7.01.01 - Arizona Cooperative Extension Funding

Funding is a federal-state-county partnership. Federal funds for Extension are determined by the Congress of the United States. Smith-Lever 3b funds support the on-going efforts of the Extension program. Programs and projects supported by special federal funds such as EFNEP and IPM receive 3c and 3d funds. Federal funds are appropriated yearly (October 1 - September 30).

State funding is allocated to Arizona Cooperative Extension, which is part of the College of Agriculture and Life Sciences via the annual University of Arizona appropriation by the Arizona legislature . State funding to all counties is equitable; each county is allocated funds based on a formula that is applied to all. State program funds are available to all agents and specialists. All Extension faculty are expected to take statewide leadership roles during their career in Extension. Salary savings may be approved for outside grants or contracts.

County funding is determined yearly by each respective County Board of Supervisors following recommendations made to them by the local County Extension Board.

The fiscal years of the funding partners vary, necessitating a careful monitoring and management of the various funds by those persons held accountable.

7.01.02 - Financial Records System (FRS)

The University and State of Arizona rules and regulations for the handling of and accounting for funds are found in the FRS Departmental Manual.

The details of operating with the FRS system (account numbers, processes, reports) are described in the FRS Departmental Manual.

7.01.03 - Cost Recovery and Program Development Fees

A cost recovery or program development fee is defined as a monetary charge assessed to an individual or an organization for their participation in an Extension program or activity or for the issuance of an Extension program product described below as a publication. These fees are a source of revenue to maintain and enhance the provision of educational programs and materials. Cost recovery is a way to enhance program delivery, cover operating expenses and provide consistency in charging for programs.

Arizona Cooperative Extension has experienced critical cuts by state government. This budget reduction has forced all components of the university to eliminate or cut programs, departments, and schools. To maintain our commitment to clientele throughout Arizona and to preserve and enhance the quality and focus of such programs, we implemented an expanded program fee structure (as of November 2008). These fees will be implemented for educational programs conducted by Cooperative Extension. According to the NIFA Administrative Handbook for Cooperative Extension Work, Chapter III, "it is permissible to charge fees for incidental costs if the proceeds are used in furtherance of Extension work." Fees will be consistent across the state and applied uniformly in all counties to both youth and adult audiences.

Each Extension Agent or Specialist will analyze the actual cost of delivering the educational programs for which they are responsible. A cost recovery worksheet may be useful for this analysis. Based on this analysis, all participants will be assessed a cost recovery or program development fee plus a minimum of 15% for program support. Fees will be consistent across the state and applied uniformly in all counties to both youth and adult audiences. There are two exceptions: (1) If the total cost of the educational program is covered by grant funds, a fee is not required; (2) Programs that target low income individuals as the audience may forego charging fees. All Extension clubs or groups (including 4-H) which receive ongoing program and management support by Cooperative Extension faculty will be assessed an annual fee.

The National Extension Task Force (from their Joint Task Force on Managing a Changing Portfolio Final Report, January 2006) recommends that the USDA policy on the collection of user fees be flexible enough to allow program support through the collection of user fees under specific conditions as outlined below.

The National Extension Task Force recognizes that the modern Cooperative Extension System offers an array of programming, from traditional public educational and informational activities to highly specific professional training programs. The task force views this diversity of programming as an opportunity to generate program support through the expansion of fee-for-service Extension programming and other revenue enhancement through fund raising and new funding partnerships.

This recommendation should not be taken as an abandonment of the traditional publicly funded educational role for Extension. Education programs provided by the CES to the public – particularly to those with limited financial means – can be considered a public good. These programs should not be subject to user fees beyond incidental costs and should be open to all regardless of their ability to pay. This task force acknowledges the historical role of the CES and its commitment to open access. In making this recommendation, however, the task force recognizes that the CES currently operates at levels of service that goes far beyond the original design of Cooperative Extension and believes that Extension directors and administrators should consider charging fees and seeking other revenue to support these activities. Essentially the task force is recommending that fees be charged for Extension programming that results in the accrual of a private benefit (certification, accreditation, etc.) to the individual participating in the educational program.

The National Extension Task Force believes that charging fees for CES programs is appropriate in several circumstances. The decision to establish user fees for a particular CES program depends on a number of factors:

• What is the audience for the program? Given the historical commitment of Extension to open access and public service, the task force believes that programs specifically designed for general audiences or limited resource audiences should not be subject to a user fee beyond the costs of providing the program.
• What is the level of service? The task force believes that CES programs or activities that involve one-on-one assistance or education can be subject to a user fee. It may be desirable to provide one or two sessions of free individual service to establish credibility and trust. Activities that are open to the public and are of a basic educational nature would not be subject to a fee beyond costs.
• What is the purpose of the program? CES programming designed to provide professional training (dietitian training, crop consultants, NRCS training, training and certification of economic development professionals) may be subject to a fee associated with the value of the professional certification received as a result of the training.

The National Extension Task Force recommends that when fees are collected in excess of program costs that the surplus is invested into the originating program area.

• The majority of fees should be reinvested into the program area that generated the fees.
• A portion of the fees may be reserved by the Extension director/administrator to be used for central administration functions or to invest in program areas that are not able to charge fees
• A Memorandum of Understanding can be negotiated with the customer group paying the fees to delineate what fees will be charged and how they will be used in support of the program.
• For some programs, CES might consider a "money-back guarantee" on fee-based training or education services when clients are dissatisfied.
• CES-generated fee revenue should be used only to benefit CES or CES-related efforts and should not be exported to other non-related campus functions.

A User Fee Model Adapted From Iowa State University and the University of Nebraska

Mission drives extension programming, not the potential generation of fees. Fees should be legal and ethical and not compromise the integrity of Extension. Fees should be based on the level of service provided by the educational program. Fees should be consistent across a state and across programs and should be transparent and understandable to constituents. Fees should be used to maintain and enhance Extension programming. In order to maintain access to programs, provisions should be made to waive fees for individuals when conditions warrant. Provisions must be in place to reduce or waive fees when individuals or organizations are unable to pay. Funds should be used to augment aspects of the CES program, such as the development of new educational programs. A revolving account should be used to handle the money received from registration fees and for payment of related expenses. Generation of fees should only be one of many evaluation factors for Extension employees. All Extension employees should be trained on the financial and legal issues related to the collection of user fees.

Funding Regulations Policy and Definitions

• United States Department of Agriculture (USDA) legal rulings and administrative guidelines:

Aside from the exceptions cited below in sections C. and D., USDA policy further denies charging user fees for "basic educational services" which are defined as:

• Per USDA guidelines, educational activities and service for which fees may be charged to partly or wholly recover costs include the following:

   - Services that enhance the basic educational program, like electronic conference production and  
      transmission expenses, publications and other materials, computer analysis, computer software,
      and the overhead costs associated with these types of enhanced services.

   - Conference-related activities that contribute to agent and specialist teaching, such as expenses
     for outside instructors, materials, specialized electronic equipment, audiovisual equipment, and
     rental costs for meeting rooms.

   - Services provided for Extension-related organizations. Such services include printing and
     distributing newsletters, rental costs for meeting rooms and providing expendable supplies. The  
     financial contribution of these organizations is accounted for as an offset to overall county
     extension office budgets. Examples: commodity groups, green industry, and family community
     leadership.

• Non-educational costs, such as meals and refreshments, are always subject to full cost recovery.
   

Arizona Cooperative Extension operates in the public domain and receives funding from public and private sources for its educational programs and projects. The public funds include annual appropriations from federal, state and county governments. Other sources of funds have historically included grants, contracts and gifts from individuals, organizations and foundations.

The nationwide Cooperative Extension system has its legal basis in the Morrill and Smith-Lever Acts as updated and amended. The General Counsel of the United States Department of Agriculture has written that the intent of the Smith-Lever Acts prohibit the charging of fees to cover salaries of regular staff engaged in Cooperative Extension work.

Arizona Model
All participants will be assessed a fee consisting of the actual cost of delivering the program (cost recovery) plus a minimum of 15% for program support. These fees are for participants, not volunteers. In addition, all Extension clubs or groups (including 4-H) which receive ongoing programs and management support by Cooperative Extension faculty will be assessed an annual fee per member. Hopefully, this fee will be provided by sponsors/groups.

All fees will be handled by staff at the local administrative level, and must be deposited into a University "Sales and Services" account assigned to your unit (usually your Extension Miscellaneous or program account). No matter how the monies are collected, it will be the responsibility of extension agents in charge of the educational program to ensure that the funds are collected. The cost recovery work sheet will be maintained in the county. The Distribution of Deposit (DDF) form will be submitted to CALS administration or the Bursar's Office. The University will be responsible for all activities associated with collection of bad checks (see Section 8.32 of the FRS Departmental Manual). University employees who handle cash are covered by a Board of Regents blanket bond. Temporary holding of cash or checks collected by a unit is strongly discouraged. However, if temporary holding of funds is necessary, such funds must be placed in a county safe. University policies and procedures on cash/check receiving are outlined in Section 8.10 of the FRS Departmental Manual. CALS Administrative Services will assist you with questions regarding procedures, and Extension Administration will monitor your deposits.

The primary purpose of cost recovery and program development fees is to support county programs. Fees charged by different program areas should stay with that program area. It is the responsibility of the office from which the program is managed to maintain the records of each program. Each county unit will handle administration and accounting for funds with present staff. The procedure for cost recovery has been in place for several years, so units should be following these procedures. The procedure has been amended to include the cost of program support. The most critical change is the collection of club membership fees which assesses clubs or groups with whom we spend extensive time in a management role.

We need to be clear with our clientele that operational budgets no longer cover the expense of delivering programs. The fee structure is now CALS policy. For those who assert that they are already paying taxes or that 4-H membership has always been free, we need to emphasize that state and federal funds do not cover operational costs. Decreases in state and federal funds allocated to Universities have dictated this action. No faculty salaries will be augmented from these funds.

The policy for those unable to pay remains the same – scholarship assistance is available from the county office. Local scholarship support development is strongly encouraged. Justification for the selection of participants who receive scholarships must be documented. As always, we need to insure that all participants, volunteers, and users are treated with respect.

Language
In moving from the concept of "free" to one of cost recovery, Extension faculty and staff are required to do a program cost analysis as well as to plan for scholarships or waivers for those not able to pay. A waiver form may be useful.

Cost Analysis
Fees are based on actual costs. Faculty complete a program budget that includes an analysis of basic expenses, and a means for cost recovery of those expenses. These actual costs are taken into consideration at the time of program planning. These costs include curriculum materials, postage, marketing, facility rental, equipment, name tags, refreshments, chart pads, markers, photocopying, and printing.

Examples of items to consider for fees, noting increasing limitations:

Acknowledgment goes to the University of Illinois , Cooperative Extension Service, Region 3, for their Cost Recovery and Fee Guidelines model.

7.01.04 - Financial Issues

Cooperative Extension Policy is as follows:

• No faculty member's name shall appear on any checking/savings account that has a direct relationship to any Extension program.
• University of Arizona Cooperative Extension faculty are responsible for educating the officers of any extension related Volunteer Councils (Association, Board) so they can properly handle the issues of such organizations, including financial issues, e.g. tax and filing issues, keeping books, etc.  It is appropriate for a University of Arizona County Extension Faculty member or delegate, for the sake of convenience, acting on behalf of a Volunteer Council (Association/Board), to take custody of, or have in their possession, non-University Funds. These funds could include registration fees or fund raising proceeds.  There must be an accounting of such funds to the University of Arizona and the non-University organization with the following supporting documents: signed forms by persons, bringing in funds, registration forms, deposit slips, expenditure listings, and receipts (where appropriate). The University of Arizona Office of the Attorney General and the Department of Risk Management & Safety have agreed that if collecting, depositing, or disbursing of funds not belonging to the University is within the course and scope of Cooperative Extension employees duties, then the University has a fiduciary responsibility for these funds.
• Volunteer Councils (Association/Board) shall be held accountable for all funds raised by the council or any program committee. All program committees must maintain their funds within the County Volunteer Council. In most cases these funds will be held in separate accounts for designated purposes. County Volunteer Councils should have their accounts financially reviewed each year.
• An accounting of all funds can be asked for by designated faculty of Cooperative Extension at any time. At the end of the year, a financial summary of the income and expenses will be prepared. This summary will be shared with all volunteers and kept on file in the County Extension Office. The use of the 4-H name and emblem may be withdrawn if the County 4-H Youth Development Program has not specifically complied with state standards and the purposes of the program have not been carried out.
• Although most 4-H clubs, Master Gardener associations, and other volunteer groups will not have need of a treasury or fund raising activities, accountability must be established, if they do. Each County Volunteer group should adopt a policy relative to such treasury or fund raising. Such guidelines should include:  1) any club or group intending to conduct a fund raising activity that proposes to raise more than $25.00 should file an intent with the county Cooperative Extension office, indicating the type of activity and purpose for which funds are being raised, 2) any club or group that conducts a fund raising activity should file a report with their county Cooperative Extension office showing the amount raised and proposed use of the funds, 3) each club or group maintaining funds (more than $25) on hand or having material assets should have a savings/checking account, 4) all accounts should require two signatures and not from the same family, 5) no account should be established under a member's, leader's, or volunteer’s name or Social Security number, and 6) a written record of income and expenses must be maintained by the treasurer and submitted to the county Extension office by no later than 30 days after completing the fiscal year of operation.

• Each club or group maintaining funds on hand or having material assets should have a clearly defined and known procedure for disposing of such funds or equipment if the group should disband. Funds and other assets should be transferred to the County Extension Director who will distribute to the appropriate group or groups. In the event the club or group does not have a dissolution clause, the transfer of assets will be handled by the County Extension Director or designee.
• All sales of Extension publications must be handled through the College of Agriculture and Life Sciences Publications and Distribution Center. The funds are to flow through the University and the FRS system. The only exception is when publications are a part of an Extension workshop where registrations, including the publication fees, are assessed to participants. In this case the registration fees are deposited with the College of Agriculture and Life Sciences as well (see Section 7.03.01).

Procedures for suspected mismanagement of Extension volunteer account funds:

• Request the financial records: ask for all checks, bank statements and other information. If someone has questioned the handling of funds and has canceled check(s), request copies of them; sometimes checks are made out to clubs, but cashed by individuals. If the financial records are not provided when requested, there may be a need to suspend the group until the records are provided.
• Contact the local banking institution if you are still unable to obtain the financial records.
• Conduct a preliminary review of the financial records.

7.01.05 - The University of Arizona Foundation

The University of Arizona Foundation

The University of Arizona Foundation has their own financial policies and procedures on gifts that can be found on the UA Foundation website.

7.01.06 - Gifts

Gifts

Funds from Sponsored Projects represent an important resource in support of the programs of the College of Agriculture and Life Sciences and its faculty. Gifts, grants and contracts often provide the additional funds necessary to carry out programs of excellence which enhance the reputation of the University and allow us to meet the needs of the future.

Sponsored Projects may provide assistance with restricted gifts and the CALS Development and Alumni Office may be of assistance with other types of gifts. Also see the FRS Manual Gifts section for information on procedures for soliciting gifts, reviewing and accepting gifts, and gift types, terms and definitions.

7.01.07 - Guidelines for Raising Funds

Extension Organizations such as 4-H clubs and Master Gardener Associations:

• Dues can not be charged as a condition of membership. However, it is recognized that a group or club will have expenses which should be borne by the members. When this is the case, the membership can vote to assess themselves the amount necessary to cover these expenses or raise funds to cover these expenses. Expenses in this area would include insurance, paper and postage for a newsletter, refreshments for an activity, etc. The main consideration is that these “assessments” not be handled as dues or as condition of membership. This type of assessment should be kept to the minimum necessary to meet the actual expenses, and care should be taken to insure that no one is forced out of the group or placed in an embarrassing position as a result of the assessment.
   

• Fundraising programs using the 4-H Name or Emblem or involving 4-H participants and leaders have additional requirements. National 4-H has a policy regarding fundraising and private support for the 4-H program. Fundraising programs must be carried out for specific educational purposes. They must have the following approval if products and services bear the 4-H Name and/or Emblem. Such fundraising programs must have the approval of the appropriate Cooperative Extension office as follows:
   

   - Approval of the County Cooperative Extension Director with the appropriate land-grant Institution,
     if the fundraising program is confined to a county. Any 4-H group intending to conduct a fundraising
     activity that proposes to raise more than $100 must request approval (see Request for
     Fundraising Approval Form in Appendix).

   - Approval of the State Cooperative Extension office, or the appropriate land-grant institution, if the   
     fundraising program is multi-county or statewide.

   - Approval of the Administrator of the Cooperative Extension or designee if the fundraising program
     is multi-state or nationwide.

• Any fundraising campaign must be within the law and handled with extreme caution. Lotteries or raffles must adhere to all state and local laws and regulations. NIFA/USDA National 4-H has a policy regarding raffles, lotteries, gaming and 4-H.

7.01.08 - Grants and Sponsored Projects

Interpreting the guidelines of University Sponsored Projects Services and of the College of Agriculture and Life Sciences to correctly prepare a proposal can be a challenge. If, after study of the following information, you have questions, contact CALS Administrative Services, 520-621-7195.

Some clarification issues are appropriate as follows:

• The Agricultural Centers are considered on-campus facilities.
• County Cooperative Extension offices are considered off-campus facilities.

When a proposal includes matching or cost sharing on a grant or federal extension special project, the proposal must include a Worksheet for Cost Sharing or Matching. Carefully follow the instructions when filling out the worksheet.

Additional information can be found in the Handbook for Principal Investigators – Preaward Issues – Cost Sharing and Matching.

7.01.09 - Program Funding

Cooperative Extension program funding is allocated through working groups, state initiatives, enhancement awards, and 3(d) federal Extension funds. Amounts and availability may change, depending on budgeted funds. Requests may be initiated by faculty with an Extension appointment. Final approval for all program funding requests is the decision of the Associate Director.

All requests for funding should follow the Logic Model for program development and assessment. By joint agreement, this model has been adopted by Cooperative Extension in all western states. The University of Wisconsin has developed a Powerpoint presentation of this model.

Working GroupsThe purpose of a working group is: 1) to identify specific issues, topics, or programs that occur in a minimum of three counties; 2) to produce an educational product, such as an extension bulletin or a workshop; and 3) to enhance communication and collaboration between campus and county offices. Working groups should have regular meetings, either virtual or in-person, to develop outcomes, outputs and inputs. Participation from county and campus or experiment station is required. Campus partners need not have an Extension appointment. Request for proposals and criteria are found on line. It is allowable to apply for both a working group and a state initiative, or you may apply for only a working group.

Allowable expenses include travel for program planning meetings, conference calls, and support of in-service training for Extension faculty. Travel outside the state of Arizona is not allowable. Once approved, the state coordinator should submit expenses to the state office (Patti B) for reimbursement. All currently funded working groups must have a logic model on record, and posted on the Cooperative Extension website. You will not be considered for continued funding if your working group's report of accomplishments is not included in the current year's request.

Statewide InitiativesThe intent of statewide initiatives is to support targeted priority issues that are important throughout Arizona. All proposals should address one of the priority areas identified in the 2006 Arizona Roadmap. You must apply for Working Group money in order to apply for Statewide Initiative money.

Statewide initiatives must have: 1) at least five counties involved and 2) campus or experiment station partnership. Those who received state initiative funding in the current year must include a report of accomplishments (outputs and outcomes) in the request for coming funding. Request for proposals and criteria are found on line.

Enhancement AwardsThe intent of "enhancement awards" is to support a unique and innovative idea that may lead to a larger program. The proposal should address a priority issue at the county, multi-county, state, or regional level. If you were funded in the previous year for an enhancement award, the same topic or subject area will not be considered in the current year. There is no requirement for multi-county collaboration for enhancement awards. However, all proposals must include at least one county-based and one campus (or experiment station) -based faculty member. Request for proposals and criteria are found on line. Enhancement Awards are solicited once per year, when funding is available. Funding is normally from July 1 to June 30.

3(d) Federal Extension FundsThe U.S. Cooperative State Research, Education and Extension Service funds three University of Arizona Cooperative Extension programs through Smith-Lever 3(d) legislation: Integrated Pest Management, Extension Food and Nutrition Program and Renewable Resources Extension Act. These funds are under the jurisdiction and management of Cooperative Extension Programs; programs are coordinated by Extension faculty with the appropriate subject matter expertise. Program coordinators and/or affiliated College of Agriculture and Life Sciences departments may change from year to year.

According to federal policy, an approved budget plan should be in place prior to October 1. Funding is from October 1-September 30; therefore, funds must be spent by September 15. Payroll expenses on competitive projects must clear September 30 - this means if someone is hired on 3(d) funds, other funds must be used for the last two weeks in September so the expenses will clear in the current federal year. All other expenses must clear by September 30. If an allocation is underspent, the balance will be returned to the "General Fund" in Extension Programs; it will not carry over. If an allocation is overspent, funds must be found from another source to alleviate the deficit.

Integrated Pest ManagementThe U.S. Cooperative State Research, Education and Extension Service funds Arizona Cooperative Extension programs in Integrated Pest Management (IPM) through Smith-Lever 3(d) funds. As defined by CSREES, IPM promotes minimized pesticide use, enhanced environmental stewardship, and sustainable systems. This program targets three areas: commercial agricultural producers, urban audiences (including parks and schools), and natural resources.

Interested UA faculty with Extension appointments are invited to submit proposals to address local and statewide IPM Extension needs in outreach and applied research. Integrated Pest Management (IPM) proposals are reviewed through the Arizona Pest Management Center. The Arizona Cooperative Extension IPM Program supports informal education and applied research to move IPM knowledge and technologies from researchers into the hands of diverse clientele through a wide variety of delivery methods.

The full request for proposals (RFP) is available on the Arizona Pest Management Center website.

Extension Food and Nutrition ProgramThe Extension Food and Nutrition Program (EFNEP) provides nutrition education to low-income families, both youth and adults. The program serves the Phoenix and Tucson metropolitan areas as well as Pinal, Cochise, and Santa Cruz Counties. For more information, contact Dr. Scottie Misner.Renewable Resources Extension ActRenewable Resources Extension Act provides for expanded and comprehensive extension education programs for forest and rangeland renewable resources management and sustainability targeting forest land, range land, forest products utilization, fish and wildlife, recreation, environment and public policy. The 1998 objectives for RREA are 1) to produce new and value added agricultural products and communities; 2) to increase the productive efficiency of the U.S. forest, range, and wood products production system; 3) to develop, transfer and promote the adoption of efficient and sustainable forestry and other resource conservation policies, programs, technologies, and practices that ensure ecosystems integrity and biodiversity; 4) to develop, transfer and promote adoption of efficient and sustainable forestry and other resource policies, programs and technologies and practices that protect, sustain and enhance water, soil and air resources; 5) to improve decision-making on public policies related to the environment; and 6) to enhance economic opportunities and the quality of life among families and communities through natural resource enterprises.

7.01.10 - Funding Requests for Faculty Travel, Professional Development and Publications

Professional Development Funds for Cooperative Extension Faculty (Policy effective July 1, 2006)
Faculty with 100% Extension appointments are eligible for a maximum of $1,000 per year; the amount will be adjusted based on the Extension appointment percentage. These funds are to be used to support the professional career development through attendance or training for specific educational experiences or materials or professional meetings/events.

All requests must be submitted in writing in advance. Faculty must include with submission a 3 to 5 year professional development career plan with yearly updated goals and plan of actions. The plan must include dates and estimated expenses such as cost of travel. All requests must have the approval of the appropriate County Director or Department Head prior to being sent to the Special Assistant to the Director, Cooperative Extension. There is no carryover of funding from one fiscal year to the next. Final approval is by Extension Administration. A list of the Core Competencies (http://cals.arizona.edu/extension/profdev/core/index.html) are on the professional development website (http://cals.arizona.edu/extension/profdev/)

The Core Competencies are:

• Professional and Career Development
• Educational and Information Technology
• Written and Spoken Communication and Skills
• Program Planning and Evaluation
• Learning and Subject Matter Expertise
• Program Implementation
• Scholarship
• Organizational Knowledge, Leadership and Management
• Diversity and Multiculturalism
• Marketing and Public Relations
• Linkages with External Audiences

Professional Development Career Plan of Action Form

Examples of Professional Development Career Plan of Action Form

Submit Professional Travel Funding Request

What to do After the Trip

Publications Funding
Funding is available to supplement the development and printing of Cooperative Extension publications. After consultation with ECAT Publications Coordinator, submit a publications planning Approval Form via the CALS Publication Planning Form to the Associate Director. Final approval by the Associate Director.

7.01.11 - Arizona 4-H Youth Foundation

Arizona 4-H Youth Foundation

The Arizona 4-H Youth Foundation was incorporated as a non-profit educational organization under 501(c)(3) of the Internal Revenue Service Code in September, 1970, by a public spirited group of Arizona's civic and corporate leaders in cooperation with the University of Arizona College of Agriculture & Life Sciences Cooperative Extension. The Foundation, while separate from the University, is sanctioned by the Board of Regents, University administration, College of Agriculture & Life Sciences and Cooperative Extension.

The Foundation was established to provide statewide 4-H program support and learning experiences for Arizona's 4-H youth participants and youth and adult leaders which could not be funded by the University. The Foundation has grown from relatively modest beginnings (with annual income of only $6,875 in its first year) to an organization with annual income and expenditures approaching $500,000 and endowment investments of approximately $1.5 million. It now supports over 100 different 4-H programs and activities, offers fundraising partnerships with local counties and 4-H clubs, and administers 60 named endowments, providing perpetual support for a variety of 4-H programs.

For more information, see the Affiliation Agreement between the Arizona Board of Regents for and on behalf of the University of Arizona and the Arizona 4-H Youth Foundation.

7.01.12 - Facility Agreements and Contracts

When a contract, lease or written agreement is required by a facility/institution for use by a University of Arizona group:

• Under no circumstances should a faculty member sign any contract/agreement on behalf of the University of Arizona. It is not legal and the faculty member could be personally liable if there are any problems.
• Submit the contract from the facility/institution at least four weeks in advance of use to the UA Procurement & Contracting Office, (see link for address information) with a letter indicating the purpose of the contract.
• The Contracting Office will review the contract and make necessary changes so that it conforms to State law, Arizona Board of Regents policies and University requirements. The Contracting Office will do any necessary negotiating with the institution/facility to make the agreement functional. They assure that most such negotiations are successful.
• The contract/agreement is returned to the faculty initiating the process unless it is requested to be returned to the institution/facility.
• The Contracting Office will contact the University Attorney if necessary. In addition, the Contracting Office will forward a copy of the signed contract to the University Department of Risk Management & Safety for insurance purposes.

When no contract, lease or written agreement is required, and a certificate of insurance is requested for facility use by a University group:

• Complete a Request for Certificate of Insurance form at least 10 days in advance of the Certificate effective date. This letter is sent to UA Department of Risk Management & Safety , PO Box 210300, Tucson, AZ, 85721-0300, Attn: Steve Holland. Requests for Certificates to be issued to schools must include the school district's name and address.
• The Certificate to be issued is a matter of information only and confers no rights upon the Certificate Holder. It neither affirmatively nor negatively amends, extends, nor alters the coverage afforded by the Arizona Revised Statutes.

When an agreement is required, a master agreement can be negotiated when there is continued use of a facility. Such an agreement can be for up to 5 years and for all facility uses under one entity if that entity (e.g., county or school district) agrees.

Example: Several facilities belonging to X County or School District are used every year. A master agreement can be developed if the county or the school district is willing. It can cover all facilities.

• Send a copy of the institution's/facility's agreement with a written request to the Contracts Office that they negotiate a Master Agreement with the entity. It is Extension's responsibility to make the initial contact with the entity and provide the Contracting Office with the contact person.
• The UA Department of Risk Management & Safety must be informed of all events prior to the event. This can be done either by: a) sending a letter to the Department of Risk Management & Safety prior to each event with a copy to the Contracting Office indicating the dates and times of use OR b) writing a letter to the Department of Risk Management & Safety at the beginning of each fiscal year with a copy to the Contracting Office indicating the dates and times of use for the whole year.

7.01.13 - Federal Excess Property and Vehicle Use

The Agricultural Experiment Station and Cooperative Extension are eligible to participate in the Federal Excess Property program. Excess property is property that is excess to the needs of a particular federal program or federal agency. The availability and condition of federal excess property varies considerably, but the only cost of usable property is shipping, handling and renovation or upgrading. The Agricultural Experiment Station and Cooperative Extension have participated in this program for several years on a somewhat limited basis. Recently, nearly $1,000,000 worth of equipment was brought into Arizona programs and put to good use in research and extension projects. College units have obtained items such as construction and farm equipment, motor vehicles, buildings, furniture, fencing materials, paint, sleeping bags, tools, and laboratory supplies. All acquisition, transfer, and disposal of federal excess property must be coordinated through the college Federal Excess Property Coordinator.

Property is made available by Federal Supply Classification (FSC) groups which are:

23 Motor Vehicles, Trailers & Cycles*
24 Tractors*
37 Agriculture Machinery & Equipment*
39 Materials Handling Equipment
41 Refrigeration and Air Conditioning Equipment
43 Pumps and Compressors
49 Maintenance and Repair Shop Equipment
51 Hand Tools
65 Medical, Dental and Veterinary Equipment and Supplies
66 Instruments and Laboratory Equipment
67 Photographic Equipment
71 Furniture
75 Office Supplies and Devices
87 Agricultural Supplies

Property acquired through the Federal Excess Property Program must be intended for a specific purpose and must be put into immediate use. Therefore, there will be no stockpiling of equipment. No equipment will be accepted that has not been seen and determined useable. This program has great potential to acquire much needed property at a small fraction of the actual cost.

To participate, units must submit a listing of needs within the FSC groups listed above to: Shane Doughty, Arizona Agriculture Experiment Station Office, Forbes 314/PO Box 210036, Tucson, AZ, 85721-0036, 520-621-7196 (phone), 520-621-7196 (fax), sdoughty@cals.arizona.edu. These lists should be periodically updated to permit the screeners to search and select useful materials and equipment.

* Any time that a federal excess property vehicle is operated by someone other than a University of Arizona employee, that person must be given a letter of authorization. The volunteer is expected to have the letter on his/her person or in the vehicle. The letter should state the following:

• Name, address and phone number of the driver
• Purpose for which the vehicle is being used
• Dates of use
• Signature of approving authority (CALS Administrator)

7.01.14 - University Business Practices Guidelines

University Business Practices Guidelines

The University Business Practices Guidelines insures compliance with Arizona Revised Statute 41-2753 and Arizona Board of Regents policy regarding the sale of goods and services and the use of facilities that are commonly available from private enterprise. State law prohibits competition with private enterprise by the University for items commonly available from private enterprise except as authorized by the Arizona Board of Regents. Arizona Board of Regents Policy Manual (Chapter 1, Section 1-105) provides such authorization to the University for the aforementioned type sales to students, faculty, staff and their invited guests. Excluded from the prohibition are athletic, recreational and cultural facilities and events; and facilities providing public service radio and television, food services/sales and medical care; or other activities having a substantial educational, research or public service component.

Accordingly, the guidelines are aimed at governing:

• sales by official University units and University related units (clubs, sororities, fraternities, faculty organizations, etc.) to University departments/units, students, faculty and their invited guests;
• sales by official University units and University related units to organizations external to the University; and,
• on-campus sales of goods and services by personnel/organizations that are external to the University.

7.01.15 - Other Fiscal Policies

Travel Reimbursements

Any requests for reimbursements on Extension funds submitted more than 60 days following completion of travel or event will not be honored. This policy extends to all Extension Agents, Specialists, Staff and Administrators.

Travel expenses on county or department/school funds should be submitted within 10 days of return for out-of-state travel (see FRS Departmental Manual, Section 14.12 ).

Expenses for meetings called by Extension Administration may be reimbursed from State funds, only with prior written approval. Overnight lodging is reimbursed only when travel to and from meeting location exceeds 4 hours.

Unauthorized Bank Accounts

The creation of unauthorized accounts using the name of the University of Arizona may be contributing to the misuse of public funds. No external bank accounts should be established without the appropriate authorization.

Insurance Claims for Property Damage/Loss

The University has established an Insurance Recovery account that is assigned to the College of Agriculture and Life Sciences Administration. The purpose of the account is to receive ALL monies from insurance claims that are paid for all college units, and to expend monies for all repairs and replacements covered by those insurance payments. Claims are made for a variety of occurrences, including such things as theft, breakage, and damage due to handling, accidents, fires, or natural disasters. All proceeds from insurance claims for College of Agriculture and Life Sciences units MUST be deposited to the College Insurance Recovery account. Claims should be filed in a timely manner while there is still evidence of loss.

A missing item is not an insurable loss. An insurable loss is damage or loss due to unexpected events. Mysterious disappearance is not covered. Being unable to account for the whereabouts of something is not adequate. There must be knowledge of both the exact whereabouts and time that an item was last seen and the elimination of possibilities of it being sent for repairs or loaned. Good inventory records and regular securing of property help with claims when property turns up missing and there is not obvious theft by forcible entry.

Process for Handling Claims

All claims for loss involving University of Arizona property must be forwarded to Risk Management and Safety for processing. RM&S reviews claim documentation for completeness, and forwards the claim to State Rick Management for adjusting. Adjusters review the loss and make a recommendation for either payment or denial of the claim. Claim payments are received centrally by RM&S, and then distributed to the department where the loss originated via journal entry.

The State requires claims to be submitted on a Property Loss Report Form , or an Automobile Loss Report Form depending on the type of loss.

• Take necessary steps to prevent further damage or loss.
• For criminal activity (theft, vandalism), file a Police Report with UAPD .
• Complete a Property Loss Report Form and gather documentation.
• Notify Risk Management and Safety
• Arrange for repair or replacement of damaged or lost property.

Note: Please be aware that under Arizona Revised Statutes 41-621 insurance coverage is NOT provided for property owned by employees even if it is needed to perform assigned University work. Refer to Risk Management Property Claims for more information.

7.02.01 - Appropriation of County Funds Form

The Appropriation of County Funds form is sent annually (around March or April) by the State Extension office to most county offices. It is used by the county Extension director to obtain a commitment to funding Extension in each county by acquiring a budget amount and signatures from the County Extension Board and Board of Supervisors. Once signed, it is returned to the State office for signature by the Extension Director and the University Controller and two copies are then returned to each county office. CALS Administrative Services will then invoice each county depending on the individual county government payment plans.

7.02.02 - College of Agriculture and Life Sciences Year-End Carryover Policy

College of Agriculture and Life Sciences Year-End Carryover Policy

The intent of the policy is to promote better management of College of Agriculture and Life Sciences unit budgets and provide incentives to spend wisely. The policy varies from year to year, depending on the college's and the university's overall budget picture.

7.03.01 - College of Agriculture and Life Sciences Publication Policies

College of Agriculture and Life Sciences Publication Policies

• College of Agriculture and Life Sciences (CALS) publications are any physical form of information. Publications include books, bulletins, brochures, articles, working papers, video and audio tapes, and any computer program, spreadsheet template, database or related material that can be or is operated on a computer. Publications produced for classroom use such as syllabuses are generally exempt from this policy.
• CALS Publications Guidelines applies to all units in the CALS including Cooperative Extension county offices, agricultural centers, offices, schools and departments. It includes all Cooperative Extension, Agricultural Experiment Station and other publications produced in the CALS.
• All CALS publications will have a retail price assigned to them. The price for each publication will be determined by Educational Communications and Technologies (ECAT) based on all costs related to printing, shipping, storage, catalogs, marketing, and other expenses necessary to manage the publications system.
• A minimum charge will be assigned to all publications that will include postage. Retail prices for publications will be structured so that the prices correspond to $0.25 increments. ECAT should be contacted for discounts of bulk orders of a publication.
• CALS units, including Extension county offices, shall not collect money for CALS publications, except for ECAT and other units authorized by the CALS.
• All publication orders require pre-payment and should be mailed to ECAT located in Tucson. Publications that are in-stock will be sent to the client within two workdays. Out-of-stock publications will require notification to the client about the earliest available date for requested publications which will normally take two to four weeks. Payment checks will be returned to the client for re-ordering at a later time if desired.
• ECAT will maintain the inventory and general production of all CALS publications, except for the following circumstances:
  • Publications given to the CALS from non-CALS sources and publications that do not go through the CALS publications review process* may be maintained and handled separately by each CALS unit based on its unique needs. However, publications that have a price must be distributed by ECAT.

Cost Recovery Procedures for Publications
Educational Communications and Technologies (ECAT) will administer the Cost Recovery and Pricing Policy for all units in the CALS and will be responsible for all fund accounting and revenue distribution related to publications.

• Cost Recovery will be 150% of the cost per copy (i.e., if cost/copy - $4.00, then recovery/copy - $6.00).
• ECAT will keep the 50% above cost for operational expenses.
• CALS publications 4 pages or more in number are covered by this policy.
• Manuals, notebooks, series, etc., whose total number of pages are 4 pages or more, are covered by this policy.
• Individual publications 3 pages or less in number will be provided in camera-ready format to be copied by CALS units and distributed free of charge.
• Camera-ready publications printed in bulk by ECAT will be sold to the ordering CALS unit at cost and cannot be resold.
• No CALS unit, except ECAT, will charge for publications unless the CALS Executive Council has given the unit prior approval.
• Pricing Policy and Cost Recovery Sharing Options for Publications:
  • Prices of all publications will be based on 150% of cost, plus any ancillary amount incurred by a CALS unit during development. However, actual prices charged per copy may be less than the list price depending upon (1) how the publication is funded, and (2) to what extent a CALS unit opts to subsidize future reprinting, revisions, etc.
  • If a CALS unit funds a publication at 150% of cost, copies may be distributed free of charge. (NOTE: Under this option, all future reprinting, etc., will also be entirely subsidized by the unit).
  • If a CALS unit funds a publication at 150% of cost, and opts to recover reprinting costs, etc., then ECAT sells all copies at 100% of cost (NOTE: Under this option, ECAT deducts its 50% "up front" and deposits 100% of revenues generated in the publication's sub-account or in a unit account for use in reprinting, revision, etc.).
  • If a CALS unit opts to fund 100% of cost, then ECAT sells all copies at 150% of cost (NOTE: Under this option, ECAT will recover its entire 50% first, then accumulate or transfer revenues for future reprinting, revision, etc.).
  • Any publication failing to generate enough revenue to cover reprinting costs, or revenues from sales that are transferred to a CALS unit, will result in that unit being charged the difference between reprinting costs and the revenue balance remaining from previous sales.
  • Cost recovery and pricing of reprinted/revised publications will be based upon the formulas as outlined previously (i.e., 150% of cost).
  • Under no circumstances will the 50% above cost recovered by ECAT be available to a CALS unit for covering reprinting costs or for any other purpose.
  • Under special circumstances, split funding of a publication between a CALS unit and ECAT may be negotiated depending upon availability of funds.

Procedure for 4-H Publications
The 4-H Youth Development publications are managed by both the State 4-H Youth Development program and ECAT. 4-H leader materials are available at cost. 4-H publications include a cost recovery of at least 25%. ECAT maintains the 4-H publications inventory and distributes 4-H publications to the clients.

• Inventory is periodically reviewed to remove obsolete publications. Decisions to create new publications, to revise existing publications, or to remove obsolete publications will follow normal programmatic procedures.

Publications must be reviewed within the appropriate Administrative unit. A unit administrative head or director must approve all University of Arizona Cooperative Extension publications. See the following links for further information:

7.03.02 - College of Agriculture and Life Sciences Educational Communications & Technologies (ECAT)

Educational Communications & Technologies (ECAT)

The College of Agriculture and Life Sciences' electronic network server is open to student use, distributed learning, on-line classes, and interested commodity and public policy groups. This strengthens the educational outreach of the college and provides access to educational resources while at the same time building interactive partnerships.

Any interested group with relevant interests and educational resources wishing to develop Web pages via the CALS Web server should contact Robert MacArthur (520-621-2489).

7.03.03 - Internet Use

7.03.04 - Extension graphics

Cooperative Extension has specific logo guidelines. To meet both Extension's marketing needs and satisfy the University's identification requirements, the Extension logo must be used in conjunction with the UA's "A" or wordmark logos. All units producing any Extension publications or marketing materials (such as newsletters, workshop materials, posters, websites, signs and all other forms of media) are required to: 1) use either a Web quality or non-commercial print quality (as appropriate) Extension logo on all publications and materials, 2) use the "A" or wordmark on all materials, and 3) use the EEO indicia on all materials (except select items such as posters and signs). In addition, you are requested to promote a link between Extension and CALS within those same publications.

For commercial printing needs please contact the State Extension office (520-621-7145) or ECAT (520-621-7177) for appropriate logos.

7.03.05 - U.S. Copyright Law

Everyone who writes, takes photographs, creates or uses computer software, uses the Internet or creates web pages, makes movies or videotapes, or uses the work of others as teaching material needs knowledge of the U.S. Copyright Law.

Information on copyright law is available from the following resources:

• Office of Technology Transfer - information on fundamental concepts of the law (such as what a copyright is, when it comes into existence, which works are protected and which are not, who owns a copyright in a work, how one gets copyright protection and what type of copyright notice is necessary).
• UA Web Resources provides information about copyright and the web
• U.S. Copyright Office, Library of Congress provides complete information.

7.04.01 - General Guidelines

Extension Mail refers to all mail (whether printed or visual media) sent on behalf of and in support of Extension programming and operations. There are separate UA and Extension regulations covering email communications in Section 7.03.02.01. County Extension offices receive their funding as a part of their annual budget from CALS/Extension Administration and are responsible for using and tracking those funds set aside for mailing purposes. Funds can be used for postage meter rentals, mailing supplies and postage (whether on a postage meter or stamps). With all items mailed (whether publications, newsletters, etc.), proper use of Extension logos must be followed. For more detailed information, review the logo guidelines.

For any questions relating to Extension Mail, contact Extension Administration at 520-621-7145.

• Extension mail can be used only by Extension faculty and staff and only for Extension-related programs and business.
• The words Cooperative Extension must be prominent on any communication (such as newsletters, flyers and publications).
• The full EEO/Affirmative Action statement (or indicia) must appear on all documents (such as newsletters, flyers, training materials):
   

 - For Spanish speakers, use the version below.

 - If space is an issue, you may use only the second paragraph and the font can be smaller (such as 6 point).

• The non-discrimination clause must appear on event announcements where accommodation may be an issue. For example:
   

• Return addresses can be customized to reflect individual senders, unit names and addresses, but should include the words "Cooperative Extension" and/or "The University of Arizona." For example:

• The most economical method of sending large quantities of newsletters is Bulk Mail. Rates are applicable when 200 or more pieces, or 50 pounds or more of identical piece weight mail is sent out together in one day from the same location (see "Lower Costs Options in Section 7.04.03-C.

• Media Mail (formerly special fourth class or book rate) is generally used for books (at least eight pages), film, printed music, printed test materials, sound recordings, play scripts, printed educational charts, loose-leaf pages and binders consisting of medical information, computer-readable media, and for other similar items that are not time sensitive (see "Lower Costs Options in Section 7.04.03-C .
• You may not mail anything that could be interpreted as advertising, buying or selling. If it is necessary to use a trade or brand name, a disclaimer clause should be included in the newsletter. Announcements or other material that could be interpreted as advertisements for fairs, livestock shows and sales may not be mailed using the penalty privilege.The following clause is recommended:
   

• You should not mail any materials sent on behalf of, or considered business affairs of, established organization or associations, such as soliciting, collecting dues, calling meetings, or otherwise promoting the interests of established organizations
• All mail, regardless of size of classification, should be sealed before it is presented to the post office.

• Correspondence should carry the signature(s), name(s) and official Extension title(s) of the sender. Signatures of non-Extension personnel should not be used.

• Four principal cost-cutting methods of controlling and reducing mail costs are:

   - reduce the volume of mail use
   - reduce the size and/or weight per piece of mail
   - use cheaper mail classifications, and
   - provide adequate training to employees who prepare and handle mail.

7.04.02 - Using Extension Mail Effectively

• Select the least expensive class for the mail. If there are at least 200 pieces of the same weight, it is cheaper to send Bulk Mail. Remember, all 200 pieces do not have to be the same item, but they do have to weigh the same. That means they must contain the same number of pages. If a presort (zip code) is done, the price goes down.
• For all Extension mail, the minimum requirements are:

   - The University of Arizona Cooperative Extension identification (i.e., letterhead or enclosure slip)
   - non-discrimination clause for other than letterhead
   - signature and typed name and official Extension title of faculty or staff member

• Update each mailing list annually. Undeliverable mail costs in lost postage and time.

7.04.03 - On-Campus Responsibilities and Procedures

All outgoing Extension mail for on-campus users must be delivered to the Forbes 304 Mailroom to be picked up and processed by UA Mail Services each day.

• On-Campus Unit Responsibilities:

   - Identify a representative who will receive and act upon the Extension mail issues.
   - Adhere to Extension Mail guidelines and procedures for preparing and assembling contents of all
     mailings.
   - Identify departmental unit by using appropriate return address.
   - If a piece of mail is (or is thought to be) 12 ounces or more consider sending it Media Mail to
     reduce costs. In some cases, the costs can be reduced by half.
   - For any 200 piece or more same-weight mailings, the bulk mail procedures must be followed (see
    the "Bulk Mail" section).

• Extension Administration Responsibilities:

   - Open, question and/or refuse the mailing of any item not meeting general guidelines. This includes
     mail returned from the US Postal Service USPS.
   - Keep all known unit staff informed of all matters pertaining to the Extension Mail process by way of
     email and/or hard copy memos as appropriate.

• Lower-Cost Options:

   - Bulk Mail
       - Mailing requirements
           - 200 or more pieces of "same weight/same number of pages" mail weighing 2 ounces or less
             each (whether enclosed in an envelope or a self-mailer). Printed content matter can be
             different, but size, weight and number of pages must be identical. (For example, a mailing list
             of 80 could be combined with another mailing list of 150 [to exceed the 200 minimum] as long
             as the paper size, weight and number of pages are the same. If one mailing is 4 pages and
             one is only 3, an extra piece of paper could be added to make them the same and still save
             money).
           - in zip code order.
           - have appropriate return address and bulk mail permit (the UA bulk mail permit can be used).
           - meet all regular USPS mailing regulations.

       - Preparation: it is strongly suggested that you coordinate with the UA Postal Services Unit before
         you begin creating a bulk mailing for assistance. They can provide assistance in design, set up,
         preparation and mailing of your project since they keep up with the latest USPS regulations. For
         Bulk Mail policies and procedures, contact their unit at 520-621-9522.

   - Media Mail: There are only two requirements for sending Extension Mail under the Media Mail
     designation:
       - that each piece of mail (large envelope, box or other container) be 12 ounces or over.
       - that each piece of mail is stamped on the front above the address area with Media Mail
     This quick and simple step can reduce the mailing cost of that package by over 50%. The only  
     point to keep in mind is that as long as your package/box is not time sensitive, a Media Mail piece
     of mail may take about 1-3 days longer to arrive at its destination and in many cases, that extra
     amount of time outweighs the cost of sending it for over half the price.

• Other Suggestions/Information:

   - Combine information as much as possible to eliminate or reduce the number of mailings.
     Newsletters could have different sections for different interest groups as opposed to being
     separate entities.
   - Try to plan ahead as much as possible to avoid the need to mail first class using scheduled mailing
     days whenever you can.
   - Use fax or e-mail when time is a factor.
   - If someone in your department is traveling to an off-campus location (such as a county), use them
     as a courier (especially for larger packages).
   - Update mailing lists regularly to eliminate "undeliverable mail" returns.
   - UA Postal Service also provides information on Mail Preparation and provide some Mailing Tips
     as well as links to the U.S. Postal Service and some of the tools they provide online (such as
     Postage Rate Calculators and Zip Code Look Up ).

• Distribution of Mailing Lists

Mailing lists comprise a system of records established to assist in carrying out the various programs of Cooperative Extension. These mailing lists are for the sole use of Extension personnel and shall not be furnished directly or indirectly to any other person, firm, association, or Federal Government agency. The release of these lists could adversely affect the credibility of Cooperative Extension within the community. Mailing list are not Federal records and, therefore, not covered by the Federal Freedom of Information or Privacy Acts that pertain to Federal records. This longstanding policy of the US Department of Agriculture is based in part on 18 U.S.C. 1902, 7 U.S.C. 472, 7 U.S.C. 1373(c), and Title 7 C.F.R., Part O, Subtitle A, Subpart B, which provides:

"Lists of names of farmers, business people, or employees that may be available in the Department shall not be released to anyone unless it is determined that such release is required by the Freedom of Information Act. Lists of manufacturers, dealers, breeders, etc., shall not be furnished so as to imply that the Department endorses certain firms to the possible detriment of others, or that the lists necessarily include all dealers of a certain line."