290 DEPARTMENTAL RESPONSIBILITY IN MAINTAINING
INTERNAL FINANCIAL RECORDS, FILES, AND DOCUMENTATION
APPENDIX II
SECTION D - DESCRIPTION OF PROGRAM FUNDS AND BASIS
OF ALLOCATION
- General
The Extension Service serves as the educational arm of
USDA and is responsible for carrying out educational
programs in cooperation with the State Extension
Services. Federal funds are allocated to these
institutions in accordance with provisions of various
Federal Acts (including those of other Federal agencies)
for Extension work in the Base Programs and National
Initiatives.
- Smith-Lever
These funds are allocated to the State Cooperative
Extension Services in order to aid in diffusing among the
people of the United States useful and practical
information on subjects relating to Agriculture, Natural
Resources, Food and Nutrition, Family Education, Rural
Development, Energy, and 4-H Youth Development.
Funds appropriated under this Act are distributed
primarily on the basis of farm and rural population, and
to some extent on the basis of special problems and
needs. Once the Department's appropriation bill for a
fiscal year is signed by the President, each State is
advised of the amount to which it is entitled under the
provisions of the Act. Each State is also advised of the
offsetting requirements and any other specific
requirements applicable to the funds for the year.
Specific sections of the Act are explained below:
- Section 3(b)(1)
As a result of the amendment of October 5, 1962,
Public Law 87-749, the base amount of authorized
appropriations to which each State Cooperative
Extension is entitled under formula distribution
was frozen at the fiscal year 1962 allocation
level. The offsetting requirements in existence
in fiscal year 1962 remained in effect for the
base amount. The special need funds remain
available for allocation as determined by the
Secretary (or a duly appointed representative).
Special needs funds are allocated to a State
Cooperative Extension Service to fulfill a
purpose or overcome a condition peculiar to the
State, as compared to the country as a whole, or
for a purpose not normally a part of the
continuing extension program. These funds are
restricted to meet the needs which cannot be met
with funds provided under formula or from
regularly appropriated State and County funds.
Since it is necessary that ES be assured that the
funds are allocated for a purpose or to meet a
problem which cannot be met with regular formula
funds, it is necessary that the use of all funds
available to the State be closely examined to
determine if they are in fact being used directly
in support of Cooperative Extension work.
If it is apparent that the funds appropriated
within the State, which logically could
be used to meet the special need purpose are
budgeted for purposes which would not qualify the
expenditures as offset to the Federal funds, it
can generally be assumed that no special need
exists.
- Section 3(b)(2)
Authorizes appropriations for the College of the
Virgin Islands, the University of Guam, and the
Northern Marianas College. Also, these schools
share as States in the distribution of Section
3(c)(2)funds.
- Section 3(c)
Provides for distribution of any funds
appropriated in excess of the base amount
established in Section 3(b)(1). Section (3)(c)(1)
provides that 4 percent of any such additional
appropriation shall be allotted to ES for
administrative, technical, and other services,
and for coordinating the Extension work of the
Department and the States. Section 3(c)(2)
provides that the balance of the funds be
distributed on the basis of 20 percent to the
States in equal proportion; 40 percent to the
States on the basis of rural population; and 40
percent to the States on the basis of farm
population.
- Section 3(d)
Authorizes appropriations of funds in addition to
those available under Section 3(b) and 3(c) of
the Act. Funds appropriated under this section
are earmarked for specific purposes and must be
used for these purposes if accepted by the
States. For each Smith-Lever 3(d) program, States
are provided with policy guidelines which
describe the purpose for which the funds can be
used. The 3(d) funds are either allocated by
formula or special projects (see Section D.5,
Special Project Funds).
- Section
Requires CES officials to submit annual
plans of work to the Secretary for approval
before the funds are to be paid to the States.
This section also provides that the funds are to
be paid to the States in equal quarterly payments
and that annual financial reports shall be
required on or about the first clay of April of
each year.
- District of Columbia Public Postsecondary
Education Reorganization Act
Authorizes appropriations for cooperative extension work
at the. University of the District of Columbia. Section
208(d) of the Act provides that 4 percent of the amount
appropriated be allotted to ES for administrative,
technical, and other services. The balance is available
to the University of the District of Columbia and must be
matched. The D.C. Extension Service is not eligible to
receive Smith- Lever funds.
- The Food and Agriculture Act of 1977
Section 1444 of the Food and Agriculture Act of
1977, as amended, authorizes appropriations
to the 1890 Land-Grant Institutions and Tuskegee
University to support continuing
agricultural and forestry extension work. Funds shall be
appropriated under Section 1444 each fiscal year
in an amount equal to not less than 6
percent of all funds appropriated pursuant to the
Smith-Lever Act and related acts
pertaining to cooperative extension work to be carried
out at the Land-Grant Institutions
identified in the Smith-Lever Act. These funds are
distributed as follows:
- Provides that an amount equal to the funds
allocated to the 1890 institutions in fiscal year
1978 under Section 3(d) of the Smith-Lever Act shall
serve as the base amount for distribution of any
funds appropriated under Section 1444 and shall be
distributed to 1890 institutions in the same
proportion as the 1978 funds were distributed. Funds
appropriated in excess of the base amount are
subject to the provisions of Section
1444(b)(2).
- Section 1444(b)(2)
Provides for distribution of any funds appropriated
in excess of the base amount provided under Section
1444(b)(1). Section 1444(b)(2)(A) provides that four
percent of any additional appropriation shall be
allowed to the ES for administrative, Technical, and
other services, and for coordinating the Extension
work of the Department and the States. Section
1444(b)(2)(B) provides that the remainder of any
additional funds be distributed to 1890 institutions
as follows: 20 percent in equal proportions; 40
percent on the basis of rural population; and 40
percent on the basis of farm population.
For purposes of this section, Alabama A&M
University and Tuskegee University are treated as if they
existed in separate States.
- Special Project Funds
Based on approved proposals, funds are provided
periodically, to CES's under Section 3(b)(1) of the
Smith-Lever Act to finance special projects. The projects
are primarily aimed at solving specific problems of
national concern or for developing new teaching methods
that have multi-State significance.
Funds for special projects may also be provided under
Section 3(c) of the Smith-Lever Act (out of the four
percent designated for Federal administration), Section
3(d) of the Smith-Lever Act funds for special interest
and national initiatives, Section ld44 (b)(2)(A) of the
Food and Agriculture Act of 1977 (out of the 4 percent
designated for Federal administration), from
Congressional and other Federally authorized legislation,
or as reimbursements from other government agencies.
The funding mechanism for special projects is the Application
Submission Package. Applications
should be submitted in response to program solicitation
announcements which will include all programmatic and
administrative requirements. The Package includes the
following documents:
PROJECT APPLICATION TITLE PAGE which must
accompany all applications and must be signed by the
Director/Administrator. Note: signature by someone other than
the Director/Administrator may invalidate the proposal.
BUDGET FORM (including instructions). Amounts on this
form should be itemized and should coincide with the amounts
stipulated in the narrative part of the proposal.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND
OTHER RESPONSIBILITY MATTERS (PRIMARY) -- Form AD-1047. This
forms certifies that the institution has not been debarred or
suspended from doing business with the Federal government. It
can be certified by the Director or Administrator of the
program.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION (LOWER TIER
TRANSACTIONS) -- Form AD-1048. This form certifies that any
contractor you employ has not been debarred or suspended from
doing work with the Federal government. This form must be
certified by the contractor you use and maintained in the
official files of the project. Note: this form should not be
submitted to ES-USDA.
CERTIFICATION REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS (GRANTS)-ALTERNATIVE I FOR GRANTEES OTHER THAN
INDIVIDUALS - Form AD-1049. This form is used to certify that
there is an official drug-free workplace program in place at
the University.
CERTIFICATION/DISCLOSURE REQUIREMENT RELATED TO
LOBBYING AND CERTIFICATION REGARDING LOBBYING. This form is
required when the project award amount is at least $100,000.
It certifies that Federal funds have not been used to lobby
in support of the project. If other funds associated with the
project will be used for lobbying in support of this project,
a Form SF-LLL, "Disclosure Form to Report Lobbying"
must be completed.
CERTIFICATION OF OFFSET TO FEDERAL SMITH-LEVER FUNDS.
This form is to be used with Special Needs Applications only.
It certifies that the State has met the matching requirements
of the project.
SPECIAL PROVISIONS. These provisions are used to
supplement this chapter and include applicable provisions of
Title 7 of the Code of Federal Regulations (CFR), Sections
3015, 3017, and 3018, as amended.
Revised May 1994