[Federal Register Volume 68, Number 152 (Thursday, August 7, 2003)]
[Notices]
[Pages 47012-47015]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-20122]


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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 
[email protected].

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 [email protected].

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 [email protected] 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]
BILLING CODE 3410-22-P