2011 Care Manual - Final

7/29/2019 2011 Care Manual - Final

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From CARE 1992 Memo:

The Main Objective of the CARE Programwas to concentrate on assisting the Locationbeing reviewed to understand what can bedone to improve their operations in the trueparticipative spirit of TQM, while at the same

time, perform the Limited Reviews as spelledout in the USDA, OFM, Consolidated ReviewProgram Guide.

CARE PROGRAM

2011CONSOLIDATED ASSISTANCE REVIEW AND EVALUATON

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Office of the DeputyAdministrator

Administrative and FinancialMana ement


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2011 CARE MANUAL

CONTENTS

PRE-REVIEW ACTIVITIES ...................................................................................................................8Review Team Selection ....................................................................................................................8CARE Management Team Site Scheduling ................................................................................. ....8Review Site Characteristics ..............................................................................................................8Coordinate Review Dates/Scheduling Letter ....................................................................................8

PREPARATION FOR CARE REVIEW ..................................................................................................8Scheduling Letter ..............................................................................................................................8Telephone Contacts ..........................................................................................................................8

REVIEW PROCEDURES ......................................................................................................................9Introductions/Opening Conference ...................................................................................................9Tour of Facilities ...............................................................................................................................9Interviews/Reviews ...........................................................................................................................9Documentation ........................................................................................................................... ......9

Assessment ......................................................................................................................................9Management Briefing .....................................................................................................................10

.......................................................................................................................................................................

.....................................................................................................................TRACKING AND REPORTING

...................................................................................................................................................................10CARE Review Report .....................................................................................................................10

Assurance Statements ....................................................................................................................10Tracking Locations Reviewed .........................................................................................................11Report Recommendations ..............................................................................................................11

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Jamie Wadzink VacantCARE Program Manager CARE Executive

Assistant [email protected]

Ph: 301-504-1007 Ph: 301-504-1039
mailto:[email protected]:[email protected]


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CARE PROGRAM

2011CONSOLIDATED ASSISTANCE REVIEW AND EVALUATONCHARTER

http://www.afm.ars.usda.gov/programs/CARE/index.htm

I. PURPOSE

The primary goal of the CARE Program will be to concentrate on assistingthose reviewed to understand what can be done to improve their operationsand how to actually make the necessary changes to improve. While

accomplishing this objective, CARE Teams will perform a limited review ofadministrative and financial activities in accordance with requirements of theFederal Managers Federal Integrity Act and Departmental Regulation No.2100-001. http://www.ocio.usda.gov/directives/doc/DR2100-001.pdf

The CARE Program includes the review of all operational/managementactivities of an organizational unit through a consolidated approach that willprovide sufficient assurance about the effectiveness and efficiency ofadministrative and financial management activities performed.

The CARE Program will meet the minimum assurance requirements of OMBCircular A-123 (Internal Control Systems), A-127 (Financial Management

Systems), A-130 (Management of Federal Information Resources), andapplicable Executive Orders. These Circulars and Executive Orders and otherFederal regulations provide the policies and guidance Federal employees areto follow in successfully performing their duties.

The objectives of the CARE Program will be to:

- Assist, in a helpful and proactive way, those being reviewed tounderstand what can be done to improve their operations.

- Help those being reviewed to interpret and understand current policyand procedure guidance.

- Identify gaps in available guidance/policy/procedures that requireattention in order to meet the needs of Location activities.

- Promote efficiency, economy and responsiveness to program needsthrough the identification of trends and the sharing of ideas andtechniques for improving administrative processes.

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- Assure compliance with Federal policies and regulations by officiallydesignated employees.

II. COORDINATION AND INTERACTION

The Deputy Administrator, Administrative and Financial Management (AFM)will provide leadership in coordinating the CARE Program. The DAAFMManagement Analyst will serve as the CARE Program Manager.

The Deputy Administrator, AFM, and the CARE Program Manager will interactwith the AFM Divisions, Area Directors (ADs), Deputy Area Directors (DADs),and Location managers through meetings, reports, and requests.

The CARE Program Manager will report any material weaknesses as definedin OMB Circular A-123, to the appropriate AFM Division and ARS ManagementControl Official located in FMD.

III. MEMBERSHIP

CARE Team members will be selected from Area and Location leveladministrative offices, and branches of the AFM Divisions. Individualsselected will be those who have successfully demonstrated the knowledge,skills and abilities required to be a member of the CARE Program. Thesequalities include: aptitude and willingness to learn outside of ones functionalexpertise, demonstrated teamwork and communication skills, objectivity, andadaptability to a dynamic environment. CARE Team members serve for 3-

year terms, resulting in one-third of the CARE Program membership changingyearly.

Each CARE Team typically consists of eight members, organized as follows:

Two Administrative Officers/Technicians.

Four functional experts, chosen from the following areas of expertise:

Information TechnologyHuman ResourcesSafety, Health, and Environmental Management (SHEM)

Two additional members, chosen from the following groups:

Administrative Officers/Technicians Research Leader Secretaries Extramural Agreements functional experts Budget and Fiscal functional experts Procurement and Property functional experts

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The goal of CARE Team composition is to achieve as much balance betweenHeadquarters, Area, and Location representation as possible withoutcompromising functional specialties or the issues and needs of the Locationsbeing reviewed. In addition, the CARE Program Manager reservesthe right to increase or decrease the size of the CARE Team sent to aparticular Location, depending on the size and geographic dispersement of

the Location, and the identified issues to be resolved there.

IV. RESPONSIBILITIES

1Deputy Provide leadership in coordinatingAdministrator the CARE Program.

Provide resources in the form of a ProgramManager

and clerical support.

1CARE Program Manager Establish CARE ProgramManagement Plan and Schedule.

Coordinate and interact with Area/LocationProgram Managers, DAAFM, AFM Divisions,Area Directors, and Deputy Area Directors.

Evaluate and select CARE Team members. Recommend and select CARE Team leaders. Provide leadership and guidance to the CARE

Teams through:- Team building- Objective/goal setting- Established review procedures- Resource allocation

- Consolidation of findings.1 Report accomplishments/findings/and trendsto the DAAFM, ADs, AFM Divisions and DADsvia CARE e-Survey and Functional Questions.

Keep AFM Division Directors and DADsinformed on progress.

Report limited review assurances to FMD andresponsible AFM Division.

Represent the CARE Program at conferencesand meetings.

1AFM Division Directors/DADs Nominate CARE Team members.

1 Provide functional expertise to CARE Teams. Provide reference material (regulations,

policy, procedures, etc.). Incorporate changes in P&Ps consistent with

findings regarding gaps. Provide assistance to resolve issues

identified in CARE reports. Develop consolidated Action Plan to address

report findings.

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Follow-up on report findings to ensure thataction items are resolved.

1CARE Team Leader Provide on-site leadership to reviewteam members.

Lead opening conference. Consolidate review findings and report

accomplishments/findings to the CAREProgram Manager.

1CARE Team Members Actively participate in CARE Teammeetings.

When selected, actively participate in on-sitereviews.

Willingly share techniques, processes, andideas on accomplishing qualityadministrative support.

Actively recognize and document bestpractices for improving administrativeprocesses.

Provide advice and assistance to thosereviewed.

Suggest changes to processes that willimprove the quality of administrativesupport.

Draft appropriate sections of the report.

V. REVIEWS

Reviews will be scheduled each year according to the following cycle of CAREreviews per Area per year:Beltsville 1

Mid South 1Midwest 1North Atlantic 1Northern Plains 2Pacific West 3South Atlantic 2Southern Plains 2Area Office 1

No member of a CARE Team shall be from the Area in which the Location forreview is located.

A report of the findings/recommendations will be completed and submitted tothe DAD and Location management through the DAAFM within 6-7 weeks ofthe on-site review.

VI. RESOURCES

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The AFM Divisions and DADs shall provide travel and support services fortheir respective representatives.

Travel expenses for Location representatives and the cost of meetingfacilities will be from funds made available by the DAAFM.

_______________________ _______________________James H. Bradley DateDeputy Administrator, AFM

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11REVIEW PROCESS

PRE-REVIEW ACTIVITIES

Review Team Selection : CARE Teams consist of employees from all levels ofthe AFM organization whorepresent all disciplines involved in administrative operations/management. Thereview team selectedto review sites within an Area will consist of Area and Location members fromAreas other than the oneselected for review. The CARE Program Manager will select review sites anddevelop CARE reviewteams annually.

Review Site Scheduling : Based on Area and AFM Division input, the CARE ProgramManager will establish a schedule for review of a selected number of sites withineach Area. Sites where the AO/T has been in place for less than 1 year are usually

not reviewed, but may be reviewed in certain circumstances. The ultimate goal ofthe CARE Program is to review all ARS sites approximately every 8 years.

Review Site Characteristics : The characteristics of the review site will be identified.Identification of these characteristics can be made through review of the ARMPSinput for the current year. CARE

Team Leader will contact Kim Parks, Chief, FMD for current ARMP [email protected]

Coordinate Review Dates/Scheduling Letter : At least 4 weeks prior to theplanned start of the

review, a scheduling letter (Attachment 2) will be sent to the Research

Leader/Location Coordinator and Administrative Officer, with copies to the AreaDirector, Deputy Area Director, CARE Program Manager, and CARE Team Members.

The Team Leaders Checklist (Attachment 8) will assist Team Leaders with assuringthat all pre-review procedures have been accomplished.

PREPARATION FOR CARE REVIEW

Scheduling Letter & CARE e-survey : The CARE Review Team Leader will contactthe Location Coordinator and the Administrative Officer/Technician to issue a jointscheduling letter announcing the CARE Program intent and planned Locationreview dates. A copy of the CARE Charter and CARE e-survey will be emailed to theLocation 4-6 weeks prior to the review. The CARE e-Survey will be sent to the

entire Location. By capturing this information ahead of time, the CARE Team leaders willbe better prepared to provide assistance to the Location being reviewed.. A copy of thescheduling letter will be sent to the Area Director, Deputy Area Director, and CAREProgram Manager. The scheduling letter will be formatted according to Attachment2.

Telephone Contacts : The Deputy Area Director and the CARE Review Team Leaderwill personally

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contact the Location Coordinator and the Administrative Officer/Technician todiscuss the review and any areas of emphasis the Location personnel would like thereview team to assist them with.

REVIEW PROCEDURES

Introductions/Opening Conference : CARE Review Team Leader will introduce theReview Team Members to the Location Support Staff (LSS). After the introductionto the LSS, the Team Leader and Co-Leader will meet with the Location Coordinatorand the AO/T to discuss the goals of the program. An opening conference will bescheduled for the LC, RL's, and their secretaries, Administrative Officer/Technicianand staff, and other Location personnel. The opening conference has a dualpurpose: 1) to introduce the CARE Program and Review Team members to Locationpersonnel; and 2) to get an understanding of the Location characteristics along withany areas the Location wants addressed. The Review Team Leader should take thelead by introducing the team members and providing a brief introduction of theCARE Program. The team should solicit concerns the Location wants addressed.

The agenda should be reviewed with notations of any needed changes. A sampleOpening Conference Notes (Attachment 3) will assist Team Leaders with theopening conference.

Tour of Facilities : A 1-2 hour tour of the facilities should be conducted to offer theCARE Teama glimpse of the research conducted at the Location and to become familiar with

the facilities at theLocation.

Functional Interviews/Reviews : The reviews should be a combination ofinterviews and document

reviews. Keep in mind the main goals of the CARE Management Team. The AFMfunctionalquestions should be answered to the maximum extent possible. Actual review offunctions shouldincorporate the guidelines contained in the USDA Procurement ManagementReview Handbook;Area developed guides; and CARE Management Team Guides.

Documentation : All activities of the Review Team shall be documented. To thedegree possible, all

functional questions must be answered either through interviews or review of filesand

documentation should be coded according to the AFM Functional Questions. Asreview of files is

conducted, clear notes on findings should be recorded either in the functional codesection of the

manual or on paper by code.

Daily TEAM Assessment : The Review Team should set aside a portion of time tomeet, discuss

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findings, and consolidate documentation. Questionable areas should be verified andcross-referenced

with other functional areas when necessary. Special attention should be given topositive findings

and capturing Best Practices. Any follow-up guidance/help/assistance should benoted. Major non-

conformance which will be referred for action should be noted.

Location Leadership Out- Briefing : The Team Leader will provide the opportunity fora separate

discussion with the Location Coordinator and AO/T to discuss the review. During thereview, the

Team Leader may also provide a briefing to the DAD and CARE Program Manager.All significant

findings (No Assurance, Assurance with Exception, Commendation, Best Practices,and Assistance

Provided) must be documented and a written copy provided to the Locationmanagement prior to

Team departure.

DOCUMENTATIONOF CARE REVIEWS/TRACKING AND REPORTING

Tracking and Reporting of CARE activities will support the management controlsconsolidated under

the CARE Program. Reports generated will provide supplemental information tosupport ARS

Internal Management, USDA Management Control Program, USDA ConsolidatedReview Program, and

the USDA Productivity Improvement Program (TQM).

CARE Review Report : At the completion of reviews at a Location a consolidatedreport utilizing the

format in Attachment 4 will be developed and signed by the Review Team Leader,reviewed and

signed by the CARE Program Manager and Deputy Administrator AFM, anddistributed

electronically within 6-7 weeks to:

Deputy AdministratorAFM Division Directors & CARE Functional Question Experts Team

Deputy Area Director

Location Coordinator & Administrative Officer/TechnicianCARE Review Team membersARS Management Control Officer

Assurance Statements : At the completion of reviews an Assurance Statement utilizing the format inAttachment 5 will be developed and signed by the Review Team Leader, reviewed and signed by the CAREProgram Manager and Deputy Administrator for Administrative and Financial Management, and attachedto the final CARE Report.

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Tracking Locations Reviewed : A list of all annual CARE reviews (Locations and dates) is maintained onthe CARE Web site: www.AFM.ARS.USDA.GOV/Programs/CARE/INDEX.HTM.

Report Recommendations : Locations will submit an action plan through the Deputy Area Directoraddressing any significant findings of No Assurance and Assurance With Exception. AFM Divisions

will also respond to each CARE reports significant findings. All responses to CARE reports are due to

the CARE Program Manager within 4 weeks of the final release of the CARE report.

CARE PROGRAM2011

CONSOLIDATED ASSISTANCE REVIEW AND EVALUATON

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Date

SUBJECT: CARE Review - (Location)

TO: (Name)Research Leader/Location Coordinator(Location)

(Name)Administrative Officer(Location)

FROM: (Name)CARE Team Leader

ARS Administrative and Financial Management has implemented the ConsolidatedAssistance, Review, and Evaluation (CARE) Program aimed at assisting ARS Locations

in meeting customer needs and expectations.

I will lead the CARE Review Team at (Location). As discussed in our telephoneconversation, your Location has been selected for review during the week of (month,days, year).

The following documents are attached: Review Team List CARE Review Schedule CARE Charter

***New for the 2011 reviews***CARE e-survey: The purpose is to evaluate the efficiency and delivery of

administrative services being conducted at the Location, Area and Headquarters.This link will be emailed approximately 2-3 weeks before your review. By capturingthis information ahead of time, the CARE Team leaders will be better prepared toprovide assistance to the Location being reviewed.

If you have any questions, please feel free to contact me. Please also check out theCARE Website at: http://www.afm.ars.usda.gov/programs/CARE/index.htm I can bereached via e-mail at (e-mail address) or by telephone on (phone #). We lookforward to visiting the (Location), and appreciate your support of the CARE Program.

Enclosures

cc:Area Director w/o encl.Deputy Area Director w/o encl.CARE Program Manager w/o encl.CARE Team Members w/o encl.

SAMPLE E-SURVEY EMAILHello (City Name) Location!

During the week of a Consolidated Assistance, Review andEvaluation (CARE) Team will be at the location to review the administrative

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support functions and provide assistance. The emphasis of the review is on providingassistance! As part of the review we would like your input and perspective on theadministrative support you receive at the location, from the Area offices, and from theAdministrative and Financial Management (AFM) divisions in Beltsville. The team will bebetter prepared to provide assistance once they arrive at your location if locationemployees complete the survey prior to our arrival. If after taking the survey you would

like to have a personal interview please feel free to contact or Iand we will set aside time during the week to meet with you. Contact information isprovided below.

The survey is user friendly and all information gathered will be anonymous andconfidential. We ask that you complete the survey by .

To take the survey please go to http://www.surveymonkey.com/s/CAREwebsite. YourAdministrative Officer, , can arrange for a place to take the survey ifyou do not have access to a computer or the internet.

(name)CARE Team Lead(e-mail)(phone)

(name)CARE Team Co-Lead(e-mail)(phone)

**************************************************************************************************************

SAMPLE E-SURVEY REMINDER EMAILHi (AO name),

The Location is off to a great start with taking the survey. (number) employees have

started the survey and (number) have completed it so far. Since the survey will close this(day of the week) we would appreciate it if you could forward the enclosed reminder to allLocation employees. We want to ensure everyone has an opportunity to provide commentsand concerns about delivery of administrative services within the Agricultural ResearchService.

Thank you,

(name)CARE Team Leader(phone)

CARE e-survey setup Steps

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1) Email dates of Location Review to CARE Program Manager.

2) Log into Survey Monkey https://www.surveymonkey.com/MyAccount_Login.aspx

a. Username & password are: CARE Manager will share with Leaders

b. Please keep this only for the CARE leaders - Confidential

3) Find your Location Survey under the CARE folder. CARE Program Manager hasalready set up your Survey formats.

4) Click on Collect Responses Tab in your Locations survey.

5) Name your Survey For example FtLauderdaleARS

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6) On the next tab, you can create the custom survey weblink and click Apply.

a. http://www.surveymonkey.com/s/ftlauderdaleARS (this is link you would send

to Location to take the survey)

7) After you have created your weblink, go to the Change Restrictions button:

8) Here, you will set the dates you want the survey to open and close. Look at when

your review is scheduled and give yourself and the Location enough time to

complete and review the survey.

For example: Ft. Lauderdale is scheduled for May 8-13, 2011. The link is currentlyopen, but will close on April 29, 2011.

9) You are done! Now, you just wait until your survey closes and go to the Analyze

Results Tab and print a summary of your report.

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10)Review the report with your team ahead of the review. You can also share with the

Location Leadership and DAD.

SAMPLE CARE Review Proposed Agenda

Day 1: The CARE Team arrives at the Location and members are introduced to the LocationAdministrative staff. The Team Leader and Co-Leader meet with you and your Administrative Officertogether or separately. We will discuss the review and determine if there are any specific administrativefunctions/concerns you want addressed or additional individuals you want us to see. We will discuss thetrends identified by the CARE e-survey.

Opening Conference

Introduction of Team MembersIntent of CAREQuestion and answer sessionTour of FacilitiesDuring tour, members should make mental observations, impressions, and findings and share withthe Team after Tour.Functional Interviews and Review of filesClarify issues, obtain information, write down when you provided assistance and follow-up withpersonnel as necessary.End of Day Team de-briefingVisit about your findings on day 1, cross-reference across sections when necessary.

****************************************************************************************Day 2 & 3:Functional Interviews and Review of files

Clarify issues, obtain information, write down when you provided assistance and follow-up withpersonnel as necessary.End of Day Team de-briefingVisit about your findings on day 1, cross-reference across sections when necessary.Significant FindingsBegin to identify any No Assurances, Assurance With Exceptions, Commendation, Best Practices,and Assistance Provided for your written report for your CARE Team Leader due on Thursday.

***************************************************************************************Day 4:

Functional Interviews and Review of filesRe-check Functional Questions to make sure your answers are clear and clarify with Location

Personnel when necessary.Significant FindingsFinish your written report capturing the significant findings for your CARE Team Leader due onThursday by Noon. If time allows, help other team members or start typing up the answers to yourfunctional questions.End of Day Team de-briefingPreview the Executive Summary for your section and all other Sections for grammatical clarity. Beprepared to explain your session to Location Leadership in Final Out-briefing on Day 5. CARETeam Leads will give DAD heads up via telephone and courtesy copy of Executive Summary via

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email.****************************************************************************************Day 5:

Location Out-briefingCARE Team briefs Location Leadership about the Significant Findings identified in the ExecutiveSummary.

CARE Team Leader Checklist

ITEM DATE ACCOMPLISHED

Immediately After CARE Training for New Members

CARE Program Manager provides mailing list of teammembers to team leaders _________Work with Co-Leader/Teams/Locations to setdates of reviews _________

Four-Six Weeks Prior to Review

Call DAD to discuss issues at Locationto be reviewed and to assure Location is aware itwas selected for review _________

Call AO/T and LC to explain CARE process and discussissues at Location. Work with AO/T on who will beinterviewed, sending the email for the CARE e-Survey toentire Location, scheduling and conference roomaccommodations, lunch with administrative staff _________

Send Scheduling Letter to Location _________

Conduct conference call with team to discusslogistics of review, issues at the Location,functional review responsibilities, interviewpartners, etc. _________

Packet of information for team membersHotel logistics for teamAirline schedules for teamHome telephone numbers for team membersWhich team member(s) will rent vehiclesFunctional areas members are responsible forARMPS package for LocationSchedule for review _________

One Week Prior to Review

Call AO/T and AAO to assure everything is in place forreview _________

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Prepare Opening Conference Notes

___________

After CARE Review

Four-Six Weeks After Review Submit final CARE report toCARE Program Manager (team input should be incorporated) _________

PROCESS FOR ASSIGNINGASSURANCE WITH EXCEPTION OR

NO ASSURANCE

Assurance With Exception

1. Identify trend.

2. Discuss within Team.3. Be able to cite specific issue, number of occurrences (orpercentage) and Policy and Procedure, regulation, etc., that hasbeen violated. Team should also be able to cite correctprocedure (final report should contain a recommendation onhow to correct situation).

4. Upon Team agreement, it can be indicated to the Location thatan Assurance with Exception will probably be cited in the finalreport, unless additional data is produced that refutes thefinding.

No Assurance1.Identify trend. Seriousness of situation (intent for waste, fraud, or

abuse) will dictate difference between Assurance With Exceptionand A No Assurance.

2. Discuss within Team.3. Be able to cite specific issue, number of occurrences (orpercentage) and

directive, regulation, policy, etc., that has been violated.Team must have

thorough documentation of situation and assure that there

was an intent tocircumvent regulations.4. Discuss with CARE Program Manager and the DAD prior to citingNo

Assurance.5. Discuss situation with Deputy Area Director/Location

Management. Location/Area must be made aware of the NoAssurance call prior to the Team leaving the Location and clearly

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understand what the issue is and how it should be corrected.

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CARE PROGRAM2011CONSOLIDATED ASSISTANCE REVIEW AND EVALUATON

REPORT OF ASSISTANCE, FINDINGS ANDRECOMMENDATIONS

(USDA, ARS, AFM)(LOCATION BEING REVIEWED AND DATES)

CARE REVIEW TEAMNAME TITLE FUNTION

REVIEWEDEMAIL

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INDEX

PREFACE

EXECUTIVE SUMMARY

SPECIFIC FINDINGS, SUGGESTIONS, AND ASSISTANCE...................ADMINISTRATIVE AND FINANCIAL MANAGEMENT...................

Location Administrative and Financial Management..................Area Administrative and Financial Management........................Headquarters Administrative and Financial Management.........Other.................................................................................................

ACQUISITION OF SUPPLIES, SERVICES, AND EQUIPMENT.......General Acquisitions........................................................................Requisitions......................................................................................Procurement.....................................................................................Blanket Purchase Agreements........................................................Purchase/Delivery Orders................................................................

Purchase Cards.................................................................................Training............................................................................................Federal Supply Schedule.................................................................Administration.................................................................................Simplified Acquisitions....................................................................Receiving Reports............................................................................Invoice/Payments/Closeout..............................................................Personal Property.............................................................................Organization Structure....................................................................Training............................................................................................Reference Material...........................................................................File Management..............................................................................Inventory Management...................................................................

Property Accountability and Control............................................Property Suspense/Staging Area Reports......................................Sensitive Property............................................................................Reporting Property Theft, Loss or Damage..................................Property Trade-in/Exchange or Sale..............................................Acceptance of Gifts..........................................................................Excess Property................................................................................Disposal.............................................................................................USDA Donation Programs..............................................................Motor Vehicles..................................................................................Size and Composition......................................................................Vehicle File Management................................................................

Identification....................................................................................Vehicle Use........................................................................................Fuel Maintenance Costs..................................................................Home-to-Work Transportation Authority....................................Oversight...........................................................................................

FACILITIES MANANGEMENT-CONSTRUCTION, REAL PROPERTYAND SAFETY, HEALTH, AND ENVIRONMENTAL MANAGEMENT........

Facilities Asset Management...........................................................Long Range Facility Planning.........................................................

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Pre-approval of Building Authority Projects............................................Facilities Operation and Maintenance.......................................................Implementation of Project Design and Construction...............................Post Construction, Warranty and Maintenance Work............................Energy Management....................................................................................................................................................................................

Facility Accessibility for People with Disabilities......................................Construction Contracts...................................................................Facility Security................................................................................Homeland Security...........................................................................Acquisition of Real Property...........................................................Utilization, Accountability, and Control of Real Property..........Leasing Real Property Land and Space and Agreements......Grants of Easement and Revocable Permits..................................Quarters Rentals..........................................................................................Disposal of Real Property............................................................................Safety, Health, and Environmental Management.........................Safety, Health, and Environmental Education/Training.............Safety Management.........................................................................Industrial Hygiene............................................................................Environmental Management..........................................................

HUMAN RESOURCES..............................................................................Employment......................................................................................Time and Attendance.......................................................................Pay and Leave..................................................................................Performance Management..............................................................Awards..............................................................................................Training............................................................................................Position Description/Management.................................................Other.............................................................................................................

INFORMATION TECHNOLOGY............................................................

AFM Systems....................................................................................Voice/Data/Video/Wireless Telecommunications..........................Radio Frequency/Secure Telephone/GETS Cards........................Commercial Telecommunications Billing and NFC..................................Information Collection from the Public.....................................................Records Management..................................................................................Policy and Procedures Management..........................................................Printed Forms...............................................................................................Mail and Messenger Services......................................................................IT Resource Planning..................................................................................Web Sites......................................................................................................e-Authentication...............................................................................

BUDGET AND FISCAL.........................................................................................

Budget and Fiscal (General)...........................................................CRIS Accountability........................................................................Research Costs..................................................................................Indirect Research Costs (IRC) and Shared Research Costs(SRC).................................................................................................ARMPS Preparation/Implementation...........................................Allocations.........................................................................................Salary Estimates/Tracking..............................................................Salary Lapse Reporting...................................................................

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Period-End Estimates......................................................................Prior-Year Funding.........................................................................Prompt Payment..............................................................................Claims for and Against the Government.......................................Collections.........................................................................................Accounting/CATS............................................................................

Status of Funds.................................................................................CRIS Activities Module (CAM).....................................................Cuff Records.....................................................................................Travel................................................................................................Travel Authorizations......................................................................Travel Advances...............................................................................Travel Vouchers...............................................................................Relocation Allowances.....................................................................Mandatory Use of Contracted Travel Management Centers... .. .US Bank CBA Account...................................................................Travel Charge Cards.......................................................................Foreign Travel..................................................................................Utility Account.................................................................................

Agreement Accounting....................................................................Research Support Agreement (RSA) Expenditure Tracking......Trust Funds and Reimbursable Agreements.................................Sales of Assets...................................................................................Quarters............................................................................................Revolving Fund................................................................................Reference Manuals...........................................................................Training............................................................................................Budget/Fiscal Records Management..............................................

OUTREACH, DIVERSITY, and EQUAL OPPORTUNITY..........................................Special Emphasis Programs and EEO/Diversity Committees.................Recruitment and Outreach Efforts.............................................................

Reasonable Accommodation for Persons with Disabilities......................Communication............................................................................................Training........................................................................................................Recognition...................................................................................................EEO Complaint Process including Alternative DisputeResolution (ADR)Cooperative Resolution Program...................................................

EXTRAMURAL AGREEMENTS.....................................................................................Extramural Agreements Program (General)........................................................Research Support Agreement ...............................................................................Specific Cooperative Agreements(SCA) and Non-Funded CooperativeAgreement (NFCA)Trust Fund Cooperative Agreement (TFCA) and Reimbursable Cooperative

Agreement (RCA)...................................................................................................Standard Cooperative Agreement (STCA)..........................................................Grants and Assistance Type Cooperative Agreement (ATCA) .........................

SUMMARY ASSURANCE STATEMENT.......................................................................

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PREFACE

Utilizing the principles of the Department of Agriculture (USDA) Consolidated Review Program(CRP), the Total Quality Management (TQM) Program, and the Consolidated, Assistance,Review, and Evaluation (CARE) Program Charter, members of a CARE Review Team reviewedthe administrative processes at the USDA, Agricultural Research Service (ARS).

The approach used was a Location survey, general interview of both program and administrativepersonnel utilizing questionnaires developed by the CARE Program, and a review of documentsor processes/systems against a listing of administrative functions and related questions to beanswered. This approach incorporates the limited review principles of the USDA CRP and thegoals of the CARE Program to:

Assist, in a helpful and practical way, those being reviewed to understand what can bedone to improve their operations.

Help to make actual changes necessary to improve operations.

Assist those being reviewed to interpret and understand current policy and proceduralguidance.

Identify gaps in available guidance/policy/procedures that require attention in order tomeet the needs of Location activities.

Promote efficiency, economy and responsiveness to program needs through the sharing ofideas and techniques for improving administrative processes.

Assure compliance with Federal policies and regulations by officially designatedemployees.

Assistance, suggestions, or recommendations provided or obtained were recorded on summarydocuments by AFM functional code by each CARE Review Team Member and then consolidatedby AFM functional code for developing this report. The enclosed Summary Assurance Statementis a consensus of the CARE Review Team and CARE Program Manager based on the limitedreview performed.

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EXECUTIVE SUMMARY

The USDA, ARS, consists of research units with approximatelyemployees, and person Location Support Staff (LSS). The Location's buildings are

The CARE Team noticed a real effort made by the Location to have a safe work environment.The Location had a positive attitude about the review and looked at the process as a way to helpidentify areas that could be improved.

Significant CARE Team findings of knowledgeable disregard of Agency Policies & Proceduresare reported as No Assurance. Team findings where Agency Policies & Procedures are not beingadhered to are reported as Assurances with Exception. Team findings that identify Best Practicesare report as Commendations. Instances where CARE Teams provided direct assistance to theLocation are reported as Assistance Provided. The CARE Team expresses its appreciation forthe cooperation, assistance, and genuine hospitality extended to us by Location personnel duringthe review.

No Assurance was issued in the following Section:

Section Issue

Assurances with Exception were issued in the following Sections:

Section Issue

Commendations were issued in the following Sections:

Section Issue

Assistance Provided were reported in the following Sections:

Section Issue

Best Practices were reported in the following Sections:

Section:CARE FUNCTIONAL REVIEW

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ADMINISTRATION AND FINANCIAL MANAGEMENT GENERAL

1.0 Location Administrative and Financial Management

1.01 Area Administrative and Financial Management

1.02 Headquarters Administrative and Financial Management

1.03 Other

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ACQUISITION OF SUPPLIES, SERVICES, AND EQUIPMENT

2.0 General Acquisitions

2.01 Requisitions

2.02 Documentation

2.02-1 Blanket Purchase Agreements (BPAs)

2.02-2 Purchase/Delivery Orders

2.02-3 Purchase Cards

2.02-4 Federal Supply Schedule (FSS)

2.03 Administration

2.03-1 Modifications

2.03-2 Invoice/Payments/Closeout

2.04 Personal Property

2.4.1 Reference Manual

2.4.2 Organizational Structure

2.04-3 File Management

2.04-4 Inventory Management

2.04-5 Property Suspense Reports

2.04-6 Property Accountability and Control

2.04-7 Sensitive Property

2.04-8 Reporting Property Theft, Loss, or Damage

2.04-9 Property Trade-in/Exchange or Sale

2.04-10 Acceptance of Unconditional Gifts

2.04-11 Excess Unserviceable Property

2.04-12 Disposal

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2.04-13 USDA Donation Programs

2.04-14 Motor Vehicles

2.04-14.1 Size and Composition2.04-14.2 Vehicle File Management

2.04-14.3 Identification

2.04-14.4 Vehicle Use

2.04-14.5 Fuel/Maintenance Costs

2.04-14.6 Fleet Card Oversight

2.04-14.7 Home-to-Work Transportation Authority

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FACILITIES MANAGEMENT, CONSTRUCTION, REAL PROPERTYAND SAFETY, HEALTH, AND ENVIRONMENTAL MANAGEMENT

3.0 Facilities Asset Management

3.0-1 Energy Management

3.2 Facility Accessibility for People with Disabilities

3.03 Architect-Engineering (A-E) Contracts

3.3.1 A-E Contracts

3.04 Construction Contracts

3.05 Facility Protection and Conduct on Federal Property

3.05-1 Homeland Security

3.06 Acquisition (Purchase, Donation, Exchange, Transfer or Leasing) of Real Property

3.06-1 Utilization, Accountability, and Control of Real Property

3.06-2 Leasing Real Property and Agreements

3.06-3 Grants of Easement and Revocable Permits

3.06-4 Quarters Rentals

3.06-5 Disposal of Real Property

3.07 Safety, Health, and Environmental Management

3.07-1 Safety, Health, and Environmental Education/Training

3.07-2 Safety Management

3.07-3 Industrial Hygiene

3.7.4 Environmental Management

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HUMAN RESOURCES

4.0 Employment

4.01 Time and Attendance

4.2 Pay and Leave

4.3 Performance Management

4.04 Awards

4.5 Training

4.6 Position Description/Management

4.7 Employee Relations

4.08 Other

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INFORMATION TECHNOLOGY

5.0 AFM Systems

5.1 Voice/Data/Video/Wireless Telecommunications

5.2 Radio Frequency/Secure Telephone/GETS Cards

5.3 Records Management

5.4 Policy and Procedures Management

5.5 IT Resource Planning

5.6 Websites

5.7 e-Authentication

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BUDGET AND FISCAL

6.0 Budget and Fiscal (General)

6.01 CRIS Accountability

6.02 Research Cost

6.02-1 Indirect Research Costs (IRC) and Shared Research Costs (SRC)

6.03 ARMPS Preparation/Implementation

6.04 Allocations

6.05 Salary Estimates/Tracking

6.05-1 Salary Lapse Reporting

6.06 Period - End Estimates

6.07 Prior - Year Funding

6.08 Prompt Payment

6.9 Claims for and Against the Government

6.10 Collections

6.11 Accounting/CATS

6.12 Status of Funds

6.12-1 CRIS Activities Module (CAM)

6.12.2 Cuff Records

6.13 Travel6.13-1 Travel Authorizations

6.13-2 Travel Advances

6.13-3 Travel Vouchers

6.13-4 Relocation Allowances

6.13-5 Mandatory Use of Contracted Travel Management Centers

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6.13-6 USBank CBA Account

6.13-7 Travel Charge Cards

6.13.8 Foreign Travel

6.14 Utility Accounts

6.15 Agreement Accounting

6.15-1 Research Support Agreement (RSA) Expenditure Tracking

6.15-2 Trust Funds and Reimbursable Agreements

6.15-3 Sales of Assets

6.15-4 Quarters

6.15-5 Revolving Fund

6.16 Reference Manuals

6.17 Training

6.18 Budget/Fiscal Records Management

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OUTREACH, DIVERSITY, and EQUAL OPPORTUNITY7.0 Special Emphasis Programs and EEO/Diversity Committees

7.01 Recruitment and Outreach Efforts to Diversify the Workplace

7.02 Reasonable Accommodation for Persons with Disabilities

7.03 Communication

7.04 Training

7.05 Recognition

7.06 EEO Complaint Process including Alternative Dispute Resolution (ADR)

7.07 Cooperative Resolution Program

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EXTRAMURAL AGREEMENTS

8.0 New policies affecting Extramural Agreements:

8.01 Extramural Agreements Program (General)

8.02 Research Support Agreement

8.03 Specific Cooperative Agreements (SCA) and Non-Funded Cooperative Agreement(NFCA)

8.04 Trust Fund Cooperative Agreement (TFCA) and Reimbursable Cooperative Agreements(RCA)

8.05 Standard Cooperative Agreement (StCA)

8.06 Grants and Assistance Type Cooperative Agreement (ATCA)

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SUMMARY ASSURANCE STATEMENT FOR(City, State)

Consolidated Assistance, Review, and Evaluation (CARE) Review Team No. (__) reviewed theadministrative management/operations at the (City, State) Location in (Month of Year) under therequirements of the Consolidated Review Program. Attached is a listing of the segments

(functions) reviewed and assurances made. Reasonable assurance can be given regarding theLocation's administrative management/operations as follows:

1) there are sufficient controls and security measures to compensate for anyidentified risks associated with administrative management/operationsand/or their environments;

2) the programs' clientele are satisfied with the results/performance of theadministrative management/operations;

3) administrative management/operations are being operated in acost-effective manner and comply with applicable laws and regulations;

4) there is proper management of the programs' information; and

5) administrative management/operations comply with management, financial,accounting, information resources management, budget, and otherappropriate standards.

(Team Leader Name) Dated:Team Leader

Dated:

CARE Program Manager

Approved By:

James H. Bradley Dated:Deputy AdministratorAdministrative and Financial Management

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SAMPLE OPENING CONFERENCE SPEECH

Good Morning

I'm , CARE Team Leader. I'd like to take this opportunity to thank LC, AO/T, and the

rest of you for allowing us to visit your Location.

This is the (number of years) cycle of the Consolidated Assistance, Review and EvaluationProgram, better known as CARE. We are one of 6 teams reviewing 13 Locations this fiscal year.We believe this visit will benefit both the Location and the team members.Before I explain to you what the CARE Program is all about, I'd like to tell you a little bit aboutCARE Teams and formally introduce the Team members. Teams are comprised of individualsrepresented by the three organizational levels within ARS - Location, Area and Headquarters.This allows Teams to perform reviews of administrative operations in much the same manner aspeer reviews are conducted. We all have regular full-time positions within the Agency; none of usare auditors or examiners. Individuals are chosen based on their unique skills and abilities in theirfield of expertise.

Now, I'd like to introduce this CARE team to you.

Name team members, titles, Location and background--may consider having team members dothis themselves.

Now, I'd like to tell you how CARE came about and why we're here. In the past, ARS measured"quality" management via "conforming to requirements," as specified in laws, Office ofManagement and Budget (OMB) requirements, General Accounting Office (GAO) standards, etc.To make reasonable assurances that ARS was complying with these requirements, separateadministrative inspections or audits were conducted; for example, Mutual Assistance Reviews andVerification Audits. In the late 1980's, ARS also introduced and carried out major quality

improvement efforts with such administrative programs as the Location Support Study andLocation Automated System Task Force.

Then, in 1989, these inspections and audits moved toward the Total Quality Management effortof de-emphasizing "conforming to requirements" and focusing on "meeting customerexpectations," or de-emphasizing the audit-and-inspection approach and focusing on the problem-identification-and-solving approach. In this vein, ARS Administrative Management consolidatedas many reviews, inspections, and audits as possible into the single Consolidated AssistanceReview and Evaluation (CARE) Program. The goals of the CARE Teams are to:

. Assist in a helpful and practical way, those being reviewed to understandwhat can be done to improve their operations.

. Help to make actual changes necessary to improve operations in the truespirit of the Presidents Management Agenda.

. Assist those being reviewed to interpret and understand current policy andprocedure guidance.

. Identify gaps in available guidance/policy/procedures that requireattention in order to meet the needs of Location activities.

. Promote efficiency, economy and responsiveness to program needs

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through the sharing of ideas and techniques for improving administrativeprocesses.

. Assure compliance with Federal policies and regulations by officiallydesignated employees.

The goal of the Agency is to review all ARS Locations, including Area Offices and Headquartersapproximately every 8 years. It is planned that the CARE reviews will replace or reduce MutualAssistance Reviews, Procurement Management Reviews, Financial Management and Budgetreviews. It will not, however, replace certain reviews outside of ARS; i.e., OIG and GAO audits.

While we are here, we'll first tour your facilities to gain a general sense of the research beingconducted here.

Hopefully all of you had a chance to participate in the CARE e-survey that was emailed to yourLocation. The information that is gathered will be kept confidential and no names will beassociated with the comments. Also, we need to emphasize that CARE does not deal withEEO/Civil Rights complaints or employee relations issues. As part of our process, we look forassurances that systems are in place to handle these types of issues, but do not deal with specific

cases. Also, if anyone here is not scheduled for an interview, but would like to talk to one of us,please see me or another Team member and we'll schedule a time for you.

Then, we're going to perform limited functional reviews of specific administrative areas. This willallow us to understand what and how local administrative service is actually being delivered. Iwant to emphasize that we will not be auditing your records; but are simply looking to seewhether administrative processes overall are being done appropriately and within Agencyguidelines.

Through the interviews and functional review, we, as a team, look for trends and try to identifyareas of concern, if any--and again, this encompasses all levels of administrative management inARS. We may also offer recommendations or suggestions to help people work smarter. In

addition, throughout the visit, we will be looking for innovative ways that functions are beingperformed, in order to adopt them ourselves and pass them along to other Locations.

If we can provide assistance or get answers while we're here, we will.

Finally, a written report will be prepared within 6 weeks of the review. LC, AO/T and DAD(name individuals) will each receive copies and we encourage these individuals to share this reportwith you. ARS Headquarters Divisions also receive copies of these reports and they and theDAD are responsible for assuring that an action plan is developed for areas of concern.

Documents

2011 Care Manual - Final