changes and direction sent by email, bulletin, memo, etc.?

Are actions and report due dates being tracked and are deadlines being met?

How often does the SDC visit the outlying offices in the MU? What is the purpose and what are the routine activities accomplished during these visits?

Employee Development (Training)

Are career plansbeing developed in AgLearn, carried out, and is training documented?

How does the requested training match theidentified needs?

How are the employees involved in preparation of their career plans (also called individual development plans [IDPs])?

Is the core curriculum used to develop training needs?

Scheduling of Duties

What scheduling and servicing system is in place in the office?

What system is in place to assure that staff assignments are carried out? Give an example of how staff members are used across the MU to meet workload priorities.

What indications do you see that show staff havea clear understanding of workload priorities?

Are the electronic tools and reports from Program Contracts System (ProTracts) used as a scheduling tool?

Evaluating

Quality Assurance Reviews

Has a Quality Assurance Review (QAR) been conducted at least once in the last three years? (Reference: Kansas Quality Assurance Plan)

Have all agreed-to items from the last QAR been adequately addressed and has the trip report been closed out?

Are results of QARs used as a tool to identify training needs?

Progress Reporting

Are the reports generated from the Performance Results System (PRS) used as a management tool?

Have field office (FO)/MU goals been entered in PRS?

Are the SDC and district conservationists (DCs)tracking progress towards completion of goals on a regular basis?

Do all employees report their progress in a timely and accurate manner?

Civil Rights―EEO and Program Delivery

When was the last Civil Rights Review conducted in theMU?

Have all agreed-to items from the last Civil Rights Review been adequately addressed and has the trip report been closed out?

What civil rights issues have been included as a topic at staff meetings?

Programs

Conservation Reserve Program (CRP)―2-CRP

Conservation Security Program (CSP)―Conservation Programs Manual (CPM) 518

Conservation Stewardship Program (CStP)―CPM508

Emergency Conservation Program (ECP)—1-ECP

Emergency Watershed Protection Program (EWPP)

Environmental Quality Incentives Program (EQIP)―CPM515

Farm and Ranch Lands Protection Program (FRPP)—CPM 519

Forestry Incentive Program (FIP)—CPM 520

Grassland Reserve Program (GRP)—Departmental Manual DM 9500-012

Wetlands Reserve Program (WRP)—CMP 514

Wildlife Habitat Incentive Program (WHIP)―CPM517

Conservation Technical Assistance (CTA)—CPM-525

Division of Conservation Cost-Share Programs

What activities are carried out to ensure that there is an understanding of all program purposes and objectives: basic policies, regulations, procedures, and required software (ProTracts)?

Do Review of Open Obligations Tool (ROOT) audits support that program contracts are being effectively administered?

Are all programs being effectively promoted? If not, why?

What activities are conducted to ensure that all programs are actively marketed and used in the area?

Describe the activities that demonstrate that there is effective and adequate communication with conservation partners?

Are local work groups established and are they addressing Farm Bill programs? (List local workgroup.)

How many times do the local work groups typically meet in a year?

Are minutes of the local work group meetings recordedand submitted to the AO?

Are the identified resource needs being addressed by programs?

Does the MU staff have an understanding of area-wide or watershed-based planning and addressing resource concerns?

Do employees know the purpose of the Plant Materials Program?

Are employees aware of the Plant Materials Center (PMC) tour or have they worked with the PMC?

NationalResources Inventory

Is there dissemination and use of National Resources Inventory (NRI) data as appropriate to local needs?

Are districts and others being informed about inventory activities?

What quality assurance measures are used to ensure that NRI data collected at the MUis accurate and collected objectively?

Soil Survey and Technical Soil Services

Does soil survey information meet the needs of internal and external customers?

Is theMU/FO staff familiar with the soils information needs of other partners? If so, what are some of these needs?

Is the Web Soil Survey being accessed for soil data?

Administration

Personnel Management

Is the merit promotion process understood? (Reference: General Manual [GM]Title 360, Part 408)

Awards Program (Reference: GM Title 360, Part 414)

Please explain the method of ensuring that proper consideration for all awards is given without regard to race, sex, grade, and series? When was this last discussed with staff?

How do you determine if the awards given are appropriate for the type of achievement?

Employee Responsibility and Conduct

Are annual reminders on standards of ethical conduct from thenational headquarters or the state office reviewedwith staff? What level of understanding do your employees have regarding ethics? (Reference: GM Title 110, Part 405)

Are employees aware of code of conduct and penalties for violations? (Reference: GM Title 110, Part 405 and Standards of Ethical Conduct [Office of Government Ethics (OGE) Regulations] at 5 C.F.R. Part 2635 Subparts A through I, USDA Supplemental Ethics Regulation at 5 C.F.R. Part 8301, and 5 U.S.C. § 7322])

Are employees aware of ways to report fraud, waste, abuse, and bribery? (Reference: GM Title 110, Part 405 and GM Title 130, Part 404 and"Whistleblower Retaliation, 5 U.S.C., Section 2302(b)(8)")

Are supervisors aware of how to deal with employee misconduct and employee rights to due process? (Reference: GM Title 110, Part 405)

Are supervisors aware of administrative grievance systems? (Reference: GM Title 360, Part 412)

Employee Relations

(These questions are to be asked privately with staff to achieve honest feedback.)

How often do employees receive information about programs and issues that involve them?

What policies do employeesfeel make the work environment worker friendly and family friendly? Instances?

What working conditions would employees like to change?

Are there indications that employees feel positive about working conditions?

Do employees understand the Equal Employment Opportunity (EEO) counseling and complaint process?

How do you contactanEEO Counselor? (Reference: EEO Poster)

How are employeesinformed about the services the Employee Assistance Program (EAP) offers?

Where do theygo to know how to contact the EAP to get more information?

Performance Management (Reference: GM Title 360, Part 409)

Do employees have properly prepared and communicated elements?

Are performance plansin place a minimum of 90 days prior to rating employees?

Are supervisors aware of options available to addresspoor performers?

Do supervisor and employees have a clear understanding of performance management?

Is employee performing duties described in the position description? Are they performing outside their position description?

Administrative Services

Procurement

Do employees have a Government Travel Card? Where do they maintain it?

Does staff know their authority to purchase with the Fleet Credit Card (FCC)?

Personal Property

Do employees have the necessary equipment to carry out their job duties?

Is automotive equipment maintained properly?

Are vehicle and all terrain vehicle (ATV) logs and receipt documentation being properly maintained?

Is mileage equalized according to policy? (Reference: Property Management Regulation 104I-38.70001)

Are vehicle keys and credit cards maintained in a secure place?

Is other equipment and property maintained as per policy?

Is there any CD-owned equipment used by NRCS employees(i.e., ATV, 2-way radio system)?

Is the operation and maintenance of this equipment identified in the local operational agreement and does itdescribe ownership?

Is therea system in place by NRCS and the CD to identify non-capitalized property ownership?

Are equipment items being safeguarded?

Is property accountability assigned and maintained?

Records Management

Are records, reports, appropriate e-mails, and forms filed correctly? (Reference GM Title 120, Part 408)

Has the MU established the electronic filing system and is it being used?

Do employees know how to access Kansas forms and other forms online?

Are obsolete records and files disposed of in accordance with GM Title120, Part 408, RecordsGuide?

Are the handbooks and manuals, etc., listed in the GM Title 120, Part 403, available for use? (Some are online while others are still in hard copy form.)

Are all staff members knowledgeable on how to access online directives?

Are actions and report due dates being tracked and are deadlines being met?

Are employees aware of the Freedom of Information Act (FOIA) and Privacy Act? (Reference: GM Title 120, Part 408, Subpart C).

Financial Management

Do employees understand and follow timekeeping rules?

Are employees recording time correctly in the Web-based Total Cost Accounting System (WebTCAS) and is time recorded daily? (Randomly select and review two timesheets for each employee.)

Are collections, employee reimbursements, and payables promptly sent to the paying office?

Are temporary duty travel receipts faxed to the AO within five days of travel completion?

Safety and Physical

Is there a copy of the current Emergency Response Plan (ERP) available to all employeesand is it reviewed annually? (Reference: Kansas Joint USDA Service Center Manual)

Have all employees provided emergency contact information and updated the information as changes occur?

Has the emergency contact information been removed from the ERP and filed in a secure location?

Are all fire extinguishers properly serviced annually?

Are there obvious hazards in the office that need corrected?

Are employees aware of policy and procedures to report accidents and injuries? (Reference: GM Title 360, Part 420, Subpart C; and Kansas Web site)

Are employees aware of threat assessment and violence prevention procedures? (Reference: Kansas Joint USDA Service Center Manual)

Are employees aware of safety policies? (Reference: GM Title 360, Part 420)

If employees have access to ATVs, is there documentation of the required training and required equipment (meaning helmets, goggles, etc.) and are they following required safety procedures as per policy?

Are safety topics a part of all staff meetings?

ServiceCenter

Are employees aware the Kansas Joint USDA Service Center Manual is posted on the Kansas Web site?

Is policy found in the Service Center Manual being followed? Specifically, is the policy on Building Security (Keys) under Section 7(A) being followed? Other sections to check include but are not limited to Section 7(C) Safety and Health Hazards, Section 6 (C)(1) Presidents and Secretary of Agriculture Portraits, and Section 3(E) Recycling.

Is the Service Center Implementation Team meeting as per policy?

Are all required posters properly displayed in the service center? (Reference: Kansas Joint USDA Service Center Manual)

Are all employees within the service center knowledgeable and aware of other agencies' roles and programs?

Does office space meet local needs and, if not, what procedures are being followed to address those needs?

MARKETING

Timely and effective use of information to support local natural resource priorities and objectives

Does the MU/FO have a marketing plan to disseminate program information to the public?

How do information activities support priority natural resource concerns?

Balanced Use of Information Efforts

How are audiences targeted and specific information materials prepared?

How are available media and information tools used?

Is information targeted at known groups that are under-served or under-represented?

What are some outreach activities used to disseminate program information and general NRCS awareness to targeted groups (underserved and unrepresented, minorities, and women)?

Is a record of outreach activities maintained in the FO?

How is information coordinated with other conservation partners?

Conservation Education

Does the CD address youth and school educational activities?

Is assistance provided to collegiate and adult education programs? If so, how is assistance provided?

Use of Equipment and Materials

Do MU/FO staffs use appropriate audiovisual equipment in their information program?

Are bulletin boards and popular publications readily available to the public and neatly displayed? Are there publications or signs posted or displayed regarding CD enterprise activities or vendor advertisements?

Is the nondiscrimination statement visibly displayed on NRCS publications made available to the public? (This includes partnership pieces that contain the NRCS logo and to which NRCS has contributed money.)

Is the nondiscrimination stamp available?

Is the online nondiscrimination statement on the Kansas Web site being used?

Is the current news release form with the nondiscrimination clause being usedwhen presenting information to the local media?

Relations

Other Agencies and Units of Government

Is there a good working relationship with other local units of government?

Does the SDC/DC understand the role of the local Food and Agriculture Council?

Is there a proactive working relationship between NRCS and the CD?

Is the MU/FO staff providing significant assistance (technical assistance, office, space, vehicle usage, equipment, supplies, etc.) to any state and local government entity or groups such as Watershed Restoration and Protection Strategy, Kansas Alliance for Wetlands and Streams, etc.?

Use of Earth Team Volunteers and Apprentices

Are volunteers and apprentices usedto assist with information activities?

Is training provided to volunteers and apprentices so they can assist?

Are volunteer folders set up and are application forms, position descriptions, timesheets, and/or letters of commendation or other records of recognition included in the folder?

Does the folder label reflect only the volunteer’s name (sensitive data such as date of birth [DOB] or social security number [SSN] should not be on the label)?

Is a current needs assessment on file that includes NRCS and CD needs?

Does the MU business plan address use of volunteers and include action items for using volunteers in specific activities?

Are volunteer records being maintained in volunteer file and the required data being reported in the national tracking systemaccording to policy?

Are volunteers being recognized for their contributions?

Is the area volunteer coordinator providing the office adequate assistance and guidance?

Information and Technology

Security

Is equipment and data secured in accordance with policy?

Is the annual Information Technology Review completed in accordance with policy?

Does the SDC/DC know where to find the Office of the Chief Information Officer (OCIO) InternationalTechnology Services (ITS) Field Support Contingency Plan?

Is adequate assistance provided when requested? Does staff know procedures for obtaining assistance?

Are backups accomplished and maintained as per policy? (Reference: Kansas Joint USDA Service Center Manual—FAC Notices)

Is current software meeting needs?

Is access to agency resources and records in accordance to policy and limited to authorized individuals?

Are computer files and records being maintained properly?

Are computer files purged as needed to prevent over-filling hard drive space?

Are Automated Data Processing (ADP) and Visitor Logs being maintained? (Reference: Kansas Joint USDA Service Center Manual—FAC Notices)

USDA-NRCS-KS

March 2013