Management and Administrative Review Guide

## for

**Kansas Natural Resources Conservation Service (NRCS)**

**Field Offices**

## 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 field office (FO) review?

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

#### Operations Management {#operations-management .unnumbered}

### Planning {#planning .unnumbered}

**[Workload and Program Assessment]{.underline}**

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

Do the priorities relate to the local, state, and national priorities?

Has a recent volunteer assessment been completed and incorporated into
the workload assessment?

**[Work Plan or Business Plan]{.underline}**

Is a jointly developed annual work plan being used to direct
NRCS/conservation district (CD) programs and is it following priorities?

Are goals/action items specific and measurable?

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

Does the work plan contain the specific action items to address civil
rights' responsibilities in program delivery?

Does the work plan include action items to address use of volunteers?

Is the local work group included in the locally led process?

What is the status of locally led conservation (does the CD have a
current long-range plan)?

Is the local Operational Agreement with the CD reviewed annually?

###  {#section .unnumbered}

### Directing {#directing .unnumbered}

**[Employee Development (Training)]{.underline}**

Are career plans being developed in Ag Learn carried out and is training
documented?

Does requested training match with identified needs?

Are the employees actively involved in preparation of their career plans
(also called individual \[IDP\] or employee \[EDP} development plans)?

Is the core curriculum being used to develop training needs?

**[Scheduling of Duties]{.underline}**

Is an effective scheduling and servicing system in place?

How often are FO staff meetings held?

Is there a system in place to assure that staff assignments are being
carried out?

Does staff have a 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]{.underline}**

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]{.underline}**

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

Have FO goals been entered in PRS?

Is the district conservationist (DC) tracking progress towards
completion of goals on a regular basis?

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

Is progress reported in all required locations (PRS/Toolkit, case file)?

Employee Certification -- Do applicable NRCS employees have a current
Kansas Practice Approval Certification?

*(Reference: National Engineering Manual Sections 5021.04 and KS501.04;*

*GM Title 180, Section KS409.9)*

**Civil Rights - EEO and Program Delivery**

Has a Civil Rights Review been conducted in this FO at least once in the
last five years?

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

Is civil rights included as a topic at staff meetings?

**Programs**

**Program Implementation**

**Conservation Reserve Program (CRP) (2-CRP)**

**(Conservation Programs Manual \[CPM\]) 518)**

**Conservation Security Program (CSP)**

**Environmental Quality Incentives Program (EQIP) (CPM515)**

**Wildlife Habitat Incentives Program (WHIP) (CPM517)**

**State Non-Point Source Pollution Control Fund**

**State Riparian and Wetland Protection Program**

**State Water Resources Cost-Share Program**

**State Watershed Dam Construction**

Is there an understanding of all program purposes and objectives: basic
policies, regulations, procedures, and required software (ProTracts)?

Are all programs actively marketed and utilized in the area?

Is there effective and adequate communication with conservation
partners?

Are local work groups established and are they addressing Farm Bill
programs?

Are the identified resource needs being addressed by programs?

Do all employees know the purpose of the Plant Materials Program?

Does the FO staff have an understanding of area-wide or watershed-based
planning and addressing resource concerns? Does the staff understand the
process to initiate a watershed project under PL-566 authorities?

**Emergency Watershed Protection (EWP) Program**

What is the understanding of the FO staff of the EWP Program?

Does the DC understand the types of assistance available under the EWP
Program?

Does the DC understand the steps to follow when a potential EWP Program
situation exists?

Has there been any recent EWP Program assistance (or potential
assistance) in the county?

**Farm and Ranch Lands Protection Program (FRPP))**

Is the DC aware of FRPP and its general provisions?

Are there easements within the county?

Has the DC provided any assistance to non-governmental organizations
(NGOs) acquiring and holding the FRPP easement(s) in the county?

**Resource Conservation and Development (RC&D)**

Does the DC and field staff have a good understanding of the purpose and
mission of the RC&D program?

Have the CD, individuals, groups, and/or units of government within the
county requested assistance from the local RC&D council?

What type of assistance did they receive?

Were services provided in a timely manner?

Do you have any concerns regarding the RC&D program and services
provided in your county?

Are people in the county kept informed of potential assistance available
from the RC&D and are they notified of current and completed projects?

Does the DC periodically attend RC&D council meetings?

Does the DC provide input to the RC&D coordinator or council regarding
resource needs and opportunities for assistance within the county?

What could be done to improve RC&D program assistance in your county?

**National Resources 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?

Are the more technical aspects of the NRI addressed in QARs?

What quality assurance measures are you using to ensure that NRI data
collected at FOs is accurate and collected objectively?

**Soil Survey and Technical Soil Services**

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

What method is used to document soil survey problems?

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

Are the existing soil interpretations adequate for the purposes of the
soil survey?

#### Administration {#administration .unnumbered}

**Personnel Management**

Is the merit promotion program understood and being utilized?

*(Reference: General Manual \[GM\] Title 360, Part 408)*

**[Awards Program]{.underline}** *(Reference: GM Title 360, Part 414)*

Are awards properly documented and submitted through EmpowHR?

Is proper consideration for all awards given without regard to race,
sex, grade, and series?

Are awards appropriate for the type of achievement?

**[Employee Responsibility and Conduct]{.underline}**

Are annual reminders from the national headquarters or the state office
reviewed and understood? *(Reference: GM Title 110, Part 405)*

Are employees aware of code of conduct and penalties for violations?
*(Reference: GM Title 110, Part 405 and the current employee ethics
guide)*

Are employees aware of ways to report fraud, waste, abuse, and bribery?

*(Reference: GM Title 110, Part 405 and GM Title 130, Part 404)*

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 and
exclusions? *(Reference: GM Title 360, Part 412)*

Is grade level of positions accurate in relation to responsibilities?

**[Employee Relations]{.underline}**

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

Do employees feel they are generally receiving information about
programs and issues that involve them?

Do employees feel the work environment is worker friendly and family
friendly? Instances?

What working conditions would employees like to change?

Employees feel positive about what working conditions.

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

Do employees know how to contact an EEO Counselor? (*Reference EEO
Poster)*

Do employees know what services the Employee Assistance Program (EAP)
offers?

Do they know how to contact EAP to get more information?

**[Performance Work Plan (PWP)]{.underline}** *(Reference: GM Title 360,
Part 409)*

Do employees have properly prepared and communicated elements?

Are PWPs in place a minimum of 90 days prior to rating employees?

Are supervisors aware of options available to address poor performers?

Do supervisor and employees have a clear understanding of the PWP?

Is employee performing duties described in the position description?

**Administrative Services**

**[Procurement]{.underline}**

Are credit cards available to meet the FO needs?

Are all government credit card maintained in a secure place?

Are there any unusual or inappropriate purchases made contrary to the
purchase authority training guidelines?

Is the cardholder reconciling online through Purchase Card Management
System (PCMS) in accordance with Kansas policy? *(Reference:
Departmental Regulation (DR) 5013-6)*

Is all supporting documentation for PCMS card purchases retained for
three years?

Does the staff know their authority to buy?

Are quarterly and/or on-site reviews of purchases conducted and
documented according to policy? *(Reference: DR 5013-6)*

**[Personal Property]{.underline}**

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

Is automotive equipment maintained properly?

Is mileage equalized according to policy? (*Reference: GM Title 120,
Part 405)*

Are vehicle keys 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., All
Terrain Vehicle \[ATV\], 2-way radio system)

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

Is there a 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]{.underline}**

Are records, reports, appropriate e-mails, and forms filed correctly?

Is the FO able to generate their own forms from the fillable forms CD or
from online forms' sites?

Are employees aware of where the current Kansas forms are? (All forms
are to be accessed online.)

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

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 on-line directives?

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

How are e-mails being handled/filed? *(Reference: GM Title 120, Part
408)*

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, travel, travel advances, verification of year-end, and
transmission of obligations and payables promptly sent to the paying
office, including year-end?

**Safety and Physical**

Is there a copy of the current Emergency Response Plan available to all
employees and is it reviewed annually?

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

Are all fire extinguishers properly serviced?

Are there obvious hazards in the office that need to be 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)*

Have employees received training/guidance relating to hazards associated
with chemical and biological work environment hazards? *(Reference: GM
Title 360,*

*Section 420.197)*

Are employees following policies on bio-security? *(Reference: GM Title
130, Part 403, Subpart H)*

What are employee awareness levels of personal safety issues in the
workplace? (high, medium, low)

Are employees aware of the safety policy *(Reference: GM Title 360, Part
420)*

Have employees received personal safety training/guidance?

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?

**Service Center**

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

Is the service center policy being followed?

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 on the Kansas Web
site)*

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

How do information activities support priority natural resource
concerns?

Are inventories and evaluations of educational activities coordinated
with our partners and other agencies?

**Balanced Use of Information Efforts**

How are audiences targeted and specific information materials prepared?

How are available media and information tools being used?

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

How is outreach promoted?

What are some outreach activities used to disseminate program
information and general NRCS awareness to targeted groups (underserved
and unrepresented, minorities, and women)? Do the FOs report to the AO?
What information is reported and where is it kept?

Are unique outreach activities (for targeted groups) shared with others
in the area through e-mail, DC meetings, or all-personnel meetings? Give
examples of some unique activities either received or shared with
others.

What grassroots organizations and/or community-based organizations are
provided program information to help spread program and general NRCS
awareness to targeted groups?

What barriers exist to participation of NRCS programs? If a barrier has
been identified, has a plan been developed to deal with the barrier? How
is the plan being implemented and how is its success being measured? Did
the AO have input into developing the plan?

**Relations with Groups**

Are groups provided information keyed to their interest?

What efforts are made to provide information to other groups keyed to
their interest?

How is information coordinated with other conservation partners?

**Conservation Education**

What is the status of conservation education in the CD?

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

**Use of Equipment and Materials**

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

Are bulletin boards and popular publications readily available to the
public and neatly displayed?

Is the non-discrimination statement visibly displayed on publications
made available to the public?

Is the non-discrimination stamp available?

Is the on-line non-discrimination statement on the Kansas Web site being
used?

Is the current news release form with the non-discrimination clause
being utilized when presenting information to the local media?

#### Relations {#relations .unnumbered}

**Other Agencies and Units of Government**

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

Does the local Food and Agriculture Council meet regularly or per
policy?

Are all partners with conservation interests being considered in local
planning and implementation? (*List local work group)*

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

Is the 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 utilized to assist with information
activities? If not, has a needs assessment for volunteer services been
completed with the staff and the CD?

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)?

Are new volunteers accurately entered into the national database?

Is there a current needs assessment on file?

Was the current needs assessment that is on file completed by staff and
the CD jointly?

Are volunteer hour records being maintained in volunteer file and being
reported in the national database regularly?

Are volunteers being recognized for their contributions?

Are volunteers SSNs and personal data secured?

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

#### Information and Technology {#information-and-technology .unnumbered}

**Security**

Is equipment and data secured in accordance with policy?

Is the annual Information Technology Review and Risk Assessment current
and completed in accordance with policy?

Does the district conservationist know where the Office of the Chief
Information Officer (OCIO) Information Technology Services (ITS) Field
Support Contingency Plan can be found?

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)*

Are telecommunications, telephone systems, and LAN/WAN being effectively
utilized to conduct business?

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?