Post on 13-Jan-2016
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Overview of the Plan of Work (POW) Guidelines
New Directors’ TrainingDecember 10, 2002
Plan of Work for land-grant institutions (P.L. 05-185) Expectations for accountability of
formula funds for agricultural research and extension.
Hatch; Smith Lever 3 (b) and (c); Evans-Allen (Section 1445 of the National Agricultural Research, Extension, and Teaching Policy Act of 1977); and 1890 Extension (Section 1444, NAREPTA of 1977).
Plan of Work (POW) Guidelines cover 10-1-99 thru 9-
30-04 (fixed 5-year time frame)
5-year POW was due 7-15-99
Review of POW to be completed by CSREES 90 days from receipt
Section 105 of AREERA Amended Smith-Lever Act requires
specified amount of extension funds be expended on multistate activities (25% or 2 times the 1997 base).
Renaming Regional Research Fund as MULTISTATE research fund (Hatch Funds) satisfied the intent of the match.
Section 204 of AREERA Amended Hatch Act and Smith-
Lever Acts require that specified amount of research and extension formula funds be expended on integrated research and extension activities.
Section 105 & 204 Exemptions American Samoa, Guam,
Micronesia, Northern Marianas, Puerto Rico and the Virgin Islands.
Extension funds received by the District of Columbia, except to the extent it voluntarily complies.
Multistate & Integrated Multistate extension activities
& integrated research and extension activities plans were due from states on 7-1-00.
CSREES-REPT (02/00) Form Multistate Extension Activities
Integrated Research and Extension Activities
And/or CSREES-WAIVER (2/00)
Annual POW Reports Did not receive a report in 1999. POW, originally due 12-31-00 for the
previous fiscal year ending 9-30. CSREES published Federal Register
notice changing due date to 3-1-01 (allowing adequate time for report preparation).
First report submitted 3-01 for FY 2000.
Use of Accomplishments Reports
Understand success in addressing issues identified in the 5-year POW for multistate, multi-institutional and multidisciplinary activities, and joint research and extension activities.
Reviews of reports FY 2000 reviews completed by
NPL’s and letters submitted to each university by CSREES.
Based on FY 2000 experiences, additional guidance published 12-01 for reports due on 3-1-02 (for FY 2001).
USDA OIG Audit Current AREERA audit initiated by
the Office of the Inspector General (3-02).
Role of CSREES in POW Process
Oversight responsibility for formula funds.
Annual Accomplishments report is principle source of documentation for funding decisions for states.
Reports demonstrate willingness to conduct programs consistent with congressional intent and system-wide commitments (Statements of Impact).
NPL review of Accomplishments Reports First step for identifying statistics and
attention-grabbing narratives about Nation’s cooperative extension and research system (budget explanatory notes & annual impact reports).
Forms basis (relevance & excellence) for approving formula funds allocation of $450 million to land-grant partners.
Executive Summary for Each Goal Stress extension and/or research results
supported with formula funds Highlight successes and any program/
research direction which has resulted in significant change within or among states
Document benefits to clientele and stakeholders
Contains State’s own assessment of accomplishments for the current reporting period.
Contains total expenditures by source of funding and full-time equivalents (FTEs) for the Goal.
Annual Report of Accomplishments and Results
Arranged around Five GPRA Goals Each Goal has an Executive
summary Key Themes identified for each
accomplishment under the Goals and aggregated to assist in reporting (not a POW requirement)
Integrated Research and Extension form(s)
Annual Report of Accomplishments and Results
Stakeholder Input Process Section Program Review Process Section Evaluation of the Success of Multi
and Joint Activities Section Multistate Extension Activities form
Accomplishments under Goals Reports related to the Five Goals? Appropriate key themes identified? Brief description of the activity Short impact/accomplishment
statement Source of funding (expanded) Scope of Impact reported (Selected)
Stakeholder Input Process Actions to seek stakeholder input to
encourage participation Provide statement of process by
institution to identify stakeholders and collect input
Provide statement of how collected input was considered by institution
(*) Failure to comply with this requirement may result in withholding institution’s funds and redistribution of funds to other eligible institutions.
Evaluation Criteria for POW (Stakeholder Input Rule) Did the planned programs address the
critical issues of strategic importance, including those identified by the stakeholders?
…address the needs of under-served and under-represented populations of the State(s)?
…describe the expected outcomes and impacts?
…result in improved program effectiveness and/or efficiency?
Reporting Requirement Actions taken to seek stakeholder
input that encourages their participation;
Brief statement of the process used to identify individuals and groups…, and to collect input from them; and
Statement of how collected input was considered.
Data Entry Work is underway to streamline
data entry—one-stop, efficient Work is underway to improve the
quality and usefulness of data – to all levels of decision makers
Review Focus per the Farm Bill (AREERA) Requires report be evaluated by
CSREES NPL’s to: Identify strengths, including
responsiveness to diverse audiences; Seek clarifications from state, raise
questions, and recommend ways to strengthen, redirect, or phase out programs; and
Recommend appropriate approval action on the report.
NPL’s as Reviewers Should: Recommend appropriate CSREES
approval action on the report and stakeholder input process--
1. approval; 2. approval with recommendations; or 3. non-approval).
Guidance to NPL’s
Results Review Checklist – Required signature of NPL, with recommended actions.
Review Team Summary - Prepared by reviewer and submitted to regional coordinator. (Serves as framework for institutional summaries, recommendations and approval letters).
Supplemental Information on AREERA Web Page
Key Themes Example of Exemplary Report Examples of good/ poor
accomplishment statements Frequently asked questions
and answers
AREERA WEB Page Relevant information on the
POW process is published on the CSREES Web Page:
http://www.reeusda.gov/part/areera
Common problems with Annual Report Impact Statements
Describe projected impacts, rather than evidence of actual impacts that have been documented.
Impacts are not impacts, but processes. Activities Outputs Plan to adopt, or adopted vague or
undisclosed practices.
Most common problems with Annual Report Impact Statements
Reliance on individual anecdotal data Individual success stories
Reliance on individual hard data One farmer increased income Inadequate to show statewide impact
Impacts we want to encourage Economic
Dollars saved by adopting a practice or new technology statewide
Increased profitability Cost Benefit Analyses (amount of dollars
saved or made per dollar invested) Production
Increase by adopting a practice or new technology
Decrease of loss
Impacts we want to encourage Food Safety
Decrease in illnesses Nutrition and Health
Improved eating habits Dollars saved Decrease in illnesses Decrease in low birthweights Decrease in infant mortality
Impacts we want to encourage
Environmental Reduced Pesticide Usage Reduced contaminants in Air, Water,
and Soil Increased Recycling Increased Waste Management
Impacts we want to encourage
Social Decreased truancy Increase in academic scores
(comparative) Decreased incidents of abuse
Employment and Consumer Jobs created Reduced debt
Direct Questions to: (Bart Hewitt) at
bhewitt@reeusda.gov