Final Supporting Statements

U.S. Department of Agriculture
Cooperative State Research, Education, and Extension Service
SUBJECT:

Supporting Statement for the revision of the Reporting Requirements for State
Plans of Work for Agricultural Research and Extension Formula Funds.

A.

JUSTIFICATION

1.

CIRCUMSTANCES MAKING COLLECTION OF INFORMATION NECESSARY
The purpose of this collection of information is to continue implementing the
requirements of sections 202 and 225 of the Agricultural Research, Extension, and
Education Reform Act of 1998 (AREERA) which require that a plan of work must be
submitted by each institution and approved by the Cooperative State Research,
Education, and Extension Service (CSREES) before formula funds may be provided to
the 1862 and 1890 land-grant institutions. The formula funds are authorized under the
Hatch Act for agricultural research activities at the 1862 land-grant institutions, under the
Smith-Lever Act for the extension activities at the 1862 land-grant institutions, and under
sections 1444 and 1445 of the National Agricultural Research, Extension, and Teaching
Policy Act of 1977 for research and extension activities at the 1890 land-grant
institutions. The plan of work must address critical agricultural issues in the State and
describe the programs and projects targeted to address these issues using the CSREES
formula funds. The plan of work also must describe the institution's multistate activities
as well as their integrated research and extension activities. This information collection
continues the Revised Guidelines for State Plans of Work for the Agricultural Research
and Extension Formula Funds as published in the Federal Register on January 25, 2006
(71 FR 4101).
This collection of information also includes the reporting requirements of section 102(c)
of AREERA for the 1862 and 1890 land-grant institutions. This section requires the
1862, 1890, and 1994 land-grant institutions receiving agricultural research, education,
and extension formula funds from CSREES of the Department of Agriculture (USDA) to
establish and implement processes for obtaining input from persons who conduct or use
agricultural research, extension, or education concerning the use of such funds by
October 1, 1999. Section 102(c) further requires that the Secretary of Agriculture
promulgate regulations that prescribe what the institutions must do to meet this
requirement and the consequences of not complying with this requirement per the final
rule (7 CFR 3418) on Stakeholder Input Requirements for Recipients of Agricultural
Research, Education, and Extension Formula Funds which was published in the Federal
Register on February 8, 2000 (73 FR 80361). This rule applies not only to the land-grant
institutions which receive formula funds but also to the veterinary and forestry schools
that are not land-grant institutions but which receive forestry research funds under the
Mcintire-Stennis Act of 1962 and animal health and disease research funds under section
1433 of the National Agricultural Research, Extension, and Teaching Policy Act of 1977
(NARETPA). Failure to comply with the requirements of this rule may result in the
withholding of a recipient institution's formula funds and redistribution of its share of

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formula funds to other eligible institutions. The institutions are required to annually
report to CSREES: 1) the actions taken to seek stakeholder input to encourage their
participation; 2) a brief statement of the process used by the recipient institution to
identify individuals and groups who are stakeholders and to collect input from them; and
3) a statement of how collected input was considered. However, the 1862 and 1890
land-grant institutions are required to report on their Stakeholder Input Process annually
as part of their Annual Report of Accomplishments and Results. Non-Land Grant
Universities who receive forestry research funds and animal health and disease research
funds do not report in this information collection.
Section 103(e) of AREERA requires that the 1862, 1890, and 1994 land-grant institutions
establish a merit review process, prior to October 1, 1999, in order to obtain agricultural
research and extension funds. Section 104(h) of AREERA also stipulated that a scientific
peer review process be established for research programs funded under section 3(c)(3) of
the Hatch Act (commonly referred to as Hatch Multistate Research Funds). These
proposed guidelines require that a description of the merit review process and if
applicable, a description of the scientific peer review process be included in the 5-Year
Plan of Work.
These guidelines also provide instructions on when and how to submit the update to the
5-Year Plan of Work. An Annual Report of Accomplishments and Results is also
required in order for CSREES to provide program oversight and ensure adequate
accountability of funds.
CSREES is requesting to continue to collect an update to the 5-Year Plan of Work which
began with the Fiscal Year 2007, and as a result no longer needs to collect the initial 5Year Plan. CSREES also is in the process of revising the Current Information Collection
System (CRIS) for reporting for all CSREES grant programs including those covered in
the 5-Year Plan of Work. Also, as required by the Food Conservation and Energy Act of
2008 (FCEA) (P.L. 110-246, Sec. 7505) CSREES is working with the university partners
in extension and research to review and identify measures to streamline the submission,
reporting under, and implementation of plan of work requirements.
2.

HOW, BY WHOM, AND THE PURPOSE FOR WHICH THE INFORMATION IS TO
BE USED
This collection of information will be received by the Planning and Accountability Unit
of CSREES via the web-based on line system at http://pow.csrees.usda.gov. The Planning
and Accountability Unit coordinates the reviews of the State Plans of Work for the 1862
and 1890 land-grant institutions by Agency program and scientific experts. The Planning
and Accountability Unit will be able to ensure that the above requirements have been met
by the land-grant institutions by reviewing these reports. CSREES program officials will
also provide feedback to the institutions on their Plans of Work and Annual Reports of
Accomplishments and Results in order for institutions to improve the conduct and the
delivery of their programs. The Planning and Accountability Unit will then inform the

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CSREES Office of Extramural Programs (OEP) whether formula funds may be released
to the recipient institutions.
3.

USE OF IMPROVED INFORMATION TECHNOLOGIES
The recipients of agricultural research, education, and extension formula funds provide
this information to CSREES via a web-based system.

4.

EFFORTS TO IDENTIFY DUPLICATION
This particular collection of information is not available to CSREES through any other
source or means. Since the 1862 land-grant institutions and the 1890 land-grant
institutions will be reporting the stakeholder input process as part of their Plan of Work,
and annually as part of their Annual Report of Accomplishments and Results, they will
not be required to report separately on the stakeholder input process. The plan of work
reporting requirements will satisfy the stakeholder input requirements under 7 CFR 3418
which implements the stakeholder input requirements of section 102(c) of AREERA. In
addition, those recipients of forestry and animal health research funds that are also landgrant institutions will be exempt from any additional reporting requirements if the
stakeholder input process for these funds has already been addressed through the plan of
work process.

5.

METHODS TO MINIMIZE BUDGET OF SMALL BUSINESSES OR ENTITIES
This information collection will have very little impact on small businesses or small
entities as the respondents are the 1862 and 1890 land-grant institutions.

6.

CONSEQUENCE IF INFORMATION COLLECTION WERE LESS FREQUENT
These Guidelines for State Plans of Work for Agricultural Research and Extension
Formula Funds provide maximum flexibility for the land-grant institutions while
providing adequate accountability for agricultural research and extension formula funds.
The plans of work for these formula funds are required for the proposed period with a
provision that these plans be updated annually to add an additional year so that the plan is
always looking ahead five years. Thus States will not have to complete an entirely new
5-Year Plan of Work every 5 years. The Annual Report of Accomplishments and Results
is needed to ensure that agricultural research and extension formula funds are being
expended on critical agricultural issues in the States; that the stakeholder input and
program review processes are implemented; and that institutions are directing a portion of
their formula funds, as specified by law, to multi state and integrated research and
extension activities. The AREERA legislation requires that CSREES know if these
requirements are being met prior to the release of formula funds to these land-grant
institutions each fiscal year.

7.

SPECIAL CIRCUMSTANCES FOR INFORMATION COLLECTION

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There are no special circumstances for this information collection.
8.

FEDERAL REGISTER NOTICE
This renewal of this information collection was published in the Federal Register (73, FR
80361) on December 31st, 2008. The comment period for the proposed collection of
information was for the required 65 days. One comment was received, but it was not
responsive to the need, use, or burden estimate of the Plan of Work.
CONSULTATIONS WITH PERSONS OUTSIDE THE AGENCY
CSREES had consulted with the land-grant community in the development of the original
guidelines. A new survey for this renewal was conducted in May 2008, with
representatives from the land-grant institutions to estimate the burden of this collection in
order to extend the information collection. Below is a list of institutions surveyed. Also,
as required by the FCEA, CSREES is working with the university partners in extension
and research to review and identify measures to streamline the submission, reporting
under, and implementation of plan of work requirements.
Ronald L. Williams
Extension Head,
Program Planning & Development
Alabama Cooperative Extension System
Alabama A&M University
19714 Alabama Highway 20
Hillsboro, AL 35643
Phone: (256) 353-9770
[email protected]
Patricia M. Day
Director, Program Planning and reporting Systems
Division of Agriculture and Reporting Systems
Division of Agriculture and natural resources
University of California
300 Lakeside Drive, 6th Floor
Oakland, CA 94612
Phone: (510) 987-0032
FAX: (510) 832-8612
[email protected]
Michael W. Duttweiler
Assistant Director for
Professional Development and Program Accountability
Cornell Cooperative Extension
383 Roberts Hall

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Ithaca, NY 14853
Phone: (607) 255-2105
FAX: (607) 255-0788
[email protected]
John Richardson
Extension Accountability Manager
Box 7607
NC State University
Raleigh NC 27695-7607
Phone: (919) 515-6080
FAX: (919) 515-1965
[email protected]

Bruce E. Haas
Reporting Coordinator
Michigan State University Extension
11 Agriculture Hall
East Lansing, Michigan 48824
Phone: (517) 432-3491
FAX: (517) 432-1048
[email protected]
Cathy Good
Administrator for Research Programs
Iowa Agriculture and Home Economics Experiment Station
Iowa State University
133 Curtiss Hall
Ames, IA 50011-1050
Phone: (515) 294-4544
FAX: (515) 294-8716
[email protected]
9.

DECISION TO PROVIDE ANY PAYMENT OR GIFT TO RESPONDENTS, OTHER
THAN REMUNERATION OF CONTRACTORS OR GRANTEES
Not applicable.

10.

CONFIDENTIALITY PROVIDED TO RESPONDENTS
No privacy and/or confidentiality issues are anticipated with this information collection.

11.

QUESTIONS OF A SENSITIVE NATURE

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No information of a sensitive nature will be requested.
12.

ESTIMATE OF BURDEN
There are two transactions involved with this collection of information: the Annual
Update to the 5-Year Plan of Work; and submission of the Annual Report of
Accomplishments and Results.
I. Annual Update to 5-Year Plan of Work
Estimate of the Burden: The total reporting and record keeping requirements for the
submission of the "Annual Update to the 5-Year Plan of Work" is estimated to average
64 hours per response. There are five components of this "5-Year Plan of Work":
"Planned Programs," "Stakeholder Input Process," "Program Review Process," "Multi
state Activities," and "Integrated Activities."
Estimated Number of Respondents: 75.
Estimated Number of Responses: 150.
Estimated Total Annual Burden on Respondents: 9,600 hours.
Frequency of Responses: Annually
II. Annual Report of Accomplishments and Results
Estimate of the Burden: The total annual reporting and record keeping requirements of
the "Annual Report of Accomplishments and Results" is estimated to average 260 hours
per response.
Estimated Number of Respondents: 75.
Estimated Number of Responses: 150.
Estimated Total Annual Burden on Respondents: 39,000 hours.
Frequency of Responses: Annually.
The total annual burden of this collection is 48,600 hours.
Estimated Costs to respondents:
I. Annual Update to the Plan of Work
Total Costs:
Hours
61.5
3

Professional Burden Hours
Clerical Burden Hours
Total Costs Per Component:
Total Costs: ($2,182.94 x 150 responses) = $327,441.00

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Rate
$34.59
18.55

Total
$2,127.29
55.65
$2,182.94

II. Annual Report of Accomplishments and Results
Total Costs:
Hours
Professional Burden Hours
247
Clerical Burden Hours
28
Total Costs Per Response:
Total Costs: ($9063.13 x 150 responses) = $1,359,470

Rate
$34.59
18.55

Total
$8,543.73
$519.40
$9063.13

The total annual cost to respondents of this collection is $1,686,911.00.
13.

CAPITAL/STARTUP COSTS
There is no capital or startup or ongoing operation/maintenance costs associated with this
information collection.

14.

ANNUALIZED COST TO THE FEDERAL GOVERNMENT
It is estimated that it will take 1,190 hours to collect and review the Updates to the 5-Year
Plans of Work and 1,190 hours to collect and review the Annual Reports of
Accomplishments and Results. CSREES estimates an annualized cost to the Federal
Government of $134,885.

15.

REASONS FOR CHANGE IN BURDEN
CSREES streamlined the planning and reporting process using a web-based planning and
reporting system beginning in 2006 for the initial Fiscal Year 2007 – 2011 Plan of Work.
Beginning with the 2008 – 2012 Plan of Work Update CSREES is asking for an Annual
Update to the Plan of Work as opposed to a new 5-Year Plan every five years for this
collection. This revision also includes the addition of the Annual Report of
Accomplishments and Results. A new survey of burden on the land-grant universities
was conducted in May 2008. Based on this survey there is an 87,000 hour decrease from
the previous OMB inventory. This decrease is a result of CSREES no longer collecting
the initial 5-Year Plan of Work.

16.

TABULATION, ANALYSIS AND PUBLICATION PLANS
Not applicable.

17.

SEEKING APPROVAL TO NOT DISPLAY THE EXPIRATION DATE FOR OMB
APPROVAL OF THE INFORMATION COLLECTION ON FORMS
This information is collected in an electronic system and it requires system changes to
update the date.

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18.

EXCEPTION(S) TO THE CERTIFICATION STATEMENT (19) ON OMB 83-1
None.

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