Administrative Guidance for Multistate Extension Activities and Integrated Research and Extension Activities, 48921-48927 [2010-19629]
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Notices
Federal Register
Vol. 75, No. 155
Thursday, August 12, 2010
This section of the FEDERAL REGISTER
contains documents other than rules or
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DEPARTMENT OF AGRICULTURE
National Institute of Food and
Agriculture
Administrative Guidance for Multistate
Extension Activities and Integrated
Research and Extension Activities
National Institute of Food and
Agriculture, USDA.
AGENCY:
Notice of interim guidance and
request for comments.
ACTION:
The National Institute of Food
and Agriculture (NIFA) is issuing a
revised Administrative Guidance for
Multistate Extension Activities and
Integrated Research and Extension
Activities as interim with a 60-day
comment period. The Administrative
Guidance has been revised to address
the findings and recommendations of
the U.S. Department of Agriculture
(USDA) Office of Inspector General
(OIG) Audit Report no. 13001–3–Te:
‘‘Cooperative State Research, Education,
and Extension Service’s Implementation
of the Agricultural Research, Extension
and Education Reform Act of 1998
(AREERA),’’ and to clarify policies and
procedures associated with these
requirements. Section 105 of AREERA
amended the Smith-Lever Act to require
that a specified amount of agricultural
extension formula funds be expended
on multistate extension activities.
Section 204 of AREERA amended the
Hatch Act and Smith-Lever Act to
require that a specified amount of
agricultural research and extension
formula funds be expended on
integrated research and extension
activities.
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SUMMARY:
The interim Administrative
Guidance is effective August 12, 2010.
The Agency must receive comments by
October 12, 2010 for them to be
considered in the final Administrative
Guidance.
DATES:
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You may submit comments
identified by 2010–0025, by any of the
following methods:
Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
E-mail:
administrativeguidance@nifa.usda.gov.
Include the Docket Number in the
subject line of the message.
Fax: 202–401–7752.
Mail: paper, disk or CD–ROM
submissions should be submitted to the
National Institute of Food and
Agriculture, U.S. Department of
Agriculture, STOP 2299, 1400
Independence Avenue, SW.,
Washington, DC 20250–2299.
Hand Delivery/Courier: National
Institute of Food and Agriculture, U.S.
Department of Agriculture, Room 2247,
Waterfront Centre, 800 9th Street, SW.,
Washington, DC 20024.
Instructions: All submissions received
must include the agency name and the
docket number 2010–0025. All
comments received will be posted
without change to https://
www.regulations.gov, including any
personal information provided.
FOR FURTHER INFORMATION CONTACT:
Mary Snieckus, Policy Specialist, Office
of Extramural Programs, National
Institute of Food and Agriculture, U.S.
Department of Agriculture, STOP 2299,
1400 Independence Avenue, SW.,
Washington, DC 20250–2299; Voice:
202–720–3842; Fax: 202–401–7752; Email: msnieckus@nifa.usda.gov.
SUPPLEMENTARY INFORMATION:
ADDRESSES:
Background and Purpose
The Cooperative State Research,
Education, and Extension Service
(CSREES) (now NIFA), in response to
Recommendation 1 of the USDA OIG
Audit Report no. 13001–3–Te:
‘‘Cooperative State Research, Education,
and Extension Service’s Implementation
of the Agricultural Research, Extension
and Education Reform Act of 1998’’
(often referred to as the AREERA Audit)
is requiring 1862 Land-Grant
Institutions not computing their base
percentages to select 25 percent as the
target percentage for multistate
extension activities and for integrated
research and extension activities or to
correctly determine their base
percentages based on actual
expenditures. In FY 2000, 1862 LandGrant Institutions were provided four
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options for establishing a Target
Percentage for these requirements: (A)
Target 25 percent which will
automatically waive the requirements to
report on the FY 1997 expenditures for
multistate extension activities; (B)
Target a percentage which is two times
the FY 1997 expenditures for multistate
extension activities (commonly referred
to as the FY 1997 baseline) but less than
25 percent; (C) Target a percentage that
is less than 25 percent (usually selected
when auditable expenditure data is not
available); and (D) Phase-in Option C
with a 3-year phase-in period. The
USDA OIG determined during the audit
that Options C and D did not meet the
intent of the legislation and that the
1862 Land-Grant Institutions, if unable
to determine their actual FY 1997
baseline expenditures for multistate
extension and integrated research and
extension activities, must select 25
percent, and thus, expend 25 percent of
their Smith-Lever Act funds on
multistate extension activities and 25
percent on integrated research and
extension activities and expend 25
percent of Hatch Act funds on
integrated research and extension
activities. However, Federal funds that
are used by the institution for a fiscal
year for integrated activities may also be
counted to satisfy the multistate
activities requirement.
In the revised Administrative
Guidance, NIFA is requesting that each
1862 Land-Grant Institution (in the 50
States and in the District of Columbia
for Hatch Act funds only) review the
table in Appendix A which identifies by
State the total FY 1997 Hatch Act and
Smith-Lever Act funds allocated, the FY
1997 expenditures reported for
multistate extension activities and
integrated activities, the Target
Percentage selected, and whether the
Target Percentages needed to be reset at
25 percent or to be based on the actual
FY 1997 expenditures. Appendix A is
available at https://www.nifa.usda.gov/
business/reporting/planrept/
plansofwork.html. Although some
institutions had previously established
25 percent or a Target Percentage based
on actual expenditures, NIFA is
requesting that all institutions either
reconfirm or reset their Target
Percentages.
The revised Administrative Guidance
also clarifies the criteria for AREERA
section 105 and 204 waiver requests and
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describes the waiver process in more
detail. NIFA also seeks to clarify that for
purposes of determining the actual
multistate extension and integrated
amounts, only the regular allocation
under the Smith-Lever Act (i.e., SmithLever Act sections 3(b)&(c)) and the
Hatch Act allocations together (i.e., the
regular Hatch Act allocation according
to the legislative formula and the
amount used to identify the matching
amount for the Hatch Multistate
Research Fund allocation) should be
used to identify the actual expenditures
required for that fiscal year’s formula
grants (i.e., formula funds).
In complying with the Government
Paperwork Elimination Act (GPEA),
NIFA is considering an electronic
business process for collecting the
annual Form NIFA–PLAN (Rev. 07/
2010) and Form NIFA–REPT (Rev. 07/
2010) data to ensure AREERA sections
105 and 204 compliance. NIFA plans to
integrate these requirements as part of
the update to the 5-Year Plan of Work
and Annual Report of Accomplishments
and Results which will be entered
electronically through the AREERA
State Plan of Work Information System.
Response to Stakeholder Input
CSREES provided a draft of the
revised Administrative Guidance to the
State Extension Directors on May 2,
2008, and provided a 60-day comment
period. Fifteen comments were received
during the comment period. Thirteen
were from university officials and two
were from USDA staff. Comment topics
included the administrative burden
associated with compliance, definition
of integrated activities, the use of split
appointments, use of non-Federal funds
to meet these requirements, waivers,
effective date of revised Administrative
Guidance, and the use of intrastate
activities to meet the multistate
requirements. Three of the commenters
felt that resetting and reconfirming the
target percentages would be a significant
burden to the institutions. While NIFA
realizes this may be a significant burden
to some institutions, institutions are
required to either expend the lesser of
25 percent or twice the percentage
amount they spent in FY 1997 of their
Smith-Lever Act funds on multistate
extension activities and the lesser of 25
percent or twice the percentage amount
they spent in FY 1997 of their Hatch Act
and Smith-Lever Act funds on
integrated activities. Three commenters
requested clarification if two staff
people need to be working on an
activity for it to be considered
‘‘integrated.’’ Two people do not need to
be working on an activity for it to be
‘‘integrated.’’ The misleading text has
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been deleted from the Administrative
Guidance. There were two comments
about the effective date of the
Administrative Guidance and the time
period to which it applies. Although the
Administrative Guidance is effective
upon publication in the Federal
Register, the approved revised and
reconfirmed target percentages do not
apply until FY 2011. Two commenters
stated that although their institution
may not meet the target percentages for
multistate and extension activities with
Federal funds, they would if the entire
funding portfolio was considered (e.g.,
state and local funds). They requested
that non-Federal funds be used to meet
these requirements. While NIFA can
appreciate this, the legislation applies to
the Federal funds only. Five
respondents commented that the use of
formal agreements to document
multistate extension activities was
overly burdensome. The Administrative
Guidance does not require formal
agreements to support eligible
multistate extension activities. One
commenter asked if they could use
intrastate activities to meet the
multistate extension requirements.
Institutions may not use intrastate
activities to meet these requirements as
the legislation requires activities that
involve more than one state. Finally,
two commenters stated that the
Administrative Guidance was clear and
helpful.
Time Line for Implementation
Although this Interim Administrative
Guidance is effective upon publication
in the Federal Register, NIFA is
requesting comments during a 60-day
period. These comments will be
considered and incorporated in the final
version of the Administrative Guidance.
NIFA is requesting that institutions
either reset or reconfirm their target
percentages for multistate extension and
integrated activities by September 30,
2010. NIFA will review and approve
these target percentages by October 29,
2010. These approved target percentages
will be effective October 1, 2010.
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, as amended (44 U.S.C.
Chapter 35), the information and
recordkeeping requirements imposed by
the implementation of this guidance
were approved under OMB Information
Collection No. 0524–0036, ‘‘Reporting
Requirements for the State Plans of
Work for Agricultural Research and
Extension Formula Funds.’’
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Pursuant to the requirements for
multistate extension activities and
integrated research and extension
activities enacted in the Agricultural
Research, Extension, and Education
Reform Act of 1998, NIFA hereby
implements the Administrative
Guidance for Multistate Extension
Activities and Integrated Research and
Extension Activities:
Interim Administrative Guidance for
Multistate Extension Activities and
Integrated Research and Extension
Activities
I. Preface and Authority
II. Definitions
III. Multistate Extension Activities
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5Year Plan of Work
C. Annual Report of Accomplishments and
Results
D. Waivers
IV. Integrated Activities (Hatch Act Funds)
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5;Year Plan of Work
C. Annual Report of Accomplishments and
Results
D. Waivers
V. Integrated Activities (Smith-Lever Act
Funds only)
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5Year Plan of Work
C. Annual Report of Accomplishments and
Results
D. Waivers
VI. Submission of Forms
Appendix A—FY 1997 Hatch Act and SmithLever Act Allocations
Appendix B—Forms
Form NIFA–TARG (Rev. 07/2010),
Establishment of Target Percentages for
Multistate Extension Activities and
Integrated Activities
Form NIFA–BASE (Rev. 07/2010),
Establishment of Fiscal Year (FY) 1997
Baselines for Multistate Extension
Activities and Integrated Activities,
Summary of FY 1997 Planned Programs/
Activities and Expenditures
Form NIFA–PLAN (Rev. 07/2010),
Supplement to the 5-Year Plan of Work,
Multistate Extension Activities and
Integrated Extension Activities
Form NIFA–REPT (Rev. 07/2010),
Supplement to the Annual Report of
Accomplishments and Results,
Multistate Extension Activities and
Integrated Activities
Form NIFA–WAIVER (07/2010), Request
for Waiver from Target Percentage for
Multistate Extension Activities and
Integrated Activities
Appendix C—Frequently Asked Questions
All appendices are available at https://
www.nifa.usda.gov/business/reporting/
planrept/plansofwork.html.
I. Preface and Authority
Section 105 of the Agricultural
Research, Extension, and Education
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Reform Act of 1998 (AREERA) amended
the Smith-Lever Act to require that each
institution receiving extension formula
funds under sections 3(b) and (c) of the
Smith-Lever Act expend for multistate
activities in FY 2000 and thereafter a
percentage that is at least equal to the
lesser of 25 percent or twice the
percentage of funds expended by the
institution for multistate activities in FY
1997 (7 U.S.C. 343(h)). Section 204 of
AREERA amended both the Hatch and
the Smith-Lever Acts to require that
each institution receiving agricultural
research and extension formula funds
under the Hatch Act and sections 3(b)
and (c) of the Smith-Lever Act expend
for integrated research and extension
activities in FY 2000 and thereafter a
percentage that is at least equal to the
lesser of 25 percent or twice the
percentage of funded expended by the
institution for integrated research and
extension activities in FY 1997 (7 U.S.C.
343(i) & 361c(i)). These sections also
require that the institutions include in
the plan of work a description of the
manner in which they will meet these
multistate and integrated requirements.
These applicable percentages apply to
the Federal agricultural research and
extension formula funds only. Federal
formula funds that are used by the
institution for a fiscal year for integrated
activities may also be counted to satisfy
the multistate activities requirement.
The multistate extension and the
integrated research and extension
activities do not apply to the formula
funds received by American Samoa,
Guam, Micronesia, Northern Marianas,
Puerto Rico, and the Virgin Islands.
Since the Smith-Lever Act is not
directly applicable, the multistate and
integrated extension requirements do
not apply to extension funds received
by the District of Columbia.
The amendments made by sections
105 and 204 of AREERA also provide
that the Secretary of Agriculture may
reduce the minimum percentage
required to be expanded by the
institution for multistate and integrated
activities in the case of hardship,
infeasibility, or other similar
circumstance beyond the control of the
institution.
II. Definitions
For the purposes of implementing
sections 105 and 204 of AREERA, the
following definitions are applicable:
Activities mean either research
projects or extension programs.
Formula Funds means, for the
purpose of the multistate extension
activities and integrated activities
guidance, the Federal mean formula
funding provided to the 1862 Land-
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Grant Institutions under section 3 of the
Hatch Act of 1887, as amended (7 U.S.C.
361c) and sections 3(b)(1) and (c) of the
Smith-Lever Act, as amended (7 U.S.C.
343(b)(1) and (c)).
Integrated activities means jointly
planned, funded, and interwoven
activities between research and
extension to solve problems. This
includes the generation of knowledge
and the transfer of information and
technology.
Multistate activities means
collaborative efforts that reflect the
programs of institutions located in at
least two or more States or territories.
Planned Programs means collections
of research projects or activities and/or
extension programs or activities.
III. Multistate Extension Activities
A. Reconfirm or Reset Target
Percentages
By September 30, 2010, each 1862
Land-Grant Institution must reconfirm
or reset their Target Percentage for
multistate extension activities.
Institutions have a choice of two
options: (A) Target 25 percent which
will automatically waive the
requirement to report on the FY 1997
expenditures for multistate extensions
activities; or (B) Target a percentage
which is two times the FY 1997
expenditures for multistate extension
activities (commonly referred to as the
FY 1997 baseline) but less than 25
percent. Institutions will use Form
NIFA–TARG (Rev. 07/2010),
Establishment of Target Percentages for
Multistate Extension Activities and
Integrated Activities, to select their
option. If an institution wishes to
reconfirm their original Target
Percentage, they should forward a copy
of the original Form NIFA–TARG (Rev.
07/2010) and Form NIFA–BASE (Rev.
07/2010) to the NIFA Formula Grants
Section, Awards Management Branch,
with a memo that the 1862 Land-Grant
Institution is reconfirming the original
Target Percentages set in FY 2000.
Institutions selecting Option B for the
first time also are required to report by
September 30, 2010, the amount of FY
1997 funds allocated under sections 3(b)
and (c) of the Smith-Lever Act (i.e., the
regular allocation only) and expended
on multistate extension activities during
the period from October 1, 1996,
through September 30, 1997. These
institutions will use Form NIFA–BASE
(Rev. 07/2010), Establishment of Fiscal
Year (FY) 1997 Baselines for Multistate
Extension Activities and Integrated
Activities. When completing this form,
institutions may opt to report on the
planned program level which is a
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collection of extension programs or
activities. Please see Appendix A for the
total amount of Smith-Lever Act
sections 3(b) and (c) funds that were
allocated to the 1862 Land-Grant
Institutions in FY 1997. The
requirement to submit Form NIFA–
BASE (Rev. 07/2010) is automatically
waived for those institutions selecting
Option A. States who were unable to
document FY 1997 baseline
expenditures must select Option A
which is 25 percent.
The term ‘‘Multistate activities’’ means
collaborative efforts that reflect the
programs of institutions located in at
least two or more States or territories.
Each participating State or territory
must be a collaborator towards
objectives and involved in the
outcomes. Evidence of this collaboration
should have been documented through
the formal agreements, letters of
memorandum, contracts, grants, or other
documents that provide primary
evidence that a multistate relationship
exists. Please note that formal
agreements are not required. As
mentioned in the Preface, this
requirement applies to the Federal
formula funds only and will apply to
the Smith-Lever Act section 3(b) and (c)
funds (i.e., the regular allocation only).
Examples of multistate extension
activities may include committees,
projects, training, workshops, centers,
and meetings that involve more than
one State or territory.
B. Submission of Supplement to the 5Year Plan of Work Update
Each institution also is required to
submit Form NIFA–PLAN (Rev. 07/
2010), Supplement to the 5-Year Plan of
Work, Multistate Extension Activities
and Integrated Activities, for all
multistate extension activities that will
be supported by the Smith-Lever Act
section 3(b) and (c) funds used to satisfy
the AREERA section 105 requirement
for multistate extension activities. This
form should be completed each fiscal
year to reflect the 5-Year Plan of Work
updated and submitted in the AREERA
State Plan of Work Information System.
Institutions should use the prior fiscal
year amount (e.g., use the FY 2009
allocation amount for the FY 2011–2015
reporting requirement due in FY 2010)
as a basis for planning programs and/or
activities to meet the AREERA section
105 requirements. Please note that
compliance with section 105 of
AREERA will be determined by the
institution meeting the Target
Percentage of the actual formula
allocation for the applicable fiscal year.
This form (NIFA–TARG (Rev. 07/2010))
is due to the NIFA Formula Grants
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Section, Awards Management Branch,
by April 1st each fiscal year and should
complement the 5-Year Plan of Work. A
brief statement of each planned program
or activity is required and must be
attached to this form. However, in lieu
of these brief statements, institutions
may refer to information on multistate
extension activities reported in the 5Year Plan of Work, if such information
clearly describes multistate extension
planned programs and/or activities as
listed on Form NIFA–PLAN (Rev. 07/
2010).
C. Annual Report of Accomplishments
and Results
Form NIFA–REPT (Rev. 07/2010),
Supplement to the Annual Report of
Accomplishments and Results,
Multistate Extension Activities and
Integrated Activities, will be due on
April 1st each year and must be
submitted as a summary of the
multistate extension planned programs
or activities that have been used to
satisfy the requirements of AREERA
section 105. The form has been designed
so that each institution will submit only
one form with attached brief summaries
for each fiscal year. The form allows for
the reporting on all three AREERA
requirements: Hatch integrated; SmithLever multistate; and Smith-Lever
integrated and includes a certification
statement. One form should be
submitted for each fiscal year; and
current fiscal year funds should not be
commingled with funds from prior
fiscal years. If you are carrying over
AREERA multistate and integrated
requirements from a previous fiscal year
and both requirements are satisfied in a
later fiscal year, the Form NIFA–REPT
(Rev. 07/2010) should be marked ‘‘Final’’
for that fiscal year. If you are carrying
over these AREERA requirements into
the next fiscal year, the Form NIFA–
REPT (Rev. 07/2010) should be marked
‘‘Interim’’ for that fiscal year in which
the funds were first allocated. Do not
submit a ‘‘Final’’ report for any fiscal
year until the full requirement has been
met for all three AREERA requirements.
If you know that you will be unable to
meet your AREERA requirements for
any fiscal year, please contact NIFA
Formula Grants Section, Awards
Management Branch, via email as soon
as possible. NIFA may be required to
reduce your allocation by the Target
Percentage amount not met, as these
costs will be disallowed. Brief
statements or summaries describing the
activities performed and the progress to
date on each planned program or
activity must be attached to this form.
Although the Annual Report describes
in detail the goals and accomplishments
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for an institution’s entire program, a
brief description of the Multistate
Extension Activities for each program
listed in the NIFA–REPT (Rev. 07/2010)
form must be attached. Please note that
amounts on these forms are subject to
audit. This form is due each fiscal year
on April 1st and should be submitted to
the NIFA Formula Grants Section,
Awards Management Branch.
D. Waivers
A waiver may be requested for failure
to meet the AREERA section 105
requirement. Eligible institutions may
request a waiver for this purpose when
one of the following criteria is met: (1)
Infeasibility, (2) hardship, or (3) other
circumstances beyond control of the
State. The waiver request and
supporting documentation should be
addressed to NIFA Director and
forwarded to the NIFA Formula Grants
Section, Awards Management Branch.
Waivers can only be granted on an
annual basis and may be processed as
either a pre-waiver or a post-waiver. A
pre-waiver must be submitted prior to
October 1st of the fiscal year. A postwaiver must be submitted with the other
AREERA Section 105 reporting
requirements due April 1st. Institutions
must use Form NIFA–WAIVER (07/
2010), Request for Waiver from Target
Percentage for Multistate Extension
Activities and Integrated Activities, to
request a reduction in the minimum
percentage required to be expended for
multistate extension activities. The
waiver request should be signed by the
appropriate institutional official (i.e.,
Dean or Director). To expedite the
consideration of the waiver request, the
institution should include the following
elements in the request letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for
which the waiver is requested;
(c) A statement of the amount of the
waiver being requested by fiscal year
and how the amount was computed;
(d) A statement of why the waiver is
required;
(e) Documentation supporting the
need for a waiver; and
(f) The university’s efforts to meet the
AREERA section 105 requirements in
the future. NIFA will approve or
disapprove these waiver requests within
60 days of receipt. As stated above,
waivers will be granted in cases of
hardship, infeasibility, or other
circumstances beyond the control of the
States.
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IV. Integrated Research and Extension
Activities (Hatch Act Funds)
A. Reconfirm or Reset Target
Percentages
By September 30, 2010, each 1862
Land-Grant Institution must reconfirm
or reset their Target Percentage for
integrated research and extension
activities authorized under the Hatch
Act. Institutions have a choice of two
options: (A) Target 25 percent which
will automatically waive the
requirement to report on the FY 1997
expenditures for integrated research and
extension activities; or (B) Target a
percentage which is two times the FY
1997 expenditures for integrated
research and extension activities
(commonly referred to as the FY 1997
baseline) but less than 25 percent.
Institutions will use Form NIFA–TARG
(Rev. 07/2010), Establishment of Target
Percentages for Multistate Extension
Activities and Integrated Activities, to
select their option. If an institution
wishes to reconfirm their original Target
Percentage, they should forward a copy
of the original Form NIFA–TARG (Rev.
07/2010) and Form NIFA–BASE (Rev.
07/2010) to the NIFA Formula Grants
Section, Awards Management Branch,
with a memo that the 1862 Land-Grant
Institution is reconfirming the original
Target Percentages set in FY 2000.
Institutions selecting Option B for the
first time also are required to report by
September 30, 2010, the amount of FY
1997 funds allocated under the Hatch
Act and expended on integrated
research and extension activities during
the period from October 1, 1996,
through September 20, 1997. These
institutions will use Form NIFA–BASE
(Rev. 07/2010), Establishment of Fiscal
Year (FY) 1997 Baselines for Multistate
Extension Activities and Integrated
Activities. When completing this form,
institutions may opt to report on the
planned program level which is a
collection of integrated research and
extension programs or activities. Please
see Appendix A for the total amount of
the Hatch Act funds that were allocated
to the 1862 Land-Grant Institutions in
FY 1997. The requirement to submit
Form NIFA–BASE (Rev. 07/2010) is
automatically waived for those
institutions selecting Option A. States
who were unable to document FY 1997
baseline expenditures must select
Option A which is 25 percent.
Integrated activities mean jointly
planned, funded, and interwoven
activities between research and
extension to solve problems. This
includes the generation of knowledge
and the transfer of information and
technology. As mentioned in the
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Preface, this requirement applies to the
Federal formula funds only and will
apply to all funds authorized and
allocated under the Hatch Act,
including Hatch Multistate Research
Fund. Examples of integrated activities
include joint research and extension
personnel appointments. In addition,
integrated activities may include
coordinating committees, workshops,
training, centers, projects, and meetings
as long as they meet the definition of
‘‘integrated activities.’’
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B. Submission of Supplement to the 5Year Plan of Work Update
Each institution also is required to
submit Form NIFA–PLAN (Rev. 07/
2010), Supplement to the 5-Year Plan of
Work, Multistate Extension Activities
and Integrated Activities, for all
integrated research and extension
activities that will be supported by the
Hatch Act funds used to satisfy the
AREERA section 204 requirement for
integrated research and extension
activities. This form should be
completed each fiscal year to reflect the
5-Year Plan of Work updated and
submitted in the AREERA State Plan of
Work Information System. Institutions
should use the prior fiscal year amount
(e.g., use the FY 2009 allocation amount
for the FY 2011–2015 reporting
requirement due in FY 2010) as a basis
for planning programs and/or activities
to meet the AREERA section 204
requirements. Please note that
compliance with section 204 of
AREERA will be determined by the
institution meeting the Target
Percentage of the actual formula
allocation for the applicable fiscal year.
This form (NIFA–TARG (Rev. 07/2010))
is due to the NIFA Formula Grants
Section, Awards Management Branch,
by April 1st each fiscal year and should
complement the 5-Year Plan of Work. A
brief statement of each planned program
or activity is required and must be
attached to this form. However, in lieu
of these brief statements, institutions
may refer to information on integrated
activities reported in the 5-Year Plan of
Work, if such information clearly
describes integrated planned programs
and/or activities as listed on Form NIFA
PLAN (Rev. 07/2010).
C. Annual Report of Accomplishments
and Results
Form NIFA–REPT (Rev. 07/2010),
Supplement to the Annual Report of
Accomplishments and Results,
Multistate Extension Activities and
Integrated Activities, will be due April
1st each year and must be submitted as
a summary of the integrated research
and extension planned programs or
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16:22 Aug 11, 2010
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activities that have been used to satisfy
the requirements of AREERA section
204. The form has been designed so that
each institution will submit only one
form with attached brief summaries for
each fiscal year. The form allows for the
reporting on all three AREERA
requirements: Hatch integrated; SmithLever multistate; and Smith-Lever
integrated and includes a certification
statement. One form should be
submitted for each fiscal year; and
current fiscal year funds should not be
commingled with funds from prior
fiscal years. If you are carrying over
AREERA multistate and integrated
requirements from a previous fiscal year
and both requirements are satisfied in a
later fiscal year, the Form NIFA–REPT
(Rev. 07/2010) should be marked ‘‘Final’’
for that fiscal year. If you are carrying
over these AREERA requirements into
the next fiscal year, the Form NIFA–
REPT (Rev. 07/2010) should be marked
‘‘Interim’’ for that fiscal year in which
the funds were first allocated. Do not
submit a ‘‘Final’’ report for any fiscal
year until the full requirement has been
met for all three AREERA requirements.
If you know that you will be unable to
meet your AREERA requirements for
any fiscal year, please contact the NIFA
Formula Grants Section, Awards
Management Branch, via email as soon
as possible. NIFA may be required to
reduce your allocation by the Target
Percentage amount not met, as these
costs will be disallowed. Brief
statements or summaries describing the
activities performed and the progress to
date on each planned program or
activity must be attached to this form.
Although the Annual Report describes
in detail the goals and accomplishments
for an institution’s entire program, a
brief description of the Integrated
Research and Extension Activities for
each program listed in the NIFA–REPT
(Rev. 07/2010) form must be attached.
Please note that amounts on these forms
are subject to audit. This form is due
each fiscal year on April 1st and should
be submitted to the NIFA Formula
Grants Section, Awards Management
Branch.
D. Waivers
A waiver may be requested for failure
to meet the AREERA section 204
requirement. Eligible institutions may
request a waiver for this purpose when
one of the following criteria is met: (1)
Infeasibility, (2) hardship, or (3) other
circumstances beyond the control of the
State. The waiver request and
supporting documentation should be
addressed to the NIFA Director and
forwarded to the NIFA Formula Grants
Section, Awards Management Branch.
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48925
Waivers can only be granted on an
annual basis and may be processed as
either a pre-waiver or a post-waiver. A
pre-waiver must be submitted prior to
October 1st of the fiscal year. A postwaiver must be submitted with the other
AREERA Section 204 reporting
requirements due April 1st. Institutions
must use Form NIFA–WAIVER (Rev. 07/
2010), Request for Waiver from Target
Percentage for Multistate Extension
Activities and Integrated Activities, to
request a reduction in the minimum
percentage required to be expended for
integrated research and extension
activities. The waiver request should be
signed by the appropriate institutional
official (i.e., Dean or Director). To
expedite the consideration of the waiver
request, the institution should include
the following elements in the requested
letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for
which the waiver is requested;
(c) A statement of the amount of the
waiver being requested by fiscal year
and how the amount was computed;
(d) A statement of why the waiver is
required;
(e) Documentation supporting the
need for a waiver; and
(f) The university’s efforts to meet the
AREERA section 204 requirements in
the future. NIFA will approve or
disapprove these waiver requests within
60 days of receipt. As stated above,
waivers will be granted in cases of
hardship, infeasibility, or other
circumstances beyond the control of the
States.
V. Integrated Research and Extension
Activities (Smith-Lever Act Funds)
A. Reconfirm or Reset Target
Percentages
By September 30, 2010, each 1862
Land-Grant Institution must reconfirm
or reset their Target Percentage for
integrated research and extension
activities authorized under the SmithLever Act. Institutions have a choice of
two options: (A) Target 25 percent
which will automatically waive the
requirement to report on the FY 1997
expenditures for integrated research and
extension activities; or (B) Target a
percentage which is two times the FY
1997 expenditures for integrated
research and extension activities
(commonly referred to as the FY 1997
baseline) but less than 25 percent.
Institutions will use Form NIFA–TARG
(Rev. 07/2010), Establishment of Target
Percentages for Multistate Extension
Activities and Integrated Activities, to
select their option. If an institution
wishes to reconfirm their original Target
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Percentage, they should forward a copy
of the original Form NIFA–TARG (Rev.
07/2010) and Form NIFA–BASE (Rev.
07/2010) to the Formula Grants Section,
Awards Management Branch, with a
memo that the 1862 Land-Grant
Institution is reconfirming the original
Target Percentages set in FY 2000.
Institutions selecting Option B for the
first time also are required to report by
September 30, 2010, the amount of FY
1997 funds allocated under the SmithLever Act and expended on integrated
research and extension activities during
the period from October 1, 1996,
through September 30, 1997. These
institutions will use Form NIFA–BASE
(Rev. 07/2010), Establishment of Fiscal
Year (FY) 1997 Baselines for Multistate
Extension Activities and Integrated
Activities. When completing this form,
institutions may opt to report on the
planned program level which is
collection of integrated research and
extension programs or activities. Please
see Appendix A for the total amount of
Smith-Lever Act funds that were
allocated to the 1862 Land-Grant
Institutions in FY 1997. The
requirement to submit Form NIFA–
BASE (Rev. 07/2010) is automatically
waived for those institutions selecting
Option A. States who were unable to
document FY 1997 baseline
expenditures must select Option A
which is 25 percent.
Integrated activities means jointly
planned, funded, and interwoven
activities between research and
extension to solve problems. This
includes the generation of knowledge
and the transfer of information and
technology. As mentioned in the
Preface, this requirement applies to the
Federal formula funds only and will
apply to all funds authorized and
allocated under the Smith-Lever Act.
Examples of integrated activities
include joint research and extension
personnel appointments. In addition,
integrated activities may include
coordinating committees, workshops,
training, centers, projects, and meetings
as long as they meet the definition of
‘‘integrated activities.’’
B. Submission of Supplement to the 5Year Plan of Work Update
Each institution also is required to
submit Form NIFA–PLAN (Rev. 07/
2010), Supplement to the 5-Year Plan of
Work, Multistate Extension Activities
and Integrated Activities, for all
integrated research and extension
activities that will be supported by the
Smith-Lever Act funds used to satisfy
the AREERA section 204 requirement
for integrated research and extension
activities. This form should be
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16:22 Aug 11, 2010
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completed each fiscal year to reflect the
5-Year Plan of Work updated and
submitted in the AREERA State Plan of
Work Information System. Institutions
should use the prior fiscal year amount
(e.g., use the FY 2009 allocation amount
for the FY 2011–2015 reporting
requirement due in FY 2010) as a basis
for planning programs and/or activities
to meet the AREERA section 204
requirements. Please note that
compliance with section 204 of
AREERA will be determined by the
institution meeting the Target
Percentage of the actual formula
allocation for the applicable fiscal year.
This form (NIFA–TARG (Rev. 07/2010))
is due to the NIFA Formula Grants
Section, Awards Management Branch,
by April 1st each fiscal year and should
complement the 5-Year Plan of Work. A
brief statement of each planned program
or activity is required and must be
attached to this form. However, in lieu
of these brief statements, institutions
may refer to information on integrated
activities reported in the 5-Year Plan of
Work, if such information clearly
describes integrated planned programs
and/or activities as listed on Form NIFA
PLAN (Rev. 07/2010).
C. Annual Report of Accomplishments
and Results
Form NIFA–REPT (Rev. 07/2010)
Supplement to the Annual Report of
Accomplishments and Results,
Multistate Extension Activities and
Integrated Activities, will be due April
1st each year and must be submitted as
a summary of the integrated research
and extension planned programs or
activities that have been used to satisfy
the requirements of AREERA section
204. The form has been designed so that
each institution will submit only one
form with attached brief summaries for
each fiscal year. The form allows for the
reporting on all three AREERA
requirements: Hatch integrated; SmithLever multistate; and Smith-Lever
integrated and includes a certification
statement. One form should be
submitted for each fiscal year, and
current fiscal year funds should not be
commingled with funds from prior
fiscal years. If you are carrying over
AREERA multistate and integrated
requirements from a previous fiscal year
and both requirements are satisfied in a
later fiscal year, the Form NIFA–REPT
(Rev. 07/2010) should be marked ‘‘Final’’
for that fiscal year. If you are carrying
over these AREERA requirements into
the next fiscal year, the Form NIFA–
REPT (Rev. 07/2010) should be marked
‘‘Interim’’ for that fiscal year in which
the funds were first allocated. Do not
submit a ‘‘Final’’ report for any fiscal
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Fmt 4703
Sfmt 4703
year until the full requirement has been
met for all three AREERA requirements.
If you know that you will be unable to
meet your AREERA requirements for
any fiscal year, please contact NIFA
Formula Grants Section, Awards
Management Branch, via e-mail as soon
as possible. NIFA may be required to
reduce your allocation by the Target
Percentage amount not met, as these
costs will be disallowed. Brief
statements or summaries describing the
activities performed and the progress to
date on each planned program or
activity must be attached to this form.
Although the Annual Report describes
in detail the goals and accomplishments
for an institution’s entire program, a
brief description of the Integrated
Research and Extension Activities for
each program listed in the NIFA–REPT
(Rev. 07/2010) form must be attached.
Please note that amounts on these forms
are subject to audit. This form is due
each fiscal year on April 1st and should
be submitted to the NIFA Formula
Grants Section, Awards Management
Branch.
D. Waivers
A waiver may be requested for failure
to meet the AREERA section 204
requirement. Eligible institutions may
request a waiver for this purpose when
one of the following criteria is met: (1)
Infeasibility, (2) hardship, or (3) other
circumstances beyond the control of the
State. The waiver request and
supporting documentation should be
addressed to the NIFA Director and
forwarded to the NIFA Formula Grants
Section, Awards Management Branch.
Waivers can only be granted on an
annual basis and may be processed as
either a pre-waiver or a post-waiver. A
pre-waiver must be submitted prior to
October 1st of the fiscal year. A postwaiver must be submitted with the other
AREERA Section 204 reporting
requirements due April 1st. Institutions
must use Form NIFA–WAIVER (Rev. 07/
2010), Request for Waiver from Target
Percentage for Multistate Extension
Activities and Integrated Activities, to
request a reduction in the minimum
percentage required to be expended for
integrated research and extension
activities. The waiver request should be
signed by the appropriate institutional
official (i.e., Dean or Director). To
expedite the consideration of the waiver
request, the institution should include
the following elements in the requested
letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for
which the waiver is requested;
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(c) A statement of the amount of the
waiver being requested by fiscal year
and how the amount was computed;
(d) A statement of why the waiver is
required;
(e) Documentation supporting the
need for a waiver; and
(f) The university’s efforts to meet the
AREERA section 204 requirements in
the future. NIFA will approve or
disapprove these waiver requests within
60 days of receipt. As stated above,
waivers will be granted in cases of
hardship, infeasibility, or other
circumstances beyond the control of the
State.
VI. Submission of Forms
All forms collected under this Interim
Administrative Guidance should be
submitted electronically to
formulagrantforms@nifa.usda.gov or via
fax on (202) 401–7752.
Dated: Done at Washington, DC, this 2nd
day of August 2010.
Roger Beachy,
Director, National Institute of Food and
Agriculture.
[FR Doc. 2010–19629 Filed 8–11–10; 8:45 am]
BILLING CODE 3410–22–P
DEPARTMENT OF AGRICULTURE
Forest Service
Sierra National Forest, Bass Lake
Ranger District, California, Fish Camp
Project
Forest Service, USDA.
Notice of intent to prepare an
environmental impact statement.
AGENCY:
ACTION:
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SUPPLEMENTARY INFORMATION:
The Sierra National Forest,
Bass Lake Ranger District is proposing
to conduct a comprehensive series of
treatments near a Wildland-Urban
Interface area known as the community
of Fish Camp. Strategically Placed
Landscape Area Treatments (SPLATs)
have been initially identified to provide
a means to reduce the intensity and
spread of wildland fires across the
landscape and near communities.
Additional treatments within these
SPLATs have been identified where
forest stands are densely stocked and
thinning is needed. This thinning is
needed to reduce inter-tree competition
and improve tree vigor and increase
stand resistance to drought conditions,
insect and disease attack.
DATES: Comments concerning the scope
of this analysis should be received no
later than 30 days after the publication
of this notice in the Federal Register.
The draft environmental impact
statement (DEIS) is expected in
SUMMARY:
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16:22 Aug 11, 2010
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November 2010 and the final
environmental impact statement (FEIS)
is expected in March 2011.
ADDRESSES: Send written comments to
U.S. Forest Service, Sierra National
Forest, Bass Lake Ranger District, 57003
Road 225, North Fork, CA 93643, Attn:
David Martin. Comments may also be
sent via e-mail to commentspacificsouthwest-sierra@fs.fed.us (use
Rich Text format (.rtf) or Word format
(.doc)) or via facsimile to (559) 877–
3308.
It is important that reviewers provide
their comments at such times and in
such a way that they are useful to the
Agency’s preparation of the EIS.
Therefore, comments should be
provided prior to the close of the
comment period and should clearly
articulate the reviewer’s concerns and
contentions.
Comments received in response to
this solicitation, including names and
addresses of those who comment, will
be part of the public record for this
proposed action. However comments
submitted anonymously will be
accepted and considered.
FOR FURTHER INFORMATION CONTACT:
Mark Lemon, Interdisciplinary Team
Leader, at Sierra National Forest, Bass
Lake Ranger District, 57003 Road 225,
North Fork, CA 93643. Individuals who
use telecommunication devices for the
deaf (TDD) may call the Federal
Information Relay Service (FIRS) at 1–
800–877–8339 between 8 a.m. and 8
p.m., Eastern Time, Monday through
Friday.
Background Information: The Fish
Camp Project (Madera and Mariposa
Counties, California) lies within the Big
Creek watershed, where during the
period before significant Euro-American
influence, natural fires occurred
frequently and were of low intensity
with return intervals ranging from five
to 10 years. During the past century,
management activities (including
harvesting operations, fire exclusion/
suppression, etc.) and increased human
habitation, have changed the
composition of vegetation. Currently,
vegetation within the Fish Camp Project
has changed from one where frequent,
low intensity fires occurred to one with
increased susceptibility to moderate to
high intensity wildland fire. Forest
stand densities are above what can be
sustained, with inter-tree competition
increasing and tree vigor beginning to
decline. Pockets of insect and disease
attack are beginning to show in the
stands as well as drought induced
mortality.
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48927
The Fish Camp Project was originally
to be documented in an Environmental
Assessment (EA). The Fish Camp
Project lies within the elevational bands
for the Southern Sierra Fisher
Conservation Area and the American
marten. Public concern and
management review surrounding the
significance of potential impacts to the
Pacific fisher, a candidate threatened
and endangered species, the California
spotted owl, a sensitive species, and
American marten during past projects,
has led to the decision to document the
environmental analysis with an
environmental impact statement (EIS)
for this project.
Purpose and Need for Action
The Sierra National Forest Land and
Resource Management Plan (as
amended in January 2004) has identified
Wildland-Urban Interface (WUI) areas as
places where human habitation is mixed
with areas of flammable wildland
vegetation and has the highest priority
for treatment. As directed in the Sierra
Nevada Forest Plan Amendment (2004),
national forests are to integrate fire and
fuels management objectives with other
resource management objectives and
address the role of wildland fire in the
ecosystem. The forest-wide standards
and guidelines state that ‘‘vegetation
within treatment areas should be
modified to meet desired surface, ladder
and crown fuel conditions as well as
stand densities necessary for healthy
forest during drought conditions’’. The
community of Fish Camp (Mariposa
County, California) lies in the western
portion of the project area. On the
northern portion of the project boundary
is Yosemite National Park. Many of the
homes in Fish Camp do not have
sufficient clearance to protect them if a
fast moving wildland fire were to move
into the area.
Vegetation in the Fish Camp Project
area includes mixed conifer stands with
some small areas of True Fir. Insect and
drought induced mortality is beginning
to appear in pockets within both natural
stands and conifer plantations.
Scattered throughout the project area are
pockets of heavy dead and down
material (branches, limbs and logs)
resulting from natural accumulation and
past management activities. In lower to
mid-elevations of the project area and
on the steeper slopes, brush (manzanita/
ceanothus) is the main vegetation cover.
Based on the current conditions
described above the Fish Camp Project
objectives are to: (1) Reduce fuel ladders
and excessive ground fuels that pose a
potential for the propagation and
sustainability of a crown fire, (2)
minimize the effects of wildland fire in
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]]>Agencies
[Federal Register Volume 75, Number 155 (Thursday, August 12, 2010)]
[Notices]
[Pages 48921-48927]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-19629]
========================================================================
Notices
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains documents other than rules
or proposed rules that are applicable to the public. Notices of hearings
and investigations, committee meetings, agency decisions and rulings,
delegations of authority, filing of petitions and applications and agency
statements of organization and functions are examples of documents
appearing in this section.
========================================================================
Federal Register / Vol. 75, No. 155 / Thursday, August 12, 2010 /
Notices
[[Page 48921]]
DEPARTMENT OF AGRICULTURE
National Institute of Food and Agriculture
Administrative Guidance for Multistate Extension Activities and
Integrated Research and Extension Activities
AGENCY: National Institute of Food and Agriculture, USDA.
ACTION: Notice of interim guidance and request for comments.
-----------------------------------------------------------------------
SUMMARY: The National Institute of Food and Agriculture (NIFA) is
issuing a revised Administrative Guidance for Multistate Extension
Activities and Integrated Research and Extension Activities as interim
with a 60-day comment period. The Administrative Guidance has been
revised to address the findings and recommendations of the U.S.
Department of Agriculture (USDA) Office of Inspector General (OIG)
Audit Report no. 13001-3-Te: ``Cooperative State Research, Education,
and Extension Service's Implementation of the Agricultural Research,
Extension and Education Reform Act of 1998 (AREERA),'' and to clarify
policies and procedures associated with these requirements. Section 105
of AREERA amended the Smith-Lever Act to require that a specified
amount of agricultural extension formula funds be expended on
multistate extension activities. Section 204 of AREERA amended the
Hatch Act and Smith-Lever Act to require that a specified amount of
agricultural research and extension formula funds be expended on
integrated research and extension activities.
DATES: The interim Administrative Guidance is effective August 12,
2010. The Agency must receive comments by October 12, 2010 for them to
be considered in the final Administrative Guidance.
ADDRESSES: You may submit comments identified by 2010-0025, by any of
the following methods:
Federal eRulemaking Portal: https://www.regulations.gov. Follow the
instructions for submitting comments.
E-mail: administrativeguidance@nifa.usda.gov. Include the Docket
Number in the subject line of the message.
Fax: 202-401-7752.
Mail: paper, disk or CD-ROM submissions should be submitted to the
National Institute of Food and Agriculture, U.S. Department of
Agriculture, STOP 2299, 1400 Independence Avenue, SW., Washington, DC
20250-2299.
Hand Delivery/Courier: National Institute of Food and Agriculture,
U.S. Department of Agriculture, Room 2247, Waterfront Centre, 800 9th
Street, SW., Washington, DC 20024.
Instructions: All submissions received must include the agency name
and the docket number 2010-0025. All comments received will be posted
without change to https://www.regulations.gov, including any personal
information provided.
FOR FURTHER INFORMATION CONTACT: Mary Snieckus, Policy Specialist,
Office of Extramural Programs, National Institute of Food and
Agriculture, U.S. Department of Agriculture, STOP 2299, 1400
Independence Avenue, SW., Washington, DC 20250-2299; Voice: 202-720-
3842; Fax: 202-401-7752; E-mail: msnieckus@nifa.usda.gov.
SUPPLEMENTARY INFORMATION:
Background and Purpose
The Cooperative State Research, Education, and Extension Service
(CSREES) (now NIFA), in response to Recommendation 1 of the USDA OIG
Audit Report no. 13001-3-Te: ``Cooperative State Research, Education,
and Extension Service's Implementation of the Agricultural Research,
Extension and Education Reform Act of 1998'' (often referred to as the
AREERA Audit) is requiring 1862 Land-Grant Institutions not computing
their base percentages to select 25 percent as the target percentage
for multistate extension activities and for integrated research and
extension activities or to correctly determine their base percentages
based on actual expenditures. In FY 2000, 1862 Land-Grant Institutions
were provided four options for establishing a Target Percentage for
these requirements: (A) Target 25 percent which will automatically
waive the requirements to report on the FY 1997 expenditures for
multistate extension activities; (B) Target a percentage which is two
times the FY 1997 expenditures for multistate extension activities
(commonly referred to as the FY 1997 baseline) but less than 25
percent; (C) Target a percentage that is less than 25 percent (usually
selected when auditable expenditure data is not available); and (D)
Phase-in Option C with a 3-year phase-in period. The USDA OIG
determined during the audit that Options C and D did not meet the
intent of the legislation and that the 1862 Land-Grant Institutions, if
unable to determine their actual FY 1997 baseline expenditures for
multistate extension and integrated research and extension activities,
must select 25 percent, and thus, expend 25 percent of their Smith-
Lever Act funds on multistate extension activities and 25 percent on
integrated research and extension activities and expend 25 percent of
Hatch Act funds on integrated research and extension activities.
However, Federal funds that are used by the institution for a fiscal
year for integrated activities may also be counted to satisfy the
multistate activities requirement.
In the revised Administrative Guidance, NIFA is requesting that
each 1862 Land-Grant Institution (in the 50 States and in the District
of Columbia for Hatch Act funds only) review the table in Appendix A
which identifies by State the total FY 1997 Hatch Act and Smith-Lever
Act funds allocated, the FY 1997 expenditures reported for multistate
extension activities and integrated activities, the Target Percentage
selected, and whether the Target Percentages needed to be reset at 25
percent or to be based on the actual FY 1997 expenditures. Appendix A
is available at https://www.nifa.usda.gov/business/reporting/planrept/plansofwork.html. Although some institutions had previously established
25 percent or a Target Percentage based on actual expenditures, NIFA is
requesting that all institutions either reconfirm or reset their Target
Percentages.
The revised Administrative Guidance also clarifies the criteria for
AREERA section 105 and 204 waiver requests and
[[Page 48922]]
describes the waiver process in more detail. NIFA also seeks to clarify
that for purposes of determining the actual multistate extension and
integrated amounts, only the regular allocation under the Smith-Lever
Act (i.e., Smith-Lever Act sections 3(b)&(c)) and the Hatch Act
allocations together (i.e., the regular Hatch Act allocation according
to the legislative formula and the amount used to identify the matching
amount for the Hatch Multistate Research Fund allocation) should be
used to identify the actual expenditures required for that fiscal
year's formula grants (i.e., formula funds).
In complying with the Government Paperwork Elimination Act (GPEA),
NIFA is considering an electronic business process for collecting the
annual Form NIFA-PLAN (Rev. 07/2010) and Form NIFA-REPT (Rev. 07/2010)
data to ensure AREERA sections 105 and 204 compliance. NIFA plans to
integrate these requirements as part of the update to the 5-Year Plan
of Work and Annual Report of Accomplishments and Results which will be
entered electronically through the AREERA State Plan of Work
Information System.
Response to Stakeholder Input
CSREES provided a draft of the revised Administrative Guidance to
the State Extension Directors on May 2, 2008, and provided a 60-day
comment period. Fifteen comments were received during the comment
period. Thirteen were from university officials and two were from USDA
staff. Comment topics included the administrative burden associated
with compliance, definition of integrated activities, the use of split
appointments, use of non-Federal funds to meet these requirements,
waivers, effective date of revised Administrative Guidance, and the use
of intrastate activities to meet the multistate requirements. Three of
the commenters felt that resetting and reconfirming the target
percentages would be a significant burden to the institutions. While
NIFA realizes this may be a significant burden to some institutions,
institutions are required to either expend the lesser of 25 percent or
twice the percentage amount they spent in FY 1997 of their Smith-Lever
Act funds on multistate extension activities and the lesser of 25
percent or twice the percentage amount they spent in FY 1997 of their
Hatch Act and Smith-Lever Act funds on integrated activities. Three
commenters requested clarification if two staff people need to be
working on an activity for it to be considered ``integrated.'' Two
people do not need to be working on an activity for it to be
``integrated.'' The misleading text has been deleted from the
Administrative Guidance. There were two comments about the effective
date of the Administrative Guidance and the time period to which it
applies. Although the Administrative Guidance is effective upon
publication in the Federal Register, the approved revised and
reconfirmed target percentages do not apply until FY 2011. Two
commenters stated that although their institution may not meet the
target percentages for multistate and extension activities with Federal
funds, they would if the entire funding portfolio was considered (e.g.,
state and local funds). They requested that non-Federal funds be used
to meet these requirements. While NIFA can appreciate this, the
legislation applies to the Federal funds only. Five respondents
commented that the use of formal agreements to document multistate
extension activities was overly burdensome. The Administrative Guidance
does not require formal agreements to support eligible multistate
extension activities. One commenter asked if they could use intrastate
activities to meet the multistate extension requirements. Institutions
may not use intrastate activities to meet these requirements as the
legislation requires activities that involve more than one state.
Finally, two commenters stated that the Administrative Guidance was
clear and helpful.
Time Line for Implementation
Although this Interim Administrative Guidance is effective upon
publication in the Federal Register, NIFA is requesting comments during
a 60-day period. These comments will be considered and incorporated in
the final version of the Administrative Guidance. NIFA is requesting
that institutions either reset or reconfirm their target percentages
for multistate extension and integrated activities by September 30,
2010. NIFA will review and approve these target percentages by October
29, 2010. These approved target percentages will be effective October
1, 2010.
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, as amended (44 U.S.C. Chapter 35), the information and
recordkeeping requirements imposed by the implementation of this
guidance were approved under OMB Information Collection No. 0524-0036,
``Reporting Requirements for the State Plans of Work for Agricultural
Research and Extension Formula Funds.''
Pursuant to the requirements for multistate extension activities
and integrated research and extension activities enacted in the
Agricultural Research, Extension, and Education Reform Act of 1998,
NIFA hereby implements the Administrative Guidance for Multistate
Extension Activities and Integrated Research and Extension Activities:
Interim Administrative Guidance for Multistate Extension Activities and
Integrated Research and Extension Activities
I. Preface and Authority
II. Definitions
III. Multistate Extension Activities
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5-Year Plan of Work
C. Annual Report of Accomplishments and Results
D. Waivers
IV. Integrated Activities (Hatch Act Funds)
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5-;Year Plan of Work
C. Annual Report of Accomplishments and Results
D. Waivers
V. Integrated Activities (Smith-Lever Act Funds only)
A. Establishment of the Target Percentage
B. Submission of the Supplement to the 5-Year Plan of Work
C. Annual Report of Accomplishments and Results
D. Waivers
VI. Submission of Forms
Appendix A--FY 1997 Hatch Act and Smith-Lever Act Allocations
Appendix B--Forms
Form NIFA-TARG (Rev. 07/2010), Establishment of Target
Percentages for Multistate Extension Activities and Integrated
Activities
Form NIFA-BASE (Rev. 07/2010), Establishment of Fiscal Year (FY)
1997 Baselines for Multistate Extension Activities and Integrated
Activities, Summary of FY 1997 Planned Programs/Activities and
Expenditures
Form NIFA-PLAN (Rev. 07/2010), Supplement to the 5-Year Plan of
Work, Multistate Extension Activities and Integrated Extension
Activities
Form NIFA-REPT (Rev. 07/2010), Supplement to the Annual Report
of Accomplishments and Results, Multistate Extension Activities and
Integrated Activities
Form NIFA-WAIVER (07/2010), Request for Waiver from Target
Percentage for Multistate Extension Activities and Integrated
Activities
Appendix C--Frequently Asked Questions
All appendices are available at https://www.nifa.usda.gov/business/reporting/planrept/plansofwork.html.
I. Preface and Authority
Section 105 of the Agricultural Research, Extension, and Education
[[Page 48923]]
Reform Act of 1998 (AREERA) amended the Smith-Lever Act to require that
each institution receiving extension formula funds under sections 3(b)
and (c) of the Smith-Lever Act expend for multistate activities in FY
2000 and thereafter a percentage that is at least equal to the lesser
of 25 percent or twice the percentage of funds expended by the
institution for multistate activities in FY 1997 (7 U.S.C. 343(h)).
Section 204 of AREERA amended both the Hatch and the Smith-Lever Acts
to require that each institution receiving agricultural research and
extension formula funds under the Hatch Act and sections 3(b) and (c)
of the Smith-Lever Act expend for integrated research and extension
activities in FY 2000 and thereafter a percentage that is at least
equal to the lesser of 25 percent or twice the percentage of funded
expended by the institution for integrated research and extension
activities in FY 1997 (7 U.S.C. 343(i) & 361c(i)). These sections also
require that the institutions include in the plan of work a description
of the manner in which they will meet these multistate and integrated
requirements.
These applicable percentages apply to the Federal agricultural
research and extension formula funds only. Federal formula funds that
are used by the institution for a fiscal year for integrated activities
may also be counted to satisfy the multistate activities requirement.
The multistate extension and the integrated research and extension
activities do not apply to the formula funds received by American
Samoa, Guam, Micronesia, Northern Marianas, Puerto Rico, and the Virgin
Islands. Since the Smith-Lever Act is not directly applicable, the
multistate and integrated extension requirements do not apply to
extension funds received by the District of Columbia.
The amendments made by sections 105 and 204 of AREERA also provide
that the Secretary of Agriculture may reduce the minimum percentage
required to be expanded by the institution for multistate and
integrated activities in the case of hardship, infeasibility, or other
similar circumstance beyond the control of the institution.
II. Definitions
For the purposes of implementing sections 105 and 204 of AREERA,
the following definitions are applicable:
Activities mean either research projects or extension programs.
Formula Funds means, for the purpose of the multistate extension
activities and integrated activities guidance, the Federal mean formula
funding provided to the 1862 Land-Grant Institutions under section 3 of
the Hatch Act of 1887, as amended (7 U.S.C. 361c) and sections 3(b)(1)
and (c) of the Smith-Lever Act, as amended (7 U.S.C. 343(b)(1) and
(c)).
Integrated activities means jointly planned, funded, and interwoven
activities between research and extension to solve problems. This
includes the generation of knowledge and the transfer of information
and technology.
Multistate activities means collaborative efforts that reflect the
programs of institutions located in at least two or more States or
territories.
Planned Programs means collections of research projects or
activities and/or extension programs or activities.
III. Multistate Extension Activities
A. Reconfirm or Reset Target Percentages
By September 30, 2010, each 1862 Land-Grant Institution must
reconfirm or reset their Target Percentage for multistate extension
activities. Institutions have a choice of two options: (A) Target 25
percent which will automatically waive the requirement to report on the
FY 1997 expenditures for multistate extensions activities; or (B)
Target a percentage which is two times the FY 1997 expenditures for
multistate extension activities (commonly referred to as the FY 1997
baseline) but less than 25 percent. Institutions will use Form NIFA-
TARG (Rev. 07/2010), Establishment of Target Percentages for Multistate
Extension Activities and Integrated Activities, to select their option.
If an institution wishes to reconfirm their original Target Percentage,
they should forward a copy of the original Form NIFA-TARG (Rev. 07/
2010) and Form NIFA-BASE (Rev. 07/2010) to the NIFA Formula Grants
Section, Awards Management Branch, with a memo that the 1862 Land-Grant
Institution is reconfirming the original Target Percentages set in FY
2000. Institutions selecting Option B for the first time also are
required to report by September 30, 2010, the amount of FY 1997 funds
allocated under sections 3(b) and (c) of the Smith-Lever Act (i.e., the
regular allocation only) and expended on multistate extension
activities during the period from October 1, 1996, through September
30, 1997. These institutions will use Form NIFA-BASE (Rev. 07/2010),
Establishment of Fiscal Year (FY) 1997 Baselines for Multistate
Extension Activities and Integrated Activities. When completing this
form, institutions may opt to report on the planned program level which
is a collection of extension programs or activities. Please see
Appendix A for the total amount of Smith-Lever Act sections 3(b) and
(c) funds that were allocated to the 1862 Land-Grant Institutions in FY
1997. The requirement to submit Form NIFA-BASE (Rev. 07/2010) is
automatically waived for those institutions selecting Option A. States
who were unable to document FY 1997 baseline expenditures must select
Option A which is 25 percent.
The term ``Multistate activities'' means collaborative efforts that
reflect the programs of institutions located in at least two or more
States or territories. Each participating State or territory must be a
collaborator towards objectives and involved in the outcomes. Evidence
of this collaboration should have been documented through the formal
agreements, letters of memorandum, contracts, grants, or other
documents that provide primary evidence that a multistate relationship
exists. Please note that formal agreements are not required. As
mentioned in the Preface, this requirement applies to the Federal
formula funds only and will apply to the Smith-Lever Act section 3(b)
and (c) funds (i.e., the regular allocation only). Examples of
multistate extension activities may include committees, projects,
training, workshops, centers, and meetings that involve more than one
State or territory.
B. Submission of Supplement to the 5-Year Plan of Work Update
Each institution also is required to submit Form NIFA-PLAN (Rev.
07/2010), Supplement to the 5-Year Plan of Work, Multistate Extension
Activities and Integrated Activities, for all multistate extension
activities that will be supported by the Smith-Lever Act section 3(b)
and (c) funds used to satisfy the AREERA section 105 requirement for
multistate extension activities. This form should be completed each
fiscal year to reflect the 5-Year Plan of Work updated and submitted in
the AREERA State Plan of Work Information System. Institutions should
use the prior fiscal year amount (e.g., use the FY 2009 allocation
amount for the FY 2011-2015 reporting requirement due in FY 2010) as a
basis for planning programs and/or activities to meet the AREERA
section 105 requirements. Please note that compliance with section 105
of AREERA will be determined by the institution meeting the Target
Percentage of the actual formula allocation for the applicable fiscal
year. This form (NIFA-TARG (Rev. 07/2010)) is due to the NIFA Formula
Grants
[[Page 48924]]
Section, Awards Management Branch, by April 1st each fiscal year and
should complement the 5-Year Plan of Work. A brief statement of each
planned program or activity is required and must be attached to this
form. However, in lieu of these brief statements, institutions may
refer to information on multistate extension activities reported in the
5-Year Plan of Work, if such information clearly describes multistate
extension planned programs and/or activities as listed on Form NIFA-
PLAN (Rev. 07/2010).
C. Annual Report of Accomplishments and Results
Form NIFA-REPT (Rev. 07/2010), Supplement to the Annual Report of
Accomplishments and Results, Multistate Extension Activities and
Integrated Activities, will be due on April 1st each year and must be
submitted as a summary of the multistate extension planned programs or
activities that have been used to satisfy the requirements of AREERA
section 105. The form has been designed so that each institution will
submit only one form with attached brief summaries for each fiscal
year. The form allows for the reporting on all three AREERA
requirements: Hatch integrated; Smith-Lever multistate; and Smith-Lever
integrated and includes a certification statement. One form should be
submitted for each fiscal year; and current fiscal year funds should
not be commingled with funds from prior fiscal years. If you are
carrying over AREERA multistate and integrated requirements from a
previous fiscal year and both requirements are satisfied in a later
fiscal year, the Form NIFA-REPT (Rev. 07/2010) should be marked
``Final'' for that fiscal year. If you are carrying over these AREERA
requirements into the next fiscal year, the Form NIFA-REPT (Rev. 07/
2010) should be marked ``Interim'' for that fiscal year in which the
funds were first allocated. Do not submit a ``Final'' report for any
fiscal year until the full requirement has been met for all three
AREERA requirements. If you know that you will be unable to meet your
AREERA requirements for any fiscal year, please contact NIFA Formula
Grants Section, Awards Management Branch, via email as soon as
possible. NIFA may be required to reduce your allocation by the Target
Percentage amount not met, as these costs will be disallowed. Brief
statements or summaries describing the activities performed and the
progress to date on each planned program or activity must be attached
to this form. Although the Annual Report describes in detail the goals
and accomplishments for an institution's entire program, a brief
description of the Multistate Extension Activities for each program
listed in the NIFA-REPT (Rev. 07/2010) form must be attached. Please
note that amounts on these forms are subject to audit. This form is due
each fiscal year on April 1st and should be submitted to the NIFA
Formula Grants Section, Awards Management Branch.
D. Waivers
A waiver may be requested for failure to meet the AREERA section
105 requirement. Eligible institutions may request a waiver for this
purpose when one of the following criteria is met: (1) Infeasibility,
(2) hardship, or (3) other circumstances beyond control of the State.
The waiver request and supporting documentation should be addressed to
NIFA Director and forwarded to the NIFA Formula Grants Section, Awards
Management Branch. Waivers can only be granted on an annual basis and
may be processed as either a pre-waiver or a post-waiver. A pre-waiver
must be submitted prior to October 1st of the fiscal year. A post-
waiver must be submitted with the other AREERA Section 105 reporting
requirements due April 1st. Institutions must use Form NIFA-WAIVER (07/
2010), Request for Waiver from Target Percentage for Multistate
Extension Activities and Integrated Activities, to request a reduction
in the minimum percentage required to be expended for multistate
extension activities. The waiver request should be signed by the
appropriate institutional official (i.e., Dean or Director). To
expedite the consideration of the waiver request, the institution
should include the following elements in the request letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for which the waiver is
requested;
(c) A statement of the amount of the waiver being requested by
fiscal year and how the amount was computed;
(d) A statement of why the waiver is required;
(e) Documentation supporting the need for a waiver; and
(f) The university's efforts to meet the AREERA section 105
requirements in the future. NIFA will approve or disapprove these
waiver requests within 60 days of receipt. As stated above, waivers
will be granted in cases of hardship, infeasibility, or other
circumstances beyond the control of the States.
IV. Integrated Research and Extension Activities (Hatch Act Funds)
A. Reconfirm or Reset Target Percentages
By September 30, 2010, each 1862 Land-Grant Institution must
reconfirm or reset their Target Percentage for integrated research and
extension activities authorized under the Hatch Act. Institutions have
a choice of two options: (A) Target 25 percent which will automatically
waive the requirement to report on the FY 1997 expenditures for
integrated research and extension activities; or (B) Target a
percentage which is two times the FY 1997 expenditures for integrated
research and extension activities (commonly referred to as the FY 1997
baseline) but less than 25 percent. Institutions will use Form NIFA-
TARG (Rev. 07/2010), Establishment of Target Percentages for Multistate
Extension Activities and Integrated Activities, to select their option.
If an institution wishes to reconfirm their original Target Percentage,
they should forward a copy of the original Form NIFA-TARG (Rev. 07/
2010) and Form NIFA-BASE (Rev. 07/2010) to the NIFA Formula Grants
Section, Awards Management Branch, with a memo that the 1862 Land-Grant
Institution is reconfirming the original Target Percentages set in FY
2000. Institutions selecting Option B for the first time also are
required to report by September 30, 2010, the amount of FY 1997 funds
allocated under the Hatch Act and expended on integrated research and
extension activities during the period from October 1, 1996, through
September 20, 1997. These institutions will use Form NIFA-BASE (Rev.
07/2010), Establishment of Fiscal Year (FY) 1997 Baselines for
Multistate Extension Activities and Integrated Activities. When
completing this form, institutions may opt to report on the planned
program level which is a collection of integrated research and
extension programs or activities. Please see Appendix A for the total
amount of the Hatch Act funds that were allocated to the 1862 Land-
Grant Institutions in FY 1997. The requirement to submit Form NIFA-BASE
(Rev. 07/2010) is automatically waived for those institutions selecting
Option A. States who were unable to document FY 1997 baseline
expenditures must select Option A which is 25 percent.
Integrated activities mean jointly planned, funded, and interwoven
activities between research and extension to solve problems. This
includes the generation of knowledge and the transfer of information
and technology. As mentioned in the
[[Page 48925]]
Preface, this requirement applies to the Federal formula funds only and
will apply to all funds authorized and allocated under the Hatch Act,
including Hatch Multistate Research Fund. Examples of integrated
activities include joint research and extension personnel appointments.
In addition, integrated activities may include coordinating committees,
workshops, training, centers, projects, and meetings as long as they
meet the definition of ``integrated activities.''
B. Submission of Supplement to the 5-Year Plan of Work Update
Each institution also is required to submit Form NIFA-PLAN (Rev.
07/2010), Supplement to the 5-Year Plan of Work, Multistate Extension
Activities and Integrated Activities, for all integrated research and
extension activities that will be supported by the Hatch Act funds used
to satisfy the AREERA section 204 requirement for integrated research
and extension activities. This form should be completed each fiscal
year to reflect the 5-Year Plan of Work updated and submitted in the
AREERA State Plan of Work Information System. Institutions should use
the prior fiscal year amount (e.g., use the FY 2009 allocation amount
for the FY 2011-2015 reporting requirement due in FY 2010) as a basis
for planning programs and/or activities to meet the AREERA section 204
requirements. Please note that compliance with section 204 of AREERA
will be determined by the institution meeting the Target Percentage of
the actual formula allocation for the applicable fiscal year. This form
(NIFA-TARG (Rev. 07/2010)) is due to the NIFA Formula Grants Section,
Awards Management Branch, by April 1st each fiscal year and should
complement the 5-Year Plan of Work. A brief statement of each planned
program or activity is required and must be attached to this form.
However, in lieu of these brief statements, institutions may refer to
information on integrated activities reported in the 5-Year Plan of
Work, if such information clearly describes integrated planned programs
and/or activities as listed on Form NIFA PLAN (Rev. 07/2010).
C. Annual Report of Accomplishments and Results
Form NIFA-REPT (Rev. 07/2010), Supplement to the Annual Report of
Accomplishments and Results, Multistate Extension Activities and
Integrated Activities, will be due April 1st each year and must be
submitted as a summary of the integrated research and extension planned
programs or activities that have been used to satisfy the requirements
of AREERA section 204. The form has been designed so that each
institution will submit only one form with attached brief summaries for
each fiscal year. The form allows for the reporting on all three AREERA
requirements: Hatch integrated; Smith-Lever multistate; and Smith-Lever
integrated and includes a certification statement. One form should be
submitted for each fiscal year; and current fiscal year funds should
not be commingled with funds from prior fiscal years. If you are
carrying over AREERA multistate and integrated requirements from a
previous fiscal year and both requirements are satisfied in a later
fiscal year, the Form NIFA-REPT (Rev. 07/2010) should be marked
``Final'' for that fiscal year. If you are carrying over these AREERA
requirements into the next fiscal year, the Form NIFA-REPT (Rev. 07/
2010) should be marked ``Interim'' for that fiscal year in which the
funds were first allocated. Do not submit a ``Final'' report for any
fiscal year until the full requirement has been met for all three
AREERA requirements. If you know that you will be unable to meet your
AREERA requirements for any fiscal year, please contact the NIFA
Formula Grants Section, Awards Management Branch, via email as soon as
possible. NIFA may be required to reduce your allocation by the Target
Percentage amount not met, as these costs will be disallowed. Brief
statements or summaries describing the activities performed and the
progress to date on each planned program or activity must be attached
to this form. Although the Annual Report describes in detail the goals
and accomplishments for an institution's entire program, a brief
description of the Integrated Research and Extension Activities for
each program listed in the NIFA-REPT (Rev. 07/2010) form must be
attached. Please note that amounts on these forms are subject to audit.
This form is due each fiscal year on April 1st and should be submitted
to the NIFA Formula Grants Section, Awards Management Branch.
D. Waivers
A waiver may be requested for failure to meet the AREERA section
204 requirement. Eligible institutions may request a waiver for this
purpose when one of the following criteria is met: (1) Infeasibility,
(2) hardship, or (3) other circumstances beyond the control of the
State. The waiver request and supporting documentation should be
addressed to the NIFA Director and forwarded to the NIFA Formula Grants
Section, Awards Management Branch. Waivers can only be granted on an
annual basis and may be processed as either a pre-waiver or a post-
waiver. A pre-waiver must be submitted prior to October 1st of the
fiscal year. A post-waiver must be submitted with the other AREERA
Section 204 reporting requirements due April 1st. Institutions must use
Form NIFA-WAIVER (Rev. 07/2010), Request for Waiver from Target
Percentage for Multistate Extension Activities and Integrated
Activities, to request a reduction in the minimum percentage required
to be expended for integrated research and extension activities. The
waiver request should be signed by the appropriate institutional
official (i.e., Dean or Director). To expedite the consideration of the
waiver request, the institution should include the following elements
in the requested letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for which the waiver is
requested;
(c) A statement of the amount of the waiver being requested by
fiscal year and how the amount was computed;
(d) A statement of why the waiver is required;
(e) Documentation supporting the need for a waiver; and
(f) The university's efforts to meet the AREERA section 204
requirements in the future. NIFA will approve or disapprove these
waiver requests within 60 days of receipt. As stated above, waivers
will be granted in cases of hardship, infeasibility, or other
circumstances beyond the control of the States.
V. Integrated Research and Extension Activities (Smith-Lever Act Funds)
A. Reconfirm or Reset Target Percentages
By September 30, 2010, each 1862 Land-Grant Institution must
reconfirm or reset their Target Percentage for integrated research and
extension activities authorized under the Smith-Lever Act. Institutions
have a choice of two options: (A) Target 25 percent which will
automatically waive the requirement to report on the FY 1997
expenditures for integrated research and extension activities; or (B)
Target a percentage which is two times the FY 1997 expenditures for
integrated research and extension activities (commonly referred to as
the FY 1997 baseline) but less than 25 percent. Institutions will use
Form NIFA-TARG (Rev. 07/2010), Establishment of Target Percentages for
Multistate Extension Activities and Integrated Activities, to select
their option. If an institution wishes to reconfirm their original
Target
[[Page 48926]]
Percentage, they should forward a copy of the original Form NIFA-TARG
(Rev. 07/2010) and Form NIFA-BASE (Rev. 07/2010) to the Formula Grants
Section, Awards Management Branch, with a memo that the 1862 Land-Grant
Institution is reconfirming the original Target Percentages set in FY
2000. Institutions selecting Option B for the first time also are
required to report by September 30, 2010, the amount of FY 1997 funds
allocated under the Smith-Lever Act and expended on integrated research
and extension activities during the period from October 1, 1996,
through September 30, 1997. These institutions will use Form NIFA-BASE
(Rev. 07/2010), Establishment of Fiscal Year (FY) 1997 Baselines for
Multistate Extension Activities and Integrated Activities. When
completing this form, institutions may opt to report on the planned
program level which is collection of integrated research and extension
programs or activities. Please see Appendix A for the total amount of
Smith-Lever Act funds that were allocated to the 1862 Land-Grant
Institutions in FY 1997. The requirement to submit Form NIFA-BASE (Rev.
07/2010) is automatically waived for those institutions selecting
Option A. States who were unable to document FY 1997 baseline
expenditures must select Option A which is 25 percent.
Integrated activities means jointly planned, funded, and interwoven
activities between research and extension to solve problems. This
includes the generation of knowledge and the transfer of information
and technology. As mentioned in the Preface, this requirement applies
to the Federal formula funds only and will apply to all funds
authorized and allocated under the Smith-Lever Act. Examples of
integrated activities include joint research and extension personnel
appointments. In addition, integrated activities may include
coordinating committees, workshops, training, centers, projects, and
meetings as long as they meet the definition of ``integrated
activities.''
B. Submission of Supplement to the 5-Year Plan of Work Update
Each institution also is required to submit Form NIFA-PLAN (Rev.
07/2010), Supplement to the 5-Year Plan of Work, Multistate Extension
Activities and Integrated Activities, for all integrated research and
extension activities that will be supported by the Smith-Lever Act
funds used to satisfy the AREERA section 204 requirement for integrated
research and extension activities. This form should be completed each
fiscal year to reflect the 5-Year Plan of Work updated and submitted in
the AREERA State Plan of Work Information System. Institutions should
use the prior fiscal year amount (e.g., use the FY 2009 allocation
amount for the FY 2011-2015 reporting requirement due in FY 2010) as a
basis for planning programs and/or activities to meet the AREERA
section 204 requirements. Please note that compliance with section 204
of AREERA will be determined by the institution meeting the Target
Percentage of the actual formula allocation for the applicable fiscal
year. This form (NIFA-TARG (Rev. 07/2010)) is due to the NIFA Formula
Grants Section, Awards Management Branch, by April 1st each fiscal year
and should complement the 5-Year Plan of Work. A brief statement of
each planned program or activity is required and must be attached to
this form. However, in lieu of these brief statements, institutions may
refer to information on integrated activities reported in the 5-Year
Plan of Work, if such information clearly describes integrated planned
programs and/or activities as listed on Form NIFA PLAN (Rev. 07/2010).
C. Annual Report of Accomplishments and Results
Form NIFA-REPT (Rev. 07/2010) Supplement to the Annual Report of
Accomplishments and Results, Multistate Extension Activities and
Integrated Activities, will be due April 1st each year and must be
submitted as a summary of the integrated research and extension planned
programs or activities that have been used to satisfy the requirements
of AREERA section 204. The form has been designed so that each
institution will submit only one form with attached brief summaries for
each fiscal year. The form allows for the reporting on all three AREERA
requirements: Hatch integrated; Smith-Lever multistate; and Smith-Lever
integrated and includes a certification statement. One form should be
submitted for each fiscal year, and current fiscal year funds should
not be commingled with funds from prior fiscal years. If you are
carrying over AREERA multistate and integrated requirements from a
previous fiscal year and both requirements are satisfied in a later
fiscal year, the Form NIFA-REPT (Rev. 07/2010) should be marked
``Final'' for that fiscal year. If you are carrying over these AREERA
requirements into the next fiscal year, the Form NIFA-REPT (Rev. 07/
2010) should be marked ``Interim'' for that fiscal year in which the
funds were first allocated. Do not submit a ``Final'' report for any
fiscal year until the full requirement has been met for all three
AREERA requirements. If you know that you will be unable to meet your
AREERA requirements for any fiscal year, please contact NIFA Formula
Grants Section, Awards Management Branch, via e-mail as soon as
possible. NIFA may be required to reduce your allocation by the Target
Percentage amount not met, as these costs will be disallowed. Brief
statements or summaries describing the activities performed and the
progress to date on each planned program or activity must be attached
to this form. Although the Annual Report describes in detail the goals
and accomplishments for an institution's entire program, a brief
description of the Integrated Research and Extension Activities for
each program listed in the NIFA-REPT (Rev. 07/2010) form must be
attached. Please note that amounts on these forms are subject to audit.
This form is due each fiscal year on April 1st and should be submitted
to the NIFA Formula Grants Section, Awards Management Branch.
D. Waivers
A waiver may be requested for failure to meet the AREERA section
204 requirement. Eligible institutions may request a waiver for this
purpose when one of the following criteria is met: (1) Infeasibility,
(2) hardship, or (3) other circumstances beyond the control of the
State. The waiver request and supporting documentation should be
addressed to the NIFA Director and forwarded to the NIFA Formula Grants
Section, Awards Management Branch. Waivers can only be granted on an
annual basis and may be processed as either a pre-waiver or a post-
waiver. A pre-waiver must be submitted prior to October 1st of the
fiscal year. A post-waiver must be submitted with the other AREERA
Section 204 reporting requirements due April 1st. Institutions must use
Form NIFA-WAIVER (Rev. 07/2010), Request for Waiver from Target
Percentage for Multistate Extension Activities and Integrated
Activities, to request a reduction in the minimum percentage required
to be expended for integrated research and extension activities. The
waiver request should be signed by the appropriate institutional
official (i.e., Dean or Director). To expedite the consideration of the
waiver request, the institution should include the following elements
in the requested letter:
(a) A request for the waiver by grant;
(b) A statement of the fiscal year for which the waiver is
requested;
[[Page 48927]]
(c) A statement of the amount of the waiver being requested by
fiscal year and how the amount was computed;
(d) A statement of why the waiver is required;
(e) Documentation supporting the need for a waiver; and
(f) The university's efforts to meet the AREERA section 204
requirements in the future. NIFA will approve or disapprove these
waiver requests within 60 days of receipt. As stated above, waivers
will be granted in cases of hardship, infeasibility, or other
circumstances beyond the control of the State.
VI. Submission of Forms
All forms collected under this Interim Administrative Guidance
should be submitted electronically to formulagrantforms@nifa.usda.gov
or via fax on (202) 401-7752.
Dated: Done at Washington, DC, this 2nd day of August 2010.
Roger Beachy,
Director, National Institute of Food and Agriculture.
[FR Doc. 2010-19629 Filed 8-11-10; 8:45 am]
BILLING CODE 3410-22-P
