[Federal Register: August 7, 2003 (Volume 68, Number 152)]
[Notices]
[Page 47012-47015]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07au03-17]
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DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
Proposed Revisions to the Guidelines for State Plans of Work for
the Agricultural Research and Extension Formula Funds
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Notice and request for comment.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service (CSREES) is requesting public comment on proposed revisions to
the Guidelines for State Plans of Work for the Agricultural Research
and Extension Formula Funds (64 FR 19242-19248). These guidelines
prescribe the procedures to be followed by the eligible institutions
receiving Federal agricultural research and extension formula funds
under the Hatch Act of 1887, as amended (7 U.S.C. 361a et seq.);
sections 3(b)(1) and (c) of the Smith-Lever Act of 1914, as amended (7
U.S.C. 343 (b)(1) and (c)); and sections 1444 and 1445 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977, as
amended (7 U.S.C. 3221 and 3222). The recipients of these funds are
commonly referred to as the 1862 land-grant institutions and 1890 land-
grant institutions, including Tuskegee University and West Virginia
State College. CSREES also is requesting public comment on the revision
and reinstatement of a previously approved information collection (OMB
No. 0524-0036) associated with these Guidelines.
DATES: Written comments are invited from interested individuals and
organizations. To be considered in the formulation of the guidelines,
comments must be received on or before September 8, 2003.
ADDRESSES: Address all comments to CSREES-USDA; Planning and
Accountability, Office of the Administrator, Mail Stop 2214; 1400
Independence Avenue, SW., Washington, DC 20250-2214. Comments may be
hand-delivered to CSREES-USDA; Planning and Accountability, Office of
the Administrator, Room 1325; 800 9th Street, SW., Washington, DC
20024. Comments may also be mailed electronically to
bhewitt@csrees.usda.gov.
FOR FURTHER INFORMATION CONTACT: Mr. Bart Hewitt; Program Analyst,
Planning and Accountability, Office of the Administrator; Cooperative
State
[[Page 47013]]
Research, Education, and Extension Service; U.S. Department of
Agriculture; Washington, DC 20250; at 202-720-5623, 202-720-4730 (fax)
or via electronic mail at bhewitt@csrees.usda.gov.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act
In accordance with the Office of Management and Budget (OMB)
regulations (5 CFR part 1320) that implement the Paperwork Reduction
Act of 1995 (44 U.S.C. chapter 35), the information collection and
recordkeeping requirements imposed by the implementation of these
guidelines have been submitted to OMB for approval. Those requirements
will not become effective prior to OMB approval. The eligible
institutions will be notified upon this approval.
Title: Reporting Requirements for State Plans of Work for
Agricultural Research and Extension Formula Funds.
Summary: The purpose of this collection of information is to
implement the requirements of section 7 of the Hatch Act of 1887, as
amended (7 U.S.C. 361g); section 4 of the Smith-Lever Act, as amended
(7 U.S.C. 343); and section 1444(d) and section 1445(c) of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977
(NARETPA), as amended (7 U.S.C. 3221(d) and 3222 (c)), which require
that before funds may be provided to a State or eligible institution
under these Acts a plan of work must be submitted by the proper
officials of the State or eligible institution, as appropriate, and
approved by the Secretary of Agriculture.
Need for the Information: The Agricultural Research, Extension, and
Education Reform Act of 1998 (AREERA), Pub. L. 105-185, amended the
Hatch Act of 1887, Smith-Lever Act, and sections 1444 and 1445 of
NARETPA to require plans of work to be received and approved by CSREES
prior to the distribution of funding authorized under these Acts. This
collection of information will satisfy the plan of work reporting
requirements as imposed by these Acts. This collection of information
includes two parts: (1) The submission of a FY 2005-FY 2006 Plan of
Work Update to extend the current FY 2000-FY 2004 5-Year Plan of Work
by two years; and (2) the submission of the Annual Report of
Accomplishments and Results for the current 5-Year Plan of Work (i.e.,
for FY 2003 and FY 2004) and the FY 2005-FY 2006 Plan of Work Update
(i.e., for FY 2005 and FY 2006).
1. The first collection of information is required in order to
satisfy the above amendments to the Acts that authorize the
distribution of agricultural research and extension formula funds to
States and eligible institutions. In addition to a description of
planned programs, the FY 2005-FY 2006 Plan of Work Update must include
information on how critical short-term, intermediate, and long-term
agricultural issues in the State will be addressed in research and
extension programs; how the State or eligible institution has developed
a process to consult users of agricultural extension and research in
the identification of critical agricultural issues in the State and the
development of programs and projects targeting these issues (also
referred to as stakeholder input); how the State or eligible
institution has made efforts to identify and collaborate with other
universities and colleges that have a unique capacity to address the
identified agricultural issues in the State and the extent of current
and emerging efforts (including the regional and/or multistate efforts)
to work with these institutions; the manner in which research and
extension, including research and extension activities funded other
than through formula funds, will cooperate to address the critical
issues in the State, including activities to be carried out separately,
sequentially, or jointly; and for extension, the education and outreach
programs already underway to convey available research results that are
pertinent to a critical agricultural issue, including efforts to
encourage multicounty cooperation in the dissemination of research
information.
Section 103(e) of AREERA (7 U.S.C. 7613(e)) also required,
effective October 1, 1999, that a merit review process be established
at the 1862 land-grant institutions and 1890 land-grant institutions in
order to obtain agricultural research and extension formula funds. The
current 5-Year Plan of Work includes a section for the description of
the merit review process to ensure that such a process is in place
prior to the distribution of agricultural research and extension
formula funds.
Sections 104 and 105 of AREERA also amended the Hatch Act and
Smith-Lever Act to require that a specified amount of the agricultural
research and extension formula funds be expended for multistate
activities and that a description of these activities be reported in
the plan of work. Section 204 of AREERA further amended the Hatch Act
and Smith-Lever Act to require that a specified amount of the
agricultural research and extension formula funds be expended for
activities that integrate cooperative research and extension and that a
description of these activities be included in the plan of work. Two
components of the 5-Year Plan of Work submission have been included to
meet these additional requirements.
2. The second collection of information will be the Annual Report
of Accomplishments and Results. This will be based on the existing 5-
Year Plan of Work and the approved FY 2005-FY 2006 Plan of Work Update,
and will assist CSREES in ensuring that federally supported and
conducted research and extension activities are accomplished in
accordance with the management principles set forth under section
102(d) of AREERA (7 U.S.C. 7612(d)). These principles require that to
the maximum extent possible, CSREES shall ensure that federally
supported research and extension activities are accomplished in a
manner that integrates agricultural research, extension, and education
functions to better link research to technology transfer and
information dissemination activities; encourages regional and
multistate programs to address relevant issues of common concern and to
better leverage scarce resources; and achieves agricultural research,
extension, education objectives through multi-institutional and
multifunctional approaches and by conducting research at facilities and
institutions best equipped to achieve these objectives.
CSREES is proposing to request a Plan of Work Update to the
existing 5-Year Plan of Work (i.e., FY 2000-FY 2004) instead of a new
5-Year Plan of Work in order to allow CSREES to incorporate the
recommendations from the USDA Office of Inspector General (OIG) Audit
No. 13001-3-Te, CSREES Implementation of the Agricultural Research,
Extension, and Education Reform Act of 1998 (AREERA) in the plan-of-
work process. In addition, CSREES needs time, once the final
recommendations are made, to develop a viable electronic option for
compliance with the Government Paperwork Elimination Act (GPEA).
Currently, institutions are submitting their reports via e-mail in
WordPerfect file format, Microsoft Word file format, or ASCII file
format, and CSREES proposes to have the institutions to do so until a
viable electronic option is available. CSREES also is in the process of
developing a ``One-Solution'' for reporting for all CSREES grant
programs including those covered in the 5-Year Plan of Work. A ``One-
Solution'' integrated reporting system will be more streamlined and
effective, eliminate duplicative reporting, and provide additional
program and fiscal
[[Page 47014]]
accountability while reducing the overall burden hours for reporting.
Respondents: Respondents will be the 57 1862 land-grant
institutions and the 18 1890 land-grant institutions, including
Tuskegee University and West Virginia State College, who will provide a
FY 2005-FY 2006 Plan of Work Update; and will report on the
accomplishments and results of the original 5-year plan of work and the
FY 2005-2006 Plan of Work Update annually to CSREES.
Estimate of Burden: The amendments to AREERA require a plan of work
for funds that are distributed on an annual basis. To reduce the burden
on respondents, CSREES proposes to extend the current 5-Year Plan of
Work (i.e., FY 2000--FY 2004) for two years by allowing the 5-Year Plan
of Work to be amended by adding the FY 2005-FY 2006 Plan of Work
Update.
The total reporting and recordkeeping requirements for the
submission of the ``FY 2005-FY 2006 Plan of Work Update'' is estimated
to average 242 hours per response.
Estimated Number of Respondents: 75.
Estimated Number of Responses: 95.
Estimated Total Annual Burden on Respondents: 22,990 hours.
Frequency of Responses: Once for the FY 2005-FY 2006.
The total annual reporting and recordkeeping requirements for the
``Annual Report of Accomplishments and Results'' is estimated to
average 851 hours per response.
Estimated Number of Respondents: 75.
Estimated Number of Responses: 95.
Estimated Total Annual Burden on Respondents: 80,845 hours.
Frequency of Responses: Annually.
Comments: Comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Agency, including whether the information will
have practical utility; (b) the accuracy of the Agency's estimate of
the burden of the proposed collection of information including the
validity of the methodology and assumptions used; (c) ways to enhance
the quality, utility, and clarity of the information to be collected;
and (d) ways to minimize the burden of collection of information on
those who are to respond, including the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology. Comments may be sent to: CSREES-
USDA; Planning and Accountability, Office of the Administrator; Mail
Stop 2214; 1400 Independence Avenue, SW., Washington, DC 20250-2214 by
October 14, 2003, or to the Desk Officer for Agriculture, Office of
Information and Regulatory Affairs, Office of Management and Budget,
Washington, DC 20502. Reference should be made to the volume, page, and
date of this Federal Register publication.
Background and Purpose
The Cooperative State Research, Education, and Extension Service
(CSREES) proposes to revise the Guidelines for State Plans of Work for
the Agricultural Research and Extension Formula Funds which implement
the plan-of-work reporting requirements enacted in the Agricultural
Research, Extension, and Education Reform Act of 1998 (AREERA), Pub. L.
105-185, by adding Part V, FY 2005-FY 2006 Plan of Work Update. CSREES
is proposing that the 1862 and 1890 land-grant institutions be required
to submit a Plan of Work Update only for FY 2005 and FY 2006, instead
of submitting a new 5-Year Plan of Work for FY 2005-FY 2009, as CSREES
needs to incorporate the recommendations from the USDA Office of
Inspector General (OIG) Audit No. 13001-3-Te, CSREES Implementation of
the Agricultural Research, Extension, and Education Reform Act of 1998
(AREERA) into the 5-Year Plan of Work. Consequently, once the final
audit recommendations are made, CSREES needs time to develop a viable
electronic option for compliance with the Government Paperwork
Elimination Act (GPEA). Currently, institutions are submitting their
reports via e-mail in WordPerfect file format, Microsoft Word file
format, or ASCII file format, and CSREES proposes to have the
institutions to do so until a viable electronic option is available.
The objective of the USDA OIG Audit is to determine whether CSREES
established effective controls to ensure land-grant institutions
implemented AREERA provisions in accordance with the law and
regulations. The audit began on November 8, 2002, and the fieldwork is
still being conducted. CSREES would like to consider the findings and
recommendations of that audit in the design of the next 5-year plan of
work. Time also is needed for CSREES to consult with its partnering
institutions--1862 and 1890 land-grant institutions--in any redesign of
the plan-of-work reporting system or extensive revision of the existing
Guidelines for the State Plans of Work. This 2-year period will allow
for the consideration of the USDA OIG audit findings and
recommendations, opportunity to consult with the 1862 and 1890 land-
grant institutions on any extensive revisions to the current Guidelines
for State Plans of Work, and the development of a viable electronic
option in compliance with GPEA.
CSREES also is proposing to change the due date of the Annual
Report of Accomplishments and Results from March 1 to April 1. On
December 28, 2000 (65 FR 82317), CSREES changed the original due date
for the Annual Reports of Accomplishments and Results from December 31
to the following March 1 after consultation with the 1862 and 1890
land-grant institutions. CSREES is now proposing to extend the due date
for the Annual Report of Accomplishments and Results to April 1, 2004,
for FY 2003; April 1, 2005, for FY 2004; April 1, 2006, for FY 2005;
and April 1, 2007, for FY 2006.
Pursuant to the plan of work requirements enacted in the
Agricultural Research, Extension, and Education Reform Act of 1998, the
Cooperative State Research, Education, and Extension Service hereby to
add Part V, FY 2005-FY 2006 Plan of Work Update, to the Guidelines for
State Plans of Work for Agricultural Research and Extension Formula
Funds as follows:
Guidelines for State Plans of Work for Agricultural Research and
Extension Formula Funds
Table of Contents
V. Submission of the FY 2005-2006 Plan of Work Update
A. General
1. Planning Option
2. Period Covered
3. Projected Resources
4. Submission and Due Date
5. Certification
B. FY 2005-2006 Plan of Work Update Evaluation by CSREES
1. Schedule
2. Review Criteria
The FY 2005-FY 2006 Plan of Work Update is a prospective plan that
extends coverage of the original 5-Year Plan of Work (i.e., FY 2000-FY
2004) to include FY 2005-FY 2006. The FY 2005-2006 Plan of Work Update
should be prepared for an institution's individual functions (i.e.,
research or extension activities), for an individual institution
(including the planning of research and extension activities), or for
state-wide activities (a 5-year research and/or extension plan of work
for all the eligible institutions in a State), as they were submitted
in the original 5-Year Plan of Work that was due on July 15, 1999. Each
FY 2005-FY 2006 Plan of Work Update must reflect the content of the
program(s) funded by Federal agricultural research and extension
[[Page 47015]]
formula funds and the required matching funds. This FY 2005-FY 2006
Plan of Work Update must continue to describe not only how the
program(s) address critical short-term, intermediate, and long-term
agricultural issues in a State, but how it relates to and is part of
the five broad national goals as outlined above and originally
described in the previous 5-year plan of work, thus expanding upon and
extending the existing plan with new or continuing efforts.
The FY 2005-FY 2006 Plan of Work Update should continue to be based
on the five original national goals established in the FY 2000-FY 2004
5-year Plan of Work as described in section II.B.1.
2. Period Covered
The FY 2005-FY 2006 Plan of Work Update will extend the current 5-
Year Plan of Work that covered the period from October 1, 1999, through
September 30, 2004, to include the period from October 1, 2004, through
September 30, 2006.
3. Projected Resources
The resources that are allocated for various planned programs in
the FY 2005-2006 Plan of Work Update, in terms of human and fiscal
measures, should be included and projected to include the sixth and
seventh years. The baseline for the institution's or State's initial
plan (for the two years) should be the Federal agricultural research
and extension formula funds for FY 1999 and the required level (i.e.,
percentage) of matching funds for FY 2005 and FY 2006.
4. Submission and Due Date
The FY 2005-FY 2006 Plan of Work Update must be submitted by April
1, 2004, to the Planning and Accountability Unit, Office of the
Administrator of the Cooperative State Research, Education, and
Extension Service; U.S. Department of Agriculture. It is preferred that
these FY 2005-FY 2006 Plan of Work Updates be submitted electronically
to bhewitt@csrees.usda.gov in either WordPerfect file format, Microsoft
Word file format, or ASCII file format. It also is requested that the
FY 2003 Annual Report of Accomplishments and Results be submitted with
the FY 2005-FY 2006 Plan of Work Update in order to facilitate a more
efficient and comprehensive review for both CSREES and the land-grant
institutions.
5. Certification
The FY 2005-FY 2006 Plan of Work Updates must be signed by the 1862
Extension Director, 1862 Research Director, 1890 Extension
Administrator, and/or 1890 Research Director, depending on the planning
option chosen.
B. FY 2005-2006 Plan of Work Update Evaluation by CSREES
1. Schedule
All FY 2005-FY 2006 Plan of Work Updates will be evaluated by
CSREES in conjunction with the review of the FY 2003 Annual Report of
Accomplishments and Results. The FY 2005-FY 2006 Plan of Work Update
will either be accepted by CSREES without change or returned to the
institution, with clear and detailed recommendations for its
modification. The submitting institution(s) will be notified by CSREES
of its determination within 90 days (review to be completed in 60 days,
communications to the institutions allowing a 30-day response) of
receipt of the document. Adherence to the Plan of Work schedule by the
recipient institution is critical to assuring the timely allocation of
funds by CSREES. The FY 2005-FY 2006 Plan of Work Updates accepted by
CSREES will be in effect for the period beginning October 1, 2004,
through September 30, 2006. CSREES will notify all institutions of a
need for a new 5-year plan of work two years prior to the plan's
expiration on September 30, 2006.
2. Review Criteria
CSREES will evaluate the FY 2005-FY 2006 Plan of Work Update
according to the criteria in section II.C.2.
Done at Washington, DC, this 1st day of August, 2003.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. 03-20122 Filed 8-6-03; 8:45 am]
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