Kentucky NRCS Quality Assurance Plan

GM Title 340 (Strategic Planning and Budget Analysis)

Part 404 (Evaluations)

Subpart B (Oversight and Evaluations)

404.13 (State Quality Reviews)

       I.      Introduction

A.      Purpose: The Kentucky NRCS Quality Assurance Plan provides for a consistent and coordinated state-wide effort to ensure there are clear directions, effective training and disciplined follow-up while ensuring that NRCS employees have the necessary knowledge, skills, and abilities to provide high quality products and services to our customers.

B.      Kentucky NRCS Quality Assurance includes ten major efforts:

1.      Identification of those processes that need to be performed consistently across the state followed by the development of Process Step Tables, Flow Charts and Review Tools for those processes. (This will be the job of the Kentucky Quality Process Team that we are currently seeking nominees)

2.     Technical and program reviews, including spot checks and status reviews:

a.      Technical

                            i.      Conservation plans and systems including erosion estimations based on RUSLE2 calculations.

                            ii.      Conservation practices – agronomic and engineered- design, layout, and checkout. All applied practices (cost share and non-cost share) are subject to quality assurance, including compliance with the Statements of Work.

                            iii.       Highly Erodible Land Compliance (HELC) and Wetland Compliance (WC).

                            iv.       Technical Standards and specifications

b.      Program

                           i.      Eligibility determinations

                           ii.      Ranking process

                           iii.      Contracting procedures

                           iv.      Status reviews

                           v.      Cost share

                           vi.      Processing of payments

3.     Area Quality Reviews to validate the information gathered during spot checks, status reviews, technical reviews and program reviews, as well as to evaluate the management and leadership of the Area and Field Offices and examine the most critical strategic issues in the state or Area.

4.     Leadership Development: 360 evaluations (summary and analysis of feedback to the Leadership Team and Management Team from their peers, direct reports and their supervisor) to improve management and leadership skills in the state.

5.     Documentation of decisions made by the Leadership Team and a system to track progress on implementing those decisions.

6.     Job approval authority, including planning and engineering

7.      Reviews of RC&D Council Operations, Program Administration and Management.

8.     Civil Rights Reviews.

9.     Administrative Operations Reviews.

10. Other items that Management determines are critical to the overall mission of NRCS.

C.     To maintain a high level of quality work, employees need to know and understand the policy and procedures related to their day to day work. Employees are encouraged to seek guidance when questions or unique situations arise.

D.    Quality assurance activities are conducted to promote sharing of knowledge and information among employees.

E.     Kentucky NRCS Quality Assurance has several goals:

1.     Maintaining high levels of technical quality.

2.     Performing in compliance with policy and within legal authorities.

3.     Recognizing employees’ commendable work.

4.     Maintaining high levels of productivity and efficiency without sacrificing quality.

5.     Gathering better information on where to spend resources on technology and/or training.

6.     Gathering more timely information on how KY is doing (performance and budget implications).

7.     Consistent processes resulting in consistent outcomes and minimization of re-work.

8.     More concise, complete and consistent direction to the field from State Office Management Team, section heads and program leads resulting in better customer service. Better training tools and reduction of “start-up time” for new employees.

9.     Continuous improvement of management and leadership skills in the state.

10. Developing and maintaining high levels of partner and customer satisfaction.

F.     Quality Assurance activities are to be conducted continuously to ensure accountability and results, as well as to assist in identifying needed changes in policies and operations and integrating those changes to optimize human, financial and other resources.

     II.      Policy

A.     Kentucky NRCS State Office uses six principal types of reviews:

1.     Oversight and Evaluation Reviews, which are planned and implemented by National Headquarters Management and Oversight Division.

2.     Area Quality Reviews, which are conducted in accordance with the (Area Quality Review Guide (To be completes)) to evaluate the leadership and management skills of the line officers and the effectiveness of policies, activities, and programs.

3.     Functional Reviews, which are conducted when a potential deficiency exists within a specific function or discipline.

4.     Spot checking and Status Reviews as outlined in the General Manual 

5.     Leadership Development: 360 Evaluations as part of the Leadership Team and Management Team continuous improvement

6.     Routine reviews of RC&Ds, Civil Rights and Administrative Operations.

B.     Assistant State Conservationists for Field Operations are responsible for quality assurance in their Areas. ASTC(FO)’s will use the field office appraisal guide in part or in its entirety are granted latitude in the establishment of some procedures to complete quality assurance and should involve their staff in the development of these procedures and share the results with the entire staff. However, if the procedures are outlined in the state’s Process Step Tables, they must be followed.

C.     The following items will be considered when developing state-wide or Area-wide procedures:

1.     Quality assurance is most efficient and effective when incorporated into normal field office operations. Quality assurance may be accomplished as program activities are being applied or as the layout and design of practices are completed. Mistakes, errors, or problems can be corrected as the work progresses, rather than waiting for completion.

2.      Quality assurance should be viewed as an opportunity for the interchange of ideas for improvement in processes and procedures.

3.     ASTC (FO)’s are responsible for promptly addressing deficiencies found during quality assurance reviews by scheduling actions and conducting follow-up.

D.      The State Conservationist is responsible for quality assurance in Kentucky with leadership provided by the Assistant State Conservationist for Operations (ASTC-O) and assistance provided by the Management Team and Resource Specialists.

E.     Each State leader is responsible for outlining and implementing quality assurance procedures for their areas of responsibility. This may include maintaining criteria, process step tables, checklists and review tools for quality assurance as well as directly participating in quality assurance and/or assigning discipline specialists to assist with review activities.

1.     Discipline Specialists will provide assistance to Area and Field Offices with local quality assurance activities as requested.

2.     Discipline Specialists will carry out independent quality assurance reviews in coordination with ASTC (FO)’s to assure statewide quality assurance.

3.     Discipline Specialists will complete quality assurance reviews as identified by or requested by the Leadership Team or Management Team.

4.     Discipline Specialists will regularly review the Field Office Technical Guide, the National Planning Procedures Handbook and other handbooks and manuals maintained in the field office to assure currency and consistency with National and State guidelines.

F.     DC’s will ensure that quality assurance is completed within their area of responsibility.

G.    Each NRCS employee in Kentucky has a responsibility to assist in ensuring high quality in NRCS’ activities, to provide input for improvements in delivery, productivity and services, and to implement corrective actions resulting from appraisals and reviews.

   III.      Guidelines

A.     Process Step Tables:

1.     Identification of processes needing to be consistent state-wide will be done by the Assistant State Conservationists, the Management Team and District Conservationists.

2.      Once a process for state-wide consistency is identified, the Kentucky Quality Process Team (KQPT) will work with the responsible person to draft a Process Step Table or Flow Chart.

3.     The Kentucky Management team will review the table and give their feedback.

4.     The Tables will be field checked after the KQPT has approved them.

5.     After the field check, the table will be revised, if needed, and put on the intranet.

6.     The ASTC (O) will coordinate an annual review of Process Step Tables with the programs and technical staffs to ensure that checklists are current and adequate to achieve the desired outcomes.

7.     See  _______future web site _______ for list of processes approved by the State Conservationist.

B.     Technical and program reviews:

1.     Quality assurance will include the technical quality of the program activities, conservation planning and practice installations. This will include: necessity and adequacy of planned systems to meet resource concerns, accuracy and adequacy of designs, quality of installation, compliance with the Statements of Work, accuracy of measurements and computations and the adequacy of supporting records.

2.     Quality assurance will also assess NRCS work products in terms of efficiency, consistency and conformance with NRCS policies, principles, rules and regulations:

a.     Highly erodible land compliance (HELC) and wetland compliance (WC)

b.     Programs – ranking forms, eligibility determinations contracts, status reviews, cost share, etc

c.      Technical Standards and specifications

d.     Soil survey field reviews are conducted within major land resource areas. The review is a vehicle through which the MLRA office maintains quality assurance, ensures that technical standards are met, and provides for progressive correlation.

3.      Selection of the program, activity or practice installation to be reviewed.

a.     The kind and number of program activities or practices installed in the calendar year will be determined from field office records such as PRS, Customer Service Toolkit and Pro-Tracts.

b.      Quality assurance of technical service providers or contractor checkout will be incorporated into the quality assurance process.

c.      Quality assurance will be conducted for all program activities and practices on all land in which NRCS employees have a vested interest

4.     State Office specialists including Program (CRP, EQIP, WRP, CSP, WHIP), Resource (Agronomy, Biology, Grazing lands, Forestry, Cultural Resources, Conservation Planning), Engineering, and Soils will be accountable for developing a quality assurance plan and procedure for their areas of responsibility. This may include maintaining criteria and checklists for quality assurance as well as participation in quality assurance.

5.     ASTC (FO)’s will ensure that employees do not provide quality assurance on land in which they have a potential conflict of interest.

6.     Notes and records of reviewed program activities/practices shall be filed at the field office in the Quality Assurance section of the correspondence files.

7.     As quality assurance is completed, it will be documented on approved forms and worksheets and filed in the correspondence files. (this should be edited to say State Office S: drive under path (Service Center/NRCS/Quality Assurance/Area number/field office name))

8.     The annual spot check process will be the means through which conservation planning, practice application and program compliance will be monitored in accordance with Kentucky policy.

9.     The National Food Security Act quality assurance is the responsibility of the State Resource Conservationist who ensures NRCS responsibilities for Highly Erodible Land and Wetland Compliance are carried out according to the National Food Security Act Manual. (Currently this is with the SRC in KY is there a need for change?)

10.  For detailed guidance and requirements for technical and program reviews, see:

a.     GM 450, Part 407, Subparts A, B, and C

b.     Field Office Technical Guide

c.      NFSAM (180-V-NFSAM, Part 519 for Highly Erodible Land and Wetland Conservation Compliance

d.     2-CRP Paragraph 403 B (Annual Status Reviews) for CRP

e.     Conservation Programs Manual (440-V-CPM) Part 512 Section 512.55, Contract Reviews, and Section 512.56, Quality Assurance for WHIP

f.       Conservation Programs Manual (440-V-CPM) Part 512 Section 512.55, Contract Reviews, and Part 515 Section 512.82 for EQIP

g.     Conservation Programs Manual (440-V-CPM) Part 512 Section 512.55, Contract Reviews, and Part 518 Section 518.106 for CSP

h.     Conservation Programs Manual (440-V-CPM) Part 514, Subpart G (Quality Control) for WRP

i.       National Planning Procedures Handbook

j.      State Level Agreement between Kentucky NRCS and the Kentucky State Historic Preservation Officer Cultural Resources

k.     GM 120, Part 404 for Land Treatment – Long Term Contracting

l.        National Engineering Manual, Part 501, Subpart A (Authorizations), 501.05(b) Post Reviews

m.   National Engineering Manual, Part 511, Subpart A (Procedures), 511.05 Design Checking and Review

n.     National Engineering Manual, Part 512, Subpart D (Quality Assurance Activities), 512.32 Quality Assurance Procedures

o.     National Engineering Manual, Part 512, Subpart E (Equipment, Records and Coordination), 512.41 Records

p.     National Engineering Manual, Part 512, Subpart F (As-built Drawings)

The following amendments are reserved for state guidance (this is guidance from IA with their supplements or handbooks we need to include similar documents from K)

q.     Section 609 of the National Soil Survey Handbook Kentucky Amendments:

r.      450 GM, Subpart C, 407.2, Spot checking, IA Amendment 6, June 1994

s.      450 GM, Subpart B, Documentation and Certification, KY Amendment 4, April 1992

t.      NEM Kentucky Amendment 32, May 2003

u.     NEM Kentucky Amendment 26, Nov 1987

C.     Area Quality Reviews:

1.     Schedule of Area Quality Reviews (based upon funding levels)

Kentucky Area Quality Review Calendar Year Schedule

Area 3   2008, 2011, 2014

Area  2   2009, 2012, 2015

Area  1  2010, 2013, 2016

2.     See Area Quality Review Guide

D.      Leadership Development: 360 evaluations to improve management and leadership skills in the state

1.     The Management Team will receive feedback from their peers and direct reports on a bi-annual basis.

2.     The results will be used in develop training plans for continuous improvement of leadership and management skills.

3.      The State Conservationist is responsible for monitoring and evaluating the progress of the Management Team.

E.     Documentation of decisions made by the Leadership Team and a system to track progress on implementing those decisions:

1.     The to the State Conservationist documents all decisions made during Management Team meetings.

2.     The Executive Assistant to the State Conservationist keeps track of progress made on all decisions.

3.     The Executive Assistant to the State Conservationist has a system for reminding those responsible for actions or follow-up.

4.     The Executive Assistant to the State Conservationist puts items and issues on the meeting agendas until they are completed or the STC decides no further action is needed.

F.     Job approval authority – planning, engineering

1.     Job approval authority is the responsibility of the State Engineer and the State Resource Conservationist.

2.     For engineering job approval authority, see National Engineering Manual, Section 501 and (This need to be edited to the Kentucky notice)

3.     Approval to complete HEL and wetland determinations or cultural resources evaluations is dependent upon successful completion of the required training.

G.    RC&D Council Operation and Program Administration and Management:

1.     The reviews will be completed on a five year rotation

2.     The reviews will cover the following:

a.     Council Operations

                                                                                                       i.      Area Plans and Plans of Work

                                                                                                     ii.      Projects

                                                                                                   iii.      Grants management

                                                                                                    iv.      Council membership

                                                                                                      v.      Council member training

                                                                                                    vi.      Council support

                                                                                                  vii.      Council fiscal responsibilities

                                                                                                viii.      Volunteers

                                                                                                   ix.      Working with the legislature

                                                                                                     x.      Meetings and minutes

b.     Program Administration and management

                                                                                                       i.      RC&D database

                                                                                                     ii.      Role of the Coordinator in program management, effectiveness and accountability

                                                                                                   iii.      The Administrative Assistant position

                                                                                                    iv.      Procurement

                                                                                                      v.      Equipment

                                                                                                    vi.      Fiscal management

                                                                                                  vii.      RC&D Office

H.    Civil Rights Reviews:

1.     Civil Rights reviews will be conducted with other appraisals whenever possible and will cover the following:

a.     Programs

b.     Training

c.      Public Notification

d.     Data collection

e.     Records

f.      Complaints

g.     Partner Responsibility

h.     Office Accessibility

i.       Employment and Recruitment

j.      Counseling

k.     Mediation

l.        Awards

m.   Awareness

n.     Special Emphasis Programs

o.     The information gathered will be used to focus on needed training, issues of concern and commendations, if any.

I.       Administrative Operations Reviews:

1.     The reviews will include the following:

a.      Human Resources

b.     Financial Management

c.      IT

d.     Purchasing and Contracting

e.     Public Affairs

f.      Fund Management

J.      Operations review will review accountability tools, workload management and partnership agreements management

   IV.      Reporting

A.     Documentation of reviews of programs/activities shall be provided to the line officer as soon as possible after the review but no later than 15 days after the review.

B.     As quality assurance is completed, it will be documented in a report or on approved forms and worksheets. The most current version of checklists or forms will be used.

Appendix A

Kentucky NRCS Quality Assurance

Kentucky Quality Process Team

Purpose:  The Kentucky Quality Process Team is made up of Kentucky NRCS employees from all areas and represents all disciplines.  The team works to provide a more consistent and coordinated statewide effort of how work is done within the agency, by creating tools that provide employees with clear direction of NRCS’ processes, and enhance the delivery of quality products and services to our customers.

The KQPT is charged with coordinating feedback and recommendations to aid in the development, implementation, documentation, and deployment of tools, processes, and policy that will increase overall efficiency and effectiveness in completing activities within the Kentucky Business Plan.

The team is responsible for:

• reviewing and providing feedback on quality assurance tools that are developed;
• acting as a sounding board for questions;
• identifying tools that are not effective;
• identifying additional tools that are needed;
• making recommendations pertaining to audit review results, linking to other programs, and improving the QA efforts statewide.

The KQPT is also available to help the State Conservationist’s Principal Staff develop process tools for the above functions.

The KQPT Members

The team members are NRCS employees from all areas of the state and represent all disciplines. 

* Permanent membership is based on the position.

KQPT Guidelines

• Identification of processes needing to be consistent state-wide will be done by the Principal Staff.  Field level personnel should submit processes needing evaluated through chain of command.
• The urgency of the process will be determined and if necessary a special session of the KQPT will be held.
• Once a process for state-wide consistency is identified, the KQPT and a staff person familiar with the process by nature of their job duties will draft a process table or flow chart. 
• The table or flow chart will be checked at the field level and revised as necessary.
• The process will then be posted to the Kentucky NRCS intranet.
• The ASTC(O) will coordinate an annual review of the process table or flow chart with programs and technical staff members to ensure desired outcomes are being achieved.

Some examples of the processes to be evaluated include:

• Conservation Compliance Status Reviews
• Conservation Plan Development (9-step process)
• Cultural Resources Determination
• Farm Bill Program Contracting
• Space Needs Approval

< Back to Management Staff and Responsibilities ...