**LECO NECSAS Program Evaluation Group**

**Improvement of Process and Procedures**

20 October 2000

[I. *Introduction.*]{.underline}

Over a six-month period, members of the LECO NECSAS Program Evaluation
Group (see II below) held more than 20 periodic meetings to review the
operating model by which the FY99 NECSAS Program was accomplished. The
goal of the Group was to improve the model to meet the stakeholders'
needs as well as program requirements.

Efforts of the Group resulted in a revision of the operating procedures
and processes that are outlined below (see III). These were implemented
in the FY00 NECSAS Program for the zonal assessments performed in Oregon
(21-24 August 2000) and Maryland and Virginia (18-22 September 2000).
The work of the Group is ongoing and provides the basis of a continuous
improvement process integrated into the NECSAS Program.

[II. *Membership of the LECO NECSAS Program Evaluation
Group.*]{.underline}

William R. Cunningham, OMAO \[(301) 713-3435; ext. 183\]

Richard Denny, ECSD \[(301) 713-2870; ext. 110\]

Edward S. Dlugosz, ECSD \[(301) 713-2870; ext. 114\]

Mike Jacob, NWS \[(301) 713-1839; ext. 118\]

### Jean Durosko, NOS \[(301) 713-3050; ext. 165\]

### Olga Kebis, NWS \[(301) 713-1838; ext. 173\]

Kristin Kniskern, NESDIS \[(301) 713-9204; ext. 143\]

John Pierson, NMFS \[(301) 713-2259; ext. 105\]

Yelena Platt, NWS \[(301) 713-1838; ext. 146\]

### Rica Semones, OAR \[(301) 713-9040; ext. 127\]

Jefferson Walker, NWS \[(301) 713-1839; ext. 174\]

[III*. General Outline of the Operating Processes and Procedures of the
FY00 NECSAS Program.*]{.underline} Using a questionnaire as a starting
point, members of the Group addressed both positive and negative aspects
and elements of the FY 99 NECSAS Program at the first meeting (24
January 2000). During subsequent meetings, the information on this
questionnaire was reviewed, commented on, and restructured into the
following revised operating processes and procedures that would be used
in the FY00 NECSAS Program (as practical). To date, the Group has
addressed the preparatory and planning phase (i.e., pre-assessment
activities and the on-site visit (i.e., site assessment activities):

1.  4^th^ Quarter, Fiscal Year. [Notification for the Annual NECSAS
    Planning Meeting.]{.underline}

The ECSD NECSAS Program Manager (PM) will solicit via e-Mail the
designated participants of the Annual NECSAS Planning Meeting (see Item
2 below) to schedule a mutually acceptable date and time for the
teleconferenced meeting. Once the date and time have been established,
the ECSD NECSAS PM will confirm the meeting details to the participants
via a second e-Mail no later than one month prior to the teleconference
to allow adequate preparation time.

**NECSAS Program**

**Process and Procedures**

20 October 2000

[1. *General Outline of the Operating Processes and Procedures of the
FY00 NECSAS Program (continued).*]{.underline}

2\. 4^th^ Quarter, Fiscal Year. [Annual NECSAS Planning
Meeting]{.underline}. The Line Offices in accordance with an approved
NECSAS Perpetual Calendar will identify specific
facilities/sites/activities for assessment in the next fiscal year's
assessment season. The LECOs in a scheduled teleconference with ECSD (to
include the RECOs, RSMs, and a representative from the Real Property
Division of the Facilities Office) will nominate candidate
facilities/sites which will be integrated into a tentative assessment
schedule as part of a draft assessment plan (aka draft Plan of Study).
In this draft Plan of Study, the facility/site visits will be targeted
to a 30-day period at least six months in the future to provide adequate
time for appropriate pre-assessment notification by the Line Offices.

By the end of the Planning Meeting, the schedule and scope of effort for
the next fiscal year NECSAS will be sufficiently developed and
documented so as to:

a.  allow the Line Offices to prepare the initial pre-notification
    letter to the

selected facilities/sites; and

b.  allow the ECSD NECSAS PM to document the following site-specific

information --

-   name of facility/site and mailing/geographical address(es)

-   facility/site manager; telephone number; e-Mail/FAX

-   on-site/remote buildings and structures

-   total square footage of buildings

-   description of activities and mission

-   the Designated Responsible Officer (DRO)

-   the responsible RECO(s), RSM(s), SECO, etc.

Also, at this time, participants will be identified from NOAA staff who
will participate as assessment team members (i.e., LECOs, RECOs, RSMs,
SECO, etc.). Alternate participant(s) will be identified as well in the
event that the primary candidate is unable to participate in the site
assessment activities.

3.a. 1^st^ Quarter of Following Fiscal Year. [Initial (First)
Notification Letter/and Pre-visit Questionnaire (PVQ)]{.underline}. The
LECOs will disseminate the initial, notification letter (with specified
information) within one week following the completion of the Annual
NECSAS Planning Meeting to provide maximum advance notice (i.e., six
months) to the facilities/ sites. A Line Office-/site-specific Pre-Visit
Questionnaire (PVQ) will accompany the

page two of four (2/4)

**NECSAS Program**

**Process and Procedures**

20 October 2000

3.a. [Initial (First) Notification Letter/and Pre-visit Questionnaire
(PVQ) (continued)]{.underline}.

letter along with instructions for completion of the PVQ and its return
to the Line Office. To ensure that the PVQ data reflects actual
facilities/site conditions as closely as possible to the time of the
assessment, directions will be included for the responsible party to
fill out the PVQ and return it no earlier than two months prior to the
scheduled assessment.

b\. 1^st^ Quarter of Following Fiscal Year. [Contract Acquisition
Package.]{.underline} ECSD will carry out all procurement actions to
enlist contractual assistance for the fiscal year's scheduled
assessments.

4\. 2^nd^ Quarter of Following Fiscal Year. [Interim (Second)
Notification Letter.]{.underline} A second, notification letter will be
disseminated by the LECOs with more detailed information (e.g., specific
dates within the selected two-week assessment period, composition of the
assessment team, reminder to complete/return PVQ by deadline, NECSAS
process description/chart, records/plans/documents and activities/POC
checklist, etc.). This interim notification should be transmitted no
later than three months prior to the scheduled assessment or
approximately three months following the completion of the Annual NECSAS
Planning Meeting.

5\. Six (6) Weeks Prior to Site Activities. [Return of Pre-Visit
Questionnaires (PVQs).]{.underline}

The Line Office(s) following an appropriate, internal quality assurance
review will return the completed PVQs to the ECSD. The information
documented on the submitted PVQs should reflect the most current site
conditions and activities, as much as possible, to provide an accurate
preview of the facility/site to the assessment team. The ECSD NECSAS PM
will, in turn, forward copies of the completed PVQs to the contractor
per contractual requirements.

6\. Three (3) Weeks Prior to Site Activities. [Travel
Memorandum.]{.underline} Detailed information concerning travel
arrangements (e.g., funding citation), on-site logistics, as well as the
final schedule of facility/site visits will be sent by the ECSD NECSAS
PM to the NOAA staff who will participate as assessment team members
(i.e., LECOs, RECOs, RSMs, SECO, etc.).

7.  Two (2) Weeks Prior to Site Activities. [Final (Third) Notification
    Letter.]{.underline} A third,

notification letter will be disseminated by the LECOs with the final and
complete details concerning the site activities (e.g., logistics of
kick-off meeting/formal briefings; team/facility visit schedules, etc.).
This final notification should be transmitted no later than two weeks
prior to the scheduled assessment to allow sufficient time for
distribution.

page three of four (3/4)

**NECSAS Program**

**Process and Procedures**

> 20 October 2000

8\. [Commencement of Site Activities.]{.underline} All members of the
assessment team will gather

for the kick-off meeting per directions outlined in the Travel
Memorandum. The kick-off meeting will be jointly conducted by the ECSD
NECSAS PM (or designate) and the Contractor Project Manager (CPM) to
provide comprehensive and complete information regarding the assessment
and program performance (e.g., the schedule; field communications;
responsibilities of team members; briefing logistics; review of
State/regional superseding requirements; etc.). The kick-off meeting
will be open to all NOAA personnel including facility/site managers,
etc. to bolster a greater understanding of the NECSAS Program. The
logistics for the formal in-briefing(s) at the centralized location will
be discussed with the briefing(s) being performed subsequently.

9.  [Performance of Facility/Site Visits]{.underline}. On-site
    activities will include an in-briefing,

physical assessment of the facilities during an accompanied site tour,
interviews, record and document search and review, and an exit-briefing.
The assessment team leader and members will provide routine feedback to
the facility/site manager or DRO throughout the visit to monitor
problems discovered and initiate immediate corrective actions, as deemed
appropriate through discussion.

10. [Documentation of Field Data.]{.underline} Once the facility/site
    visit has been performed, teams

will document their field data on the pre-selected assessment software
at the end of that day. The documented data will then be transmitted to
the centrally located quality assurance/quality control (QA/QC) group
for an independent review.

11. [Completion of Site Activities.]{.underline} Following the
    completion of the data collection

activities at the facility/sites by the field teams, the teams will
return to the centralized location according to the assessment schedule
and perform the final on-site QA/QC. Once the QA/QC review has been
completed, the CPM will conduct any pre-arranged exit briefings as
appropriate, then depart the site with the assessment team. According to
the requirements of the contractual delivery order, the Contractor shall
provide the appropriate Line Office representatives with whatever
printed deliverable specified (e.g., copy of the State Supplement of
Superseding Regulations, etc.).

Note: Work on the revision of the FY99 NECSAS Process and Procedures was
temporarily halted at this point to prepare for the upcoming FY00
assessments. The Group agreed to resume its efforts beginning with the
Post Assessment Activities (i.e., reporting phase) following the
completion of the final FY00 NECSAS Program assessment scheduled for
Maryland and Virginia. esd

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