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.
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.
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:
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.
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
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:
- 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
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.
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.
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.
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:
||Category||Related items which may have a cost to be recovered|
|Refreshments||Food, plates, napkins, utensils, coffee, cups, tablecloths, non-alcoholic beverages|
|Meals||Groceries, purchased meals, trays, tip, delivery, transportation|
|Publications||Wholesale/retail cost, ordering, shipping, postage, billing costs, receipts|
|Handouts||Original printed documents, printing, duplicating, staples, folders, binders|
|Meeting Management||Notices, postage, marketing, news releases, signage, name tags, pens/pencils, markers, display boards, chalk, boards, clipboards, pads|
|Direct Service||Tools for service to be completed (travel, canner, microscope, reference manuals, mailing cartons, postage, etc.)|
|Volunteers (includes master training)||Program design, job descriptions, recruitment, orientation, selection, training, supervision, monitoring, recognition, tools, evaluation, networking, planning group, middle management, see other categories|
|4-H Programs||Publications, flag sets, gavel, banners, certificates, newsletters, postage, posters, curricular materials, recognition items, ribbons, mailings, introductory materials, officers books, exhibit expenses, premium receipts, tags transportation, consumable expenses for training.|
|A-V/Technology Equipment||Rental/purchase: FAX, duplicators, copiers, overhead, slide projector, camera, film, developing, video cassettes, video player, audio cassettes, tape player, computer, CD/Rom, printers, software programs, projector screens, telephones, communication devices, phone lines, modems, connectivity charges|
|Curriculum Development Lesson Plan||Research tools, books, software, computer searches, note cards, research travel, videos, specimens, applied research, telephone interviews, site visits, paper drafts, statistical consulting, overheads, slide sets, evaluation, statistical analysis|
|Events/Activities||Rental, insurance, catering, signage, consumables, meals, etc.|
|Beyond "basic educational program"||Travel, hotel, meals, consumable supplies (see publications, handouts, direct service, a/v), etc.|
|Facilities||Location, square footage, cost per foot, utilities, parking|
|Support Staff||Salaries, percentage of time, fringe benefits, equipment, training|
|Personnel Directly Involved||Salaries for professional, adjunct, paraprofessional, support staff, consulting, training, computer support, speakers, percentage of time, fringe benefits, travel|
|Administrative Support||Supervisor, facilities, marketing, public information, resource development, grants and contracts, computer support systems, library/research facilities, university offices, personnel/fiscal support services, etc.|
Acknowledgment goes to the University of Illinois , Cooperative Extension Service, Region 3, for their Cost Recovery and Fee Guidelines model.
Cooperative Extension Policy is as follows:
Procedures for suspected mismanagement of Extension volunteer account funds:
The University of Arizona Foundation has their own financial policies and procedures on gifts that can be found on the UA Foundation website.
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.
Federal, state, and county appropriated funds are a major source of support for all Extension programs. These funds are used to carry out The University of Arizona Cooperative Extension mission as an educational arm of the United States Department of Agriculture and The University of Arizona. There are some educational efforts conducted through Cooperative Extension which cannot be financed by tax funds alone. Private support monies can be received and used for priority educational purposes, incentives and scholarships.
Accepting gifts implies a willingness to accept responsibility for handling the funds in an accountable fashion. Each unit handling funds received under the auspices of the University of Arizona Cooperative Extension must have a system for receiving, accounting for and disbursing funds in compliance with current IRS regulations.
For the last several decades, 4-H clubs and affiliated organizations derived their tax-exempt status from a group exemption issued by the IRS to 4-H National Headquarters of the United States Department of Agriculture. 4-H National Headquarters was responsible for ensuring that the 90,000 4-H clubs and affiliated organizations across the nation met the qualifications for tax-exempt status.
The IRS has recently issued new guidance regarding the tax-exempt status of 4-H indicating that the group exemption it previously issued to USDA was in violation of its own policies prohibiting the IRS from granting a group exemption intended for charitable, not-for profit organizations to another unit of the Federal government. Consequently, the group exemption issued to 4-H at the national level expired on May 16, 2011.
In order to continue the tax exempt status for 4-H clubs and 4-H councils, the Arizona 4-H Youth Foundation, a private 501(c)(3) organization already recognized by the IRS, will now serve as an umbrella organization for all 4-H clubs and affiliated groups for tax exempt purposes. This means that 4-H clubs and councils would continue to operate as programs of the University of Arizona’s Cooperative Extension, but would, for tax purposes only, derive their tax exempt status under the Arizona 4-H Youth Foundation. The Arizona 4-H Youth Foundation does NOT need to be a Group Exemption Number holder.
County agents will continue to require clubs and councils to complete the Annual Financial Summary Report Form each year. This will stay the same. A standardized Excel spreadsheet for each county will list all their eligible clubs and will include: 1) beginning balance, 2) income received, 3) expenses incurred, and 4) ending balance. County agents will be asked to provide a summary spreadsheet of financial information for all clubs that will be sent to the state 4-H office by February 15 each year. Any unrelated business taxable income generated by a 4-H club or council would be attributable to the umbrella organization.
All new clubs would continue to apply for their own EIN for banking purposes only. However, in this plan, clubs would no longer be required to submit 990 e-postcards. The 4-H club’s revenues and expenditures would be reflected on the 990-series return filed by the Arizona 4-H Youth Foundation. Contributions to a 4-H club or council would be considered contributions to the Arizona 4-H Youth Foundation, an organization exempt from Federal income tax. Individuals clubs and councils would not be listed in Publication 78 as an organization qualified to receive charitable contributions, but they would be listed on the Arizona 4-H Youth Foundation’s 990-series return, allowing a donor to confirm their existence. The Arizona 4-H Youth Foundation could also provide a donor letter affirming its exempt status and its ability to receive tax deductible contributions.
Extension Organizations such as 4-H clubs and Master Gardener Associations:
- 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.
Individual clubs and groups are not encouraged to conduct raffles on their own. If any group is interested, they must follow Arizona law.
Arizona law covering gambling, and exclusions therein, are contained in ARS Chapter 33, Section 13 . Chapter 13-3302 lists the specific exclusions to the normal regulations of gambling activities. Included are raffles operated by tax exempt organizations, subject to certain other restrictions. §13-3302B states the following:
“An organization which has qualified for an exemption from taxation of income under § 43-1201, paragraph 1, 2, 4, 5, 6, 7, 10, or 11 may conduct a raffle that is subject to the following restrictions:
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:
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.
It is the responsibility of the Principal Investigator to complete and process a proposal application in a manner that meets the needs of the granting body and those of the University and College of Agriculture and Life Sciences.
Cooperative Extension faculty may avail themselves of funding from a general source or funding from NIFA-USDA to support Extension activities. Refer to the appropriate section below to assure that the needs and routing for the specific application are met.
Instructions for routing CALS proposals are available on the CALS Administrative Services Instructions for Routing Grant Proposals site.
The completed application packet should be delivered to CALS Administrative Services and include a proposal routing sheet, budget, budget narrative, and abstract.
A packet of application forms is available in several formats on the NIFA-USDA website and contains forms, instructions and other information to be used in applying for Extension funds.
If applying for a grant the completed application packet must be routed first to CALS Administrative Services.
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.
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 Development Career Plan of Action Form
Examples of Professional Development Career Plan of Action Form
What to do After the Trip
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.
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.
When a contract, lease or written agreement is required by a facility/institution for use by a University of Arizona group:
When no contract, lease or written agreement is required, and a certificate of insurance is requested for facility use by a University group:
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.
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*
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
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), email@example.com. 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:
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:
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.
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.
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.
|February||County Extension Board develops county budget for next fiscal year.|
|March||County Extension Board reviews and approves proposed budget for next fiscal year.|
State fiscal year begins on July 1.
|November-December||University reviews and analyzes the College budget requests for next fiscal year. The budget is submitted to the Governor's Office and the Joint Legislative Budget Committee.|
|January||Recommendation of the request budget for next fiscal year by the Governor's office and the JLBC is made to the State Legislature|
Cycle then repeats.
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.
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.
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.
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.
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:
All Cooperative Extension publications are peer-reviewed. Peer-review allows other experts within the field to review your publication and verify information. Publications that have undergone peer-review are often of higher quality, are better respected, and add to a reliable body of knowledge. Peer-reviewed publications are also necessary to obtain continuing status and promotion. This is a blind peer-review process, so authors may make suggestions for reviewers, however, it is the department head’s choice of whom to ask to review the document. Reviewer identity is not revealed to the author.
To expedite the production of Cooperative Extension publications, faculty should adhere to the following procedures:
- First authorship is restricted to UA employees. Classified staff must have an extension faculty
member as a co-author. Students may be able to publish as a co-author if an Extension faculty
member is a co-author – this is at the discretion of the Associate Director. A non-faculty author may
be first author, however the faculty member will be listed as the contact person and all
correspondence, both prior to and post publication, will be to the faculty member. The faculty
member is responsible for informing co-authors. Non-UA people may be authors, but not first
authors and all correspondence and contact is via the UA faculty member.
- An individual must make a substantial, original contribution to the scholarly work to be considered
- For older publications being updated, the primary credit will be given to the most recent revision
author with an acknowledgment to the original author.
- Publications which contain substantial material from another publication(s) are considered to be
“adapted” and therefore will not be assigned an AZ number or authorship. The submitting faculty will
be listed as the contact and given credit as “adapted by …”. The publication may still be listed on
the publications website.
- If a first time publication is published after an author has retired or left the university, s/he may
remain an author, but a current Extension faculty member must also be an author and will be listed
as the contact person.
- If material is intended for use in eXtension, it must go through the CALS Extension publication
process. This material will not include copyrighted material from other sources.
- Author will then be directed to the FastTrack database where s/he will enter the data, including
proposed reviewers (with email addresses).
- Associate Director contacts the appropriate Associate Editor to start the review process.
- Associate Editor, with recommendation from author, decides on appropriate reviewers for
publication and sends out for review via FastTrack. A minimum of 3 reviewers is required with one
out-of-state reviewer recommended. (If the author has any questions about the status of the
reviews, the author should first check the status on FastTrack before contacting the Associate
- After looking at reviewer comments, Associate Editor accepts or rejects publication via FastTrack
and forwards, via email, anonymous reviewer comments to author.
- Author makes revisions and addresses, in writing, each comment made by reviewers, attaches
reviewer comments (and response to them) to final version and emails it all to the Associate Editor.
- The Associate Editor reviews final draft and forwards all material to the Associate Director via
email. The Associate Director will follow up with the Associate Editor via email. Authors may
appeal an Associate Editor's decision directly to the Associate Director.
- The Associate Director sends the publication to the Pesticide Information and Training Office
(PITO) for approval if necessary. PITO reviews the publication and returns to Associate Director for
final approval via email.
- If a publication is peer reviewed through Cooperative Extension, the publication must be available
electronically to the Publications Director for distribution and archival purposes.
- CALS has the right to distribute the publication even if another source is also distributing the
- If the publication is a training manual that needs to be distributed only to people attending a
training, the material can be distributed by the agent/specialist, however, the Publications Director
must be given an electronic copy of the material for archival purposes.
- An author always has the option to not use the Extension peer review process (in which case it
would not be a CALS publication) and have the publication reviewed from an outside source.
- The Associate Director gives final approval for publication and distribution to the Publications
- The Publications Director contacts lead author for publication files, then assigns publication
number and supervises design, layout, and quality assurance. (Publication templates are not
available for authors to use on their own.)
- Proof copy sent to author, with artwork approval form.
- Publication is posted to the Web and the URL is sent to the author and Extension.
- Extension announces Web version.
- Associate Director initiates a review every two to five years (depending upon publication content)
for content currency.
- Corresponding/first authors who are current employees are encouraged to update their original
- Authors wishing to update other authors work should contact the original author if possible to
collaborate on an update.
- If an original author cannot update the original publication, new authors are encouraged to write a
new publication, with new title and give reference to the original publication where appropriate.
- Updates that do not require significant content changes will not require re-review; updates that
require significant content changes will require official review; review status will be determined by
the submitting author and the Associate Director.
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).
Currently, neither the University nor the College has a policy, or guidelines, to cover use of non-University Internet applications. If at anytime such a policy is developed, we will adhere to it.
Cooperative Extension seeks to provide a safe environment for youth and adult participants. Cooperative Extension does not prohibit nor endorse the use of non-University Internet tools; however, you are strongly encouraged to consider the level of security needed due to sensitivity of material or type of users (i.e., adults, youth). The UA considers data to be generally classified into three areas: 1) completely public; 2) university internal but not sensitive; 3) sensitive, personal, or restricted data. The latter would include any data restricted by federal or other laws (e.g., HIPAA). If you have questions, please contact the CALS Internet Security Officer, Gil Salazar at firstname.lastname@example.org .
Also, keep in mind that:
The decision to use non-University tools for University work is up to the individual faculty or staff. Responsibility for the information therefore falls upon the individual. Responsibility may also fall upon the individuals department head or director, per common University practice.
Information and guidelines relating to Cooperative Extension Web policies can be found below. These policies relate to any Cooperative Extension Web site issue, including programs or volunteers. Personal blogs and other Web applications (e.g., MySpace, Facebook) not hosted by any University server are not governed by University or Extension policy.
General Extension Policy for Web Sites (including blogs)
Issued in furtherance of Cooperative Extension work, acts of May 8 and June 30, 1914, in cooperation with the U.S. Department of Agriculture, Kirk A. Astroth, Interim Director, Cooperative Extension, College of Agriculture Life Sciences, The University of Arizona.
The University of Arizona is an equal opportunity, affirmative action institution. The University does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, veteran status, or sexual orientation in its programs and activities.
Web Site Names
All Extension Web sites must use an arizona.edu domain name to clearly link your program to the University of Arizona. The rationale is that an ".edu" is a recognized and trusted source of information and helps market Extension and CALS as a whole organization. Sites hosted on the CALS main server should use the cals.arizona.edu domain, or other domains approved by the CALSNet lab and the Cooperative Extension Director or designate. A list of approved .org sites is available from the CALSNet lab (contact information below).
Drupal Web Site Coordination
- Cooperative Extension Web Team:
Kelly Arizmendi, Information Services Coordinator, Senior (email@example.com)
Robert Armstrong, Web Site Designer/Developer, Senior (firstname.lastname@example.org)
Linda Houtkooper, Associate Director, Programs (email@example.com)
Sheila Merrigan, Information Technology Coordinator (firstname.lastname@example.org)
- CALSNet Lab: may be contacted at email@example.com.
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.
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:
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.
Issued in furtherance of Cooperative Extension work, acts of May 8 and June 30, 1914, in cooperation with the U.S. Department of Agriculture, Kirk A. Astroth, Interim Director, Cooperative Extension, College of Agriculture & Life Sciences, The University of Arizona.
The University of Arizona is an equal opportunity, affirmative action institution. The University does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, veteran status, or sexual orientation in its programs and activities
- For Spanish speakers, use the version below.
Emitido en promoción del trabajo de la Extensión Cooperativa, leyes del 8 de mayo y 30 de junio de 1914, en colaboración con el Departamento de Agricultura de los Estados Unidos, Kirk A. Astroth, Interim Director, Extensión Cooperativa, Facultad de Agricultura y Ciencias de la Vida, Universidad de Arizona.
La Universidad de Arizona es una institución de oportunidades iguales y acción afirmativa. La Universidad no discrimina, en sus programas y actividades, por razones de raza, color, religión, sexo, nacionalidad de origen, edad, discapacidad, condición de veterano ni preferencia sexual.
- If space is an issue, you may use only the second paragraph and the font can be smaller (such as 6 point).
|Persons with a disability may request a reasonable accommodation, such as a sign language interpreter, by contacting (insert name, telephone number). Requests should be made as early as possible to allow time to arrange the accommodation.|
|On-Campus Example||Off-Campus Example|
The University of Arizona
Forbes 303 / PO Box 210036
Tucson AZ 85721-0036
Cochise County Cooperative Extension
The University of Arizona
450 S Haskell Ave
Willcox AZ 85643-2790
|The information given herein is supplied with the understanding that no discrimination is intended and no endorsement by The University of Arizona Cooperative Extension is implied.|
- 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.
- 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
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.
- 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
- 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).
- 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.
- 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
- 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
- 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.
- 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
- 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 ).
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."
The University of Arizona, an agency of the State of Arizona, participates in a statutory program of liability coverage for its departments and employees in types and amounts as provided under A.R.S. 41-621 et. seq. This protects all University of Arizona employees and faculty (including participating volunteers acting under the direction of a University employee) while participating in official university activities that have been approved by the Cooperative Extension Agent or designee in person, by phone or by letter.
While all activities carry a certain amount of risk, it is recommended that Extension faculty provide a risk analysis prior to conducting Extension sanctioned activities. Each county Extension office should have a risk management plan to provide employees, volunteers, and participants with a safe working environment. There are some activities, such as skiing, shooting sports education and horse shows, that carry a higher degree of risk for injury than other activities. These higher risk activities require a greater responsibility for preparation on the part of specialists, agents, support staff, volunteers, and 4-H club members. A separate plan should be developed for each activity where risks may be anticipated. Use of a Risk Management Checklist may be helpful.
If a U of A employee sees an unsafe condition, The University of Arizona will be held liable if it is ignored and someone is hurt or properties are damaged. All serious accidents should be reported to the U of A Department of Risk Management and the State Cooperative Extension Office. An Accident Insurance Claim Form from Risk Management and a form used for reporting any suspected or observed incidents of Child Abuse or Neglect Report Form are available.