Cooperative Extension Policy and Procedural Manual

Mission: To engage with people through applied research and education to improve lives, families,
communities, environment, and economies in Arizona and beyond.

Vision: Cooperative Extension is a vital national leader in creating and applying knowledge to help people build
thriving, sustainable lives, communities and economies.

https://cals.arizona.edu/about/strategic-planning

The history of Cooperative Extension, a partnership of federal, state and county governments, begins with the signing of Justin Morrill Land-Grant Act of 1862. In 1856, just after his election to the U.S. Congress, Justin Smith Morrill of Vermont introduced a resolution to the Agriculture Committee, suggesting the formation of Agriculture Schools similar to the military schools at West Point and the Naval Academy. This resolution was killed, but Morrill re-introduced the idea again in 1857 as the first land grant bill. Finally, President Lincoln signed the bill into law in 1862, giving birth to the land grant college system.

As conceived by Justin Morrill, the legislation would develop at least one college in each state which would:

"...without excluding other scientific classical studies, and including military tactics..(to)...teach such branches of learning as and related to agriculture and the mechanic arts in such manner as the legislature of the status may respectively prescribe in order to promote the liberal and practical education of the industrial classes in several pursuits and professions of life."

The law granted land to each state apportioned at the rate of 30,000 acres for every Senator and Representative in the Congress of the United States. These federal lands were sold, the money invested, and the states were paid each year from the income. This income endowed and supported the land grant colleges, bringing higher education within the reach of all who qualified, regardless of wealth. In summary, the Act provided for the initial financing of land grant colleges, and placed the responsibility of classroom teaching in these colleges.

Also in 1862, the U.S. Department of Agriculture was authorized by Congress. A provision in this Act which is significant to Extension is as follows:

"...the general design and duties of...(the Department)...would be to acquire and diffuse among the people of the United States useful information on the subject connected with agriculture in the most general and comprehensive sense of that word."

The Hatch Act of 1887 authorizes federal support to establish and maintain agricultural experiment stations in every land grant college. The research carried on by the Institute of Home Economics, the Experiment Stations and the U.S. Department of Agriculture furnished the basic background information on which Cooperative Extension programs are based.

The Justin Morrill Act of 1890 increased the endowment of the land grant colleges to provide federal support for the establishment of institutions, primarily for agricultural education of Afro Americans, in the ten segregated southern states. The resulting institutions are usually referred to as the "1890 land grant colleges/universities."

The Smith-Lever Act of 1914 was the fifth major piece of national legislation involved in the evolution of the present land grant college system. This act, and subsequent legislation, established a Cooperative Extension Service associated with each U.S. land grant college. Today the Cooperative Extension System serves both rural and urban populations throughout the U.S. and its territories.

The Equity in Educational Land-Grant Status Act of 1994 granted land-grant status to Tribally-Controlled Community Colleges as a provision of the Elementary and Secondary Education Reauthorization Act. Authorized USDA funding for (1) land-grant endowment (2) faculty development (3) extension programs, and (4) research programs.

A bill passed by the Thirteenth Legislature of Arizona Territory in 1885 established the University of Arizona. Tucson was named the site and $25,000 was appropriated provided that Tucson, Pima County, or private citizens would contribute, within a year, forty acres of land for a campus. If not, the appropriation would lapse.

Through the persistent efforts of J. S. Mansfeld, member of the Board of Regents, land was acquired. Mr. Mansfeld selected the land on a mesa east of town and persuaded its owners to donate the forty acres. The donors were W. S. "Billy" Reid, a saloon keeper, E. C. Gifford and B. C. Parker, gamblers. The deed was filed November 27, 1886. The University of Arizona was official.

Groundbreaking for the construction of the School of Mines (the original name of Old Main) was October 27, 1887. In July 1889, the Board of Regents established "on paper" a School of Agriculture with one non-salaried professor and director of a non-existent Experiment Station. This would qualify them to receive federal appropriations available under the Hatch Act. Their creative financing venture succeeded with an initial federal grant of $10,000 in the first year followed in 1890 with $15,000 a year from the Hatch Act and an additional $10,000 from the Morrill Act.

On October 1, 1891, the University opened with a School of Agriculture and the University Experiment Station as well as the School of Mines. The first commencement exercises were held in 1895.

In 1913 University President A. H. Wilde announced that the Agricultural College of the University included all agricultural instruction, research (in the experiment station) and the work of the farm. A Department of Home Economics with a four year course was organized.

The Arizona Agricultural Extension Service was founded in 1914. Extension-type work began in Farmer's Institutes which were short teaching sessions held around the state in the more important agricultural communities. These originally were begun in 1896 and staffed by Experiment Station personnel to exchange ideas and information with farmers. In 1912 demonstration trains became a part of the Institutes. These trains consisted of several baggage cars filled with the exhibits of live farm animals, farm and horticultural crops, and home demonstrations. They traveled from town to town taking the College of Agriculture and Life Sciences to the people. 4-H Club Work for Boys and Girls started in 1913 when George T. Peabody organized a boy's cotton club in Chandler.

Stanley F. Morse became the first superintendent of the Arizona Extension Service in 1914. A year later he was made state leader of county farm advisor work in cooperation with the U.S. Department of Agriculture. Arizona's first county farm advisor, A. L. Pashall, was appointed on December 16, 1914, to serve Cochise and Santa Cruz counties on a half-time basis.

In 1915 a women's section was added to the third annual farmer's short course held on campus.

When the Arizona Legislature accepted the provisions of the Smith-Lever Act of 1914, it empowered county governments to appropriate funds to provide additional support to each local county Extension program. It was this cooperative funding from federal, state and county governments that led to the current name, "Cooperative Extension."

In 1921 the State Legislature endorsed the organization of County Farm Bureaus to be the official, county-level sponsors for Extension programs.

The enactment of Arizona Senate Bill # 179 in 1964 repealed the 1921 legislation. This 1964 legislation established County Extension Boards, appointed by the Board of Supervisors, to be the official sponsors of Extension programs offered in each respective county.

House Bill #2125, passed in 1974, amended the 1964 legislation to provide greater latitude in the criteria for appointment of County Extension Board members. This legislation also allows counties greater flexibility in the amount of their financial support of county Extension budgets. A further revision in 1986, Senate Bill #1306, addressed the responsibility of each County Board of Supervisors to provide reasonable office space for Cooperative Extension (see Section 1.03.04.02 for specifics).

For further reading about the history of the University of Arizona and the College of Agriculture and Life Sciences see:

The Lamp in the Desert: the Story of the University of Arizona, Douglas D. Martin (University of Arizona Press, Tucson, 1960).
College of Agriculture and Life Sciences: A Century of Discovery, Richard A. Haney Jr., Compiler (College of Agriculture and Life Sciences, University of Arizona, Tucson, 1985).

Cooperative Extension Organizational Chart

The delineation of responsibilities of the government entities for conducting Cooperative Extension programs is reflected in the Memorandum of Understanding between USDA and the University of Arizona Cooperative Extension. This document states:

"Whereas the University of Arizona has under its control Federal and State funds for Extension work in agriculture and home economics which are and may be supplemented by contribution for similar purposes by counties and other organizations and individuals within said State, and the United States Department of Agriculture has funds appropriated directly to it by Congress which can be spent for extension work in the State of Arizona;

Therefore, with a view to securing economy and efficiency in the conduct of extension work in the State of Arizona, the president of the University of Arizona acting subject to the approval of the Board of Regents of the University and State Colleges of Arizona and the secretary of Agriculture of the United States, hereby execute the following memorandum of understanding with reference to cooperative relations between said University of Arizona and the United States Department of Agriculture for the organization and conduct of extension work in agriculture and home economics in the State of Arizona.

I. The University of Arizona agrees:

A. To organize and maintain at said institution a definite and distinct administrative division for the management and conduct of all cooperative extension work in agriculture and home economics, with a director selected by the institution and satisfactory to the Department;B. To administer through such division thus organized, known as the Agricultural Extension Service (University of Arizona Cooperative Extension), any and all funds it has or may hereafter receive for such work from appropriations made by Congress or the State Legislature, by allotment from its Board of Regents or from any other sources;C. To accept the responsibility for conducting all educational work in the fields of agriculture and home economics and subjects related thereto as authorized by the Smith-Lever Act as amended and other Acts supporting cooperative extension work, and such phases of other programs of the department as are primarily educational, which the Department has been authorized to carry on within the State.

II. The United States Department of Agriculture agrees: A. To maintain in the Department a Federal Extension Service which, under the direction of the Secretary, (1) shall be charged with the administration of the Smith-Lever Act as amended and other Acts supporting cooperative extension work insofar as such administration is vested in the Department; (2) shall have primary responsibility for and leadership in all educational programs under the jurisdiction of the Department (except the graduate school); (3) shall be responsible for coordination of all educational phases of other programs of the Department, except the graduate school; and (4) shall act as the liaison between the Department and officials of the Land-Grant Colleges and Universities on all matters relating to cooperative extension work in agriculture and home economics and educational activities relating thereto.B. To conduct through the University of Arizona all extension work in agriculture and home economics and subjects relating thereto authorized by Congress to be carried on within the State except those activities which by mutual agreement it is determined can most appropriate and effectively be carried out directly by the Department.

III. The University of Arizona and the United States Department of Agriculture mutually agree:

A. That, subject to the approval of the President of the University of Arizona and the Secretary of Agriculture, or their duly appointed representatives, all cooperative extension work in agriculture and home economics in the State of Arizona involving the use of Federal funds shall be planned under the joint supervision of the director of the Agricultural Extension Service of the University of Arizona and the administrator of the Federal Extension Service; and that approved plans for such cooperative extension work in the State of Arizona shall be carried out through the Agricultural Extension Service at the University of Arizona in accordance with the terms of individual project agreements.B. That all State and county personnel appointed by the Department as cooperative agents for extension work in agriculture and home economics in the State of Arizona shall be joint representatives of the University of Arizona and the United States Department of Agriculture, unless otherwise expressly provided in the project agreement. Such personnel shall be deemed governed by the requirements of Federal Civil Service Rule No. IV relating to political activity.C. That the cooperative between the University of Arizona and the United States Department of Agriculture shall be plainly set forth in all publications or other printed matter and used in connection with said cooperative extension work by either the University of Arizona or the United States Department of Agriculture.D. That annual plans of work for the use of Smith-Lever and other Federal funds in support of cooperative extension work shall be made by the Agricultural Extension Service of the State of Arizona and shall be subject to the approval of the Secretary of Agriculture in accordance with the terms of the Smith-Lever Act as amended or other applicable laws, and when so approved shall be carried out by the Agricultural Extension Service of the said State of Arizona.

IV. The University of Arizona and the United States Department of Agriculture further mutually agree:

A. That the Department of Agriculture shall make final determination on any proposed supplementary memoranda of understanding or similar documents, including those with other agencies, affecting the conduct of cooperative extension work only after consultation with appropriate designated representatives of the Land-Grant Colleges and Universities.B. That the University of Arizona will make arrangements affecting the conduct of cooperative extension work with agencies of the Department, or with other Federal agencies, only through the administrator of the Federal Extension Service, or in accordance with an existing general agreement which has been approved by him.C. That all memoranda and similar documents hereafter executed affecting cooperative extension work, whether between agencies of the Department or between State Agricultural Extension Services and agencies of the Department, shall be within the framework of, and consistent with the intent and purpose of, this memorandum of understanding.D. That all memoranda and agreements affecting policies in cooperative extension work shall be reviewed periodically by appropriately designated representatives of the Land-Grant Colleges and Universities and the Secretary of Agriculture for the purpose of determining whether modification is necessary or desirable to meet more effectively current developments and program needs.

V. This memorandum shall take effect when it is approved by the Board of Regents of the University and State Colleges of Arizona and the Secretary of Agriculture of the United States, and shall remain in force until it is expressly abrogated in writing by either one of the signers or his successor in office. The agreement executed February 19, 1917 shall be deemed abrogated upon effective date hereof.

 3.03.01 - Policies and Procedures The Policy of the University of Arizona Cooperative Extension is: Any child who participates in educational programs conducted under the auspices of Arizona Cooperative Extension is entitled to a safe environment. In addition, employees and volunteers are entitled to information related to the laws pertaining to child abuse, neglect and sexual offenses. All employees and volunteers working directly with children will receive training in order to take steps to ensure that neither they nor children are in situations which place them at risk under various Arizona Statutes related to child and sexual abuse.

The use of the 4-H name and emblem is governed by action of the U.S. Congress and supplemental administrative policy. Violators are punished. Details are contained in ES-USDA publication The 4-H Name & Emblem, Guidelines for Authorized Use, which carries the latest amendment of 1987. A copy is in each County Extension Office. For further information, contact the Associate Director for 4-H Youth Development.

Tax-Exempt Status of 4-H Organizations Authorized to Use the 4-H Name and Emblem
Approved 4-H organizations are awarded the privilege by an Internal Revenue Service ruling of being exempt from Federal income tax. This ruling letter of 9 February 1973 recognizes the tax exempt status of 4-H Clubs and affiliated 4-H organizations which are organized and operated under the guidance and control of Cooperative Extension. This guidance and control must conform to the regulations governing the use of the 4-H name and emblem (see 3.03.02) and be in accordance with the policy statement in Chapter XI, section 8.2 of the Federal Administrative Handbook for Cooperative Extension work. A copy of this is in the office of the Director of Extension.

Financial Issues for Cooperative Extension (4-H Youth Development programs) See Section 10 of the Arizona 4-H Policy and Procedures Handbook for specific references for managing 4-H Youth Development-related funds.

Volunteers include youth and adults in leadership and support roles within Cooperative Extension. There are two basic Extension volunteers' roles.

Certified Volunteers. Certified volunteers have undergone a screening process which includes an application, interview and background check. Additional requirements required for 4-H volunteers include providing references, signing 4-H Behavioral Guidelines, and on-going enrollment.

Certified volunteers receive special training which prepares them for their role, enriches their own lives, and insures accuracy in information dissemination and skill transfer.

Specific position descriptions for certified volunteer programs in 4-H Youth Development (add link to website); Master volunteer programs such as Master Gardener, Master Consumer Advisor (Maricopa County & Pima County), Master Watershed Steward and Bone Builders. Counties are responsible for the training and administration of these programs. Additional requirements may apply for master volunteers.

Non-Certified Volunteers.  A volunteer who works in the presence of a certified volunteer or Extension employee.

Collaborator Volunteer.  A person working/volunteering for another agency, screened by the participating organization and utilizing a Cooperative Extension Program is a collaborator. Examples: School teacher, after-school program leader, pre-school teacher/aide, Parks and Recreation employee, Girl Scout leader, federal, state, county and/or tribal agency personnel, farmers, ranchers, etc. Collaborator Volunteer Agreement

Resource Volunteer.  A person who either a) works with youth and adults in the presence or under the guidance of a certified volunteer and/or Extension employee or b) shares time and expertise or provides services working with other volunteers and/or Extension personnel. Resource Volunteer Agreement

The Master Volunteer program is all about public education. Working through their local Extension Agent they serve by:

• staffing phone lines
• giving talks to local groups
• presenting information at conferences, workshops, seminars and trade shows
• organizing educational programs and conferences
• writing newspaper, magazine and newsletter articles
• developing and producing pamphlets, bulletins, fact sheets, and web pages.

The Master Volunteer programs and trainings are conducted by the University of Arizona Cooperative Extension. Classes are taught by University of Arizona Extension professionals and other experts. Training sessions are held in various locations throughout the state depending upon the type of master volunteer program. Persons with a disability may request a reasonable accommodation, such as sign language interpreter. Cost-recovery fees, to cover materials, operating expenses and background checks, may be required. Fees for each program will be consistent across the state and applied uniformly in all counties. The Arizona Cooperative Extension policy on cost recovery is available in section 7.03.02. Cooperative Extension programs are open to all citizens regardless of their ability to pay. Provisions are made to reduce or waive fees when an individual is unable to pay. Assistance may be available from county offices.

Certification is achieved when these conditions are met: (1) an application is filed in the county extension office; (2) a fee is paid to cover course expenses (if required) and background check; (3) background check is approved; (4) successful completion of the training course; (5) a donation of volunteer service, which may vary by program and county. To remain in the program after the first year, a continued donation of volunteer service and continuing education are required.

There are frequently more applicants for these programs than slots available. Selection is based on history of volunteer service, level of specific skills, knowledge of value to the program, and, in some counties, face to face interviews. Applications are available in the County Cooperative Extension offices.

Note that Certified Master Volunteers working with youth are required to follow the requirements listed below under 4-H Volunteer Certification Program.

Volunteer Registration
County Extension offices and Departments using volunteers must keep on file sufficient information to document each volunteer's status and authorized duties. Failure to properly document a volunteer's duties and authorization will jeopardize the liability coverage described. Risk Management and Safety recommends that this be accomplished with a Volunteer's Letter of Appointment for each volunteer, a volunteer application file or a volunteer service agreement form. The following information must be on file for each volunteer:

• Volunteer's full legal name.
• Program title and brief description where the volunteer will be serving.
• Name and title of the person or persons responsible for volunteer supervision.
• Anticipated duration of volunteer service.
• A description of the services the volunteer is authorized to perform, and an acknowledgment that the services rendered will not be compensated.
• Instructions for immediately reporting accidents or other incidents.

Volunteer Benefits and Services

Volunteers are not maintained in PSOS, Personal Services Operating System and do not have direct access to University services. Net ID and email accounts may be obtained on behalf of volunteers by the sponsoring department. Instructions are available at the University Information Technology Services (UITS) Department Sponsored Visitor Account site. No University or state-sponsored employee medical, retirement or insurance plans apply to this association.

Procedures

Obtain a signed Volunteer Service Agreement Form or Volunteer Agreement Form from the volunteer and give a copy to the volunteer.

• Retain the Volunteer Service Agreement Form or Volunteer Agreement Form in departmental files for accidental and state liability insurance coverage.

Credentials

All certified volunteers receive a name badge. The badge must be worn at all times when serving in an official capacity. Certified volunteer credentials may not be displayed at a place of employment nor used in advertising connected with any business. A certified volunteer may identify himself or herself as a certified Extension volunteer only when doing unpaid public service work in an approved Cooperative Extension program.

Volunteer Liability and Medical Coverage

The University provides limited liability coverage for authorized volunteers. The University's insurance program, administered by the State of Arizona, covers liability arising from the acts of volunteers while providing service in an authorized capacity. Volunteers who are injured while performing work for the U of A are provided accident insurance to cover medical expenses incurred up to $25,000. Coverage is excess beyond other available insurance, and there are specific limitations and exclusions. There is no cost to volunteers for this insurance.

Volunteer Safety

Departments should plan for the safety of volunteers just as they would regular employees. Tasks that require special training, certification, or equipment should only be conducted by volunteers who are appropriately equipped and qualified. If a volunteer's duties will include driving on University business, the department must determine that the volunteer has a valid driver's license, and keep a photocopy with the Letter of Appointment, Volunteer Service Agreement or Volunteer Agreement .

Cooperative Extension Event Insurance

There is at least one major national company, American Income Life, that provides excess medical/accident insurance coverage for youth, volunteers and other adults who are participating in adult supervised activities sponsored by Cooperative Extension. Such insurance covers such things as field days, camps, conferences, fairs, tours, county contest days, and includes the travel time. There is restricted coverage for accidents involving horses or winter sports (skiing, tobogganing, bobsledding or tubing). Rodeo participation is usually excluded.

Fees for Service by Volunteers

Volunteers may not charge for their personal services while acting in their official capacity. They may with prior approval of a county extension agent, however, recoup actual expenses for educational materials provided to clientele provided that they, the volunteer, made the initial purchase. Any program related fees collected by certified volunteers must be turned over to the supervising Extension faculty for deposit in the appropriate Extension account.

Product Endorsement or Implied Endorsement

The affiliation of a volunteer with a commercial activity or commercial product in a manner that implies Cooperative Extension or University of Arizona endorsement is prohibited.

Reporting Each volunteer will submit required reports on a regular basis indicating the kind and amount of volunteer service provided as well as the number of people reached. Report forms will be provided by and should be returned to the supervising Extension faculty.

Any child who participates in educational programs conducted under the auspices of Arizona Cooperative Extension is entitled to a safe environment. In addition, employees are entitled to information related to the laws pertaining to child abuse and neglect and sexual offenses. All employees and volunteers working with minors will receive training in order to take steps to ensure that neither they nor children are in situations which place them at risk under various Arizona Statutes related to child and sexual abuse.

Arizona Revised Statutes require any person who has reasonable cause to believe that a child is being abused or neglected must report to Child Protective Services (CPS). The following persons are required by law to report: any physician, hospital intern or resident, surgeon, dentist, osteopath, chiropractors, podiatrist, county medical examiner, nurse, psychologist, school personnel, social worker, peace officer, parent, counselor or any other person having responsibility for the care and treatment of children.

A person making a report or providing information about a child is immune from civil or criminal liability unless said person has been charged with, or is suspected of, the abuse or neglect in question.

Selection and retention of volunteers is based on the interests, skills, and talents of the individual and the needs of the program at the time. While Arizona Cooperative Extension depends upon and appreciates the valuable service of volunteers, the needs of the program vary from time to time and place to place. It is the program's goal to effectively utilize available resources including volunteers. Volunteers serve at the invitation of the University of Arizona and their participation in Cooperative Extension programs may be discontinued at any time by the County Extension employee responsible for the program. Before discontinuing an individual's volunteer status, the responsible employee shall obtain approval from his/her supervisor. The volunteer will be notified in writing and the decision regarding the volunteer's participation is final. When the agent, in consultation with the County Extension Director (CED), decides that suspension or termination of a volunteer is appropriate, a letter will be sent to the volunteer informing him/her of the decision to suspend or terminate. (See the following examples.) This decision is final and cannot be rescinded. A termination letter will be sent in writing. It is suggested that one be brief, do not give specific reasons, and leave no room for discussion. Discussion should have taken place beforehand. See the simple sample letters below.

Sample Termination Letters: Dear_____ , In light of the failure to resolve the differences between your job performance and the Cooperative Extension Guidelines, we no longer will have need of your volunteer service. Dear_____ , Being a volunteer is a privilege, not a right. Due to your unwillingness to comply with the Cooperative Extension Guidelines, we no longer will have need of your volunteer service.

It is the policy of The University of Arizona Cooperative Extension to insure that all Cooperative Extension volunteers and participants of a program have a known and effective forum to air and examine complaints. The procedure for dispute resolution follows.

• Complaints of are first to be addressed to the Cooperative Extension faculty in the county. The Extension Agent assumes leadership for this process. Whenever a participant under the age of eighteen is involved in a grievance, the parents/guardians of that youth are to be notified in writing by the agent having responsibility for the complaint.
• Problems arising between/among participants and volunteers that cannot be resolved through a conciliation process will then be addressed by the Cooperative Extension faculty responsible for the appropriate program.
• An accurate, detailed statement of the complaint must be made in writing to the county Cooperative Extension office to the Extension Agent or other Extension faculty member will be assigned by the County Extension Director to handle the complaint.

Overall Guidelines

• Extension personnel, staff and volunteers will endeavor to provide safe and healthy programs for youth. In cases of illness or injury, youth will be treated on site by an appropriate health care provider or taken to an appropriate health care provider if necessary, when a patient or guardian is not available for consultation. Parent or guardian will be contacted as soon as possible.
• Extension personnel, staff and volunteers are to avoid, where possible, being alone with a single youth, including sharing sleeping quarters with non-related youth.
• Extension personnel, staff and volunteers will not, under any circumstances, discipline youth by the use of physical punishment or by failure to provide the basic necessities of care, such as food or shelter.

When Traveling with Youth

It is recommended for both agents and volunteers when traveling with youth: Travel with at least two or more youth Require permission from parents for youth to travel with the said adults Drop off youth by two's or more at an agreed upon meeting site thus not leaving adults with one single youth. Logistical issues may arise when a second youth is needed to make for a safe traveling group, it is recommended that a sum of money be set aside to pay for those additional youth to attend. In addition, these youth would have tasks to do during the meeting to keep them involved.

Overnight Trips

It is recognized that there are issues regarding overnight trips and the following recommendations are made: Youth of opposite gender sleep in separate quarters and are chaperoned by same sex chaperones Youth and adults are not to stay in same sleeping quarters Adults conduct regular room/bed checks. Chaperon Expectations Arizona Event

Chaperon Expectations

For usage with state events, may be altered for local county usage.... "You are representing the Arizona Cooperative Extension Program and are expected to uphold the Behavioral Guidelines as signed. As chaperons, you have volunteered to help make this event the most educational and meaningful experience possible for your delegation." County chaperons are responsible for supervision, advising, and any needed disciplinary action of their county delegation. Primary responsibility rests with the chaperons who are acting on behalf of the county Extension Program. Youth serving in leadership roles are responsible to the Agent Advisors of said event. In an emergency situation, contact the State Extension representatives. It is recognized that counties may be sharing chaperoning responsibilities to cover youth, male and female. Please indicate for whom you may have county responsibilities upon check in.

Handling Sensitive Issues

Handling sensitive issues means being prepared for the ups and downs of youth work. It is often these little mole hills that become mountains because issues were not handed with utmost care and compassion immediately.

Understanding Policy

All organizations work under a set of written and unwritten guidelines. Prior to any activity or event, all chaperons/agents should understand these policies. Whether a code of conduct or an informal list of rules, it is imperative to understand what is expected of the youth as well as the adults in attendance. In addition to general discipline procedures, a clear understanding of reporting incidents should be discussed prior the event. This may include completing any reports and notifying any paid staff as well as other parties of an incident.

On July 2, 1964, Congress passed the basic law which is currently in operation. There are two major provisions of this Act which bear on Cooperative Extension and for which Extension personnel are held accountable. One is Title VI; the other Title VII.

Title VI. Affirmative Action Plan (AAP)

The purpose of this section reads in part:

"No person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance."

Title VII. Equal Employment Opportunity (EEO)

This section makes it an unlawful employment practice for an employer to fail or refuse to hire or to discharge any individual, or otherwise to discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual's race, color, religion, sex, or national origin.

Title IX of this act deals with gender discrimination and while most often referring to school settings, it has equal application to Cooperative Extension. The objective of Title IX is to eliminate and prohibit gender discrimination against participants (beneficiaries) and employees of educational programs and activities receiving or benefitting from Federal funds.

Title IX reads: "No person in the United States, shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance."

Section 794 of this Act affects Cooperative Extension since it pertains to program delivery and access to offices and meeting sites. This section provides that:

"No otherwise qualified individual with a disability in the United States, as defined in Section 705 (20) of this title, shall, solely by reason of her or his disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance or under any program or activity conducted by any Executive agency or by the United States Postal Service."

Also see UA Equal Opportunity and Affirmative Action

Persons 40 years of age or older are protected by the Age Discrimination in Employment Act (ADEA) of 1967. The law prohibits age discrimination in hiring, discharge, pay, promotions and other terms and conditions of employment.

Retaliation against a person who files a charge of age discrimination, participates in an investigation or opposes an unlawful practice also is illegal.

The law applies to private employers of 20 or more workers, federal, state and local governments, employment agencies and labor organizations with 25 or more members.

The Older Workers Benefit Protection Act (OWBPA) (29 USC 626, Section F) was enacted on October 16, 1990, effective generally on April 15, 1991. There are delayed effective dates for certain collectively bargained plans and certain state and local government employers. OWBPA makes clear that employee benefits and benefit plans are subject to the ADEA. The Act codifies EEOC regulations addressing employee benefits and states that the employer has the burden of proving the lawfulness of certain benefits-related actions. New provisions were enacted affecting early retirement incentive plans and permitting certain offsets against severance payments and long-term disability. Title II of OWBPA sets out minimum criteria that must be satisfied before a waiver of any ADEA right or claim will be considered a "knowing and voluntary" waiver.

Institutions of higher education may involuntarily retire an employee at age 70 who is serving under a contract of unlimited tenure or a similar arrangement.

(The information in this section is from the Equal Employment Opportunity Commission.)

Americans with Disabilities Act of 1990

This legislation enacted 26 July 1990 provides comprehensive civil rights protection to individuals with disabilities in the areas of employment, public accommodations, State and local government services and telecommunications. Those affecting Extension are:

Title I - Employment

Prohibits private employers, state and local governments, employment agencies and labor unions from discriminating against qualified individuals with disabilities in job application procedures, hiring, firing, advancement, compensation, job training, and other terms, conditions and privileges of employment.

Title II - Public Services

Subtitle A - Protects qualified individuals with disabilities from discrimination on the basis of disability in the services, programs, or activities of all state and local governments. It extends the prohibition of discrimination in federally assisted programs established by section 504 of the Rehabilitation Act of 1973 to all activities of State and local governments, including those that do not receive Federal financial assistance, and incorporates specific prohibitions of discrimination on the basis of disability from titles I, III, and V of the Americans with Disabilities Act.

Effort will be documented in a manner that reflects the persons contacted, the race, sex, address, date of contact, and response insofar as those data are available. Special forms exist for this purpose.

They are:
AAP-1: Instructions: Extension Clubs Regarding Compliance to Title VI Civil Rights Act of 1964 and Title IX Education Amendments of 1972
AAP-2: Groups Serving One Race
AAP-3: Enrollment Sheet
AAP-4: Affirmative Action Compliance
AAP-5: Meeting or Event Affirmative Action Report
AAP-6: Documentation of Office Visits
AAP-7: Annual Affirmative Action Report

The above documents are in PDF format and can be printed out to be handwritten or typed or can be completed online and printed out for your records.

The Extension faculty will discontinue assistance to those clubs which remain all of one race, unless it is documented that good faith efforts have been made to recruit individuals of racial groups not represented. County files may be reviewed at any time. County files must include the documentation evidence.

By February 1 of each year each county Extension unit will submit a compliance report to the Affirmative Action Officer (AAO). The report will address the directives in the Compliance Plan and include the following sections:

• General efforts across all programs
• Specific efforts by program area - Agriculture and Natural Resources (ANR); Family, Consumer and Nutritional Sciences (FCNS) [including EFNEP]; 4-H Youth Development [including EFNEP]
• Publications, Public Notification, Other Organizations
• Equal Employment Opportunity
• Employee Training for Civil Rights Practices

Within 30 days of submission of this county report, the AAO and Extension administrators will analyze the data and note any areas of noncompliance. Any deficiencies will be reported to the Director of the University of Arizona Cooperative Extension and immediate steps will be taken to correct deficiencies. A draft report incorporating county submissions and other analyses will be completed, including recommended action plans for the following year, and given to the EEO Oversight Committee for comment. Accomplishments and action plans will be publicized by the Director and distributed to the entire faculty.

In addition, to accurately report on progress in the delivery of program benefits to minority clientele, the Annual Performance Report (APR) will be used to collect data on participation in Extension programs. Each professional and paraprofessional employee will report on an annual basis the contacts by race and sex within each program area (along with other programmatic data).

This report will reflect face-to-face contacts with clientele participating in a significant educational experience. Do not include clientele who may have benefited from information disseminated through mass media. If two or more Extension professionals are at the same meeting, only one of them should report the audience contacts. The person to report is the one in charge of the meeting. This same information must also be filed using the AAP-5 form in UA Vitae (which can be completed and printed prior to submission).

Face-to-face contacts made by volunteers supervised by Extension professionals and paraprofessionals must be combined with those of the supervisor and reported annually in the above mentioned format on the APR in UA Vitae. The number of volunteers supervised and their volunteer hours are to be included. The reporting format is:

Volunteer Efforts

It is suggested that the Number of Volunteers and the Total Volunteer Hours be recorded on a monthly basis to assure complete and accurate data for the APR.

The Affirmative Action Officer (AAO) will review information concerning each individual employee's contacts and total contact within each county unit on an annual basis for monitoring purposes. The Director will review statewide data on an annual basis to monitor the overall compliance status.

Annual compliance reviews will be completed for each county by the AAO, and on-site visits will be made to one third of all counties each year. Following the completion of all reviews, and after reviewing relevant monitoring data, the Director will provide a summary/status report to all employees.In addition to these regularly scheduled reviews, follow-up reviews will be conducted in those counties where deficiencies are found. Immediately following each review, the AAO will work closely with county faculty to see that deficiencies are corrected.

In addition, to assure compliance with the federal laws addressed by the Compliance Plan, the AAO will review the annual reports submitted by faculty members and deficiencies will be noted and shared with the Director. Deficiencies will be addressed and corrected in a timely manner.

Notification of FacultyThe University Advisory Committee on Continuing Status annually considers recommendations for continuing status and promotion. It is essential to provide adequate time for the Advisory Committee to conduct its review and to ensure timely notice of action taken in approving or denying recommendations can be given to the Dean's Office and to the candidate.The College will notify annually in the spring all candidates for 3- or 6-year reviews. Prior to this notification the College will confirm records with the Provost's Office and the unit involved. Associate faculty with continuing status will be notified in the fifth year to determine if they would like to be considered for promotion to full rank; a faculty member can request this review at any time.Unit heads must provide each candidate with a copy of the current instructions from the Provost's Office related to the process and preparation of dossiers for continuing status and promotion. See College or Provost guidelines for more information. The guidelines may vary slightly from year to year.

Clock delays may be approved by the Provost if there is a valid reason such as parental leave, illness or other serious circumstances which had a major impact on the candidate's work. Candidates should not hesitate to request a delay whenever there are appropriate circumstances. Requests must be approved by the unit head and are then submitted through the Dean to the Provost for final approval.

An individual, while holding a continuing-eligible appointment at the University of Arizona, may request a one-year "parental delay" of the continuing status decision such that each of the remaining third-year and sixth-year or continuing status reviews will take place one year later than would have occurred without such a delay. Such a delay or connected set of delays will be granted up to twice during the individual's continuing-eligible appointment period, if the appointee becomes a parent by the birth or adoption of a child while holding such a continuing-eligible appointment, and if certain eligibility requirements are met. An individual granted a parental delay shall not be subject to additional scholarship or service requirements above and beyond those normally required to qualify for retention or continuing status. If both spouses hold continuing-eligible appointments at the University, and are otherwise eligible, then both shall be granted a parental delay upon request.

Eligibility requirements for receiving a parental delay include providing a written notice to the unit head as early as possible and in no case later than one year subsequent to the date of birth or adoption of the new child. To be eligible for a delay of the third-year or a continuing-status review, the birth or adoption date must have occurred no later than the summer (or semester) immediately prior to the semester in which the scheduled department-level review is to take place. The request for a delay of a given review must be submitted prior to departmental consideration of the candidate under review. The request for parental delay must be approved by the appropriate unit head or director, dean, and the Provost.

Always check the current guidelines.

Purpose and Composition

The departmental committee will specifically review candidates for promotion or continuing status. Members must have continuing appointment, but do not have to be full rank; however, a member cannot evaluate for promotion someone requesting higher rank. Departmental committees should use annual evaluations of candidates as part of this review. Committee membership may involve non-departmental members where the department is small or has strong ties to another discipline. When it is necessary to have faculty from other departments participating, it is recommended those faculty should have served on their departmental promotion and continuing committee (with service within the last three years). The departmental promotion continuing committees are the correct vehicle for 3-, and 6-year reviews. In addition, the departmental committee can be used for review of candidates who are recommended for continuing appointment upon hiring.Each department, school, and the combined County Extension unit with at least three continuing appointments shall have a standing committee on continuing status. With approval of the unit's members and the Dean, they may wish to combine the tenure and continuing committees, in which case at least one member must hold continuing appointment. If the number of continuing appointment members is less than three and they do not wish to combine tenure and continuing committees, a committee can be established that has members out of the department/school in related fields. The unit's entire P&C committee membership will vote on each review. Members may abstain if a conflict of interest occurs.

Promotion and Continuing Dossier Requirements
The College of Agriculture and Life Sciences has prepared several documents to assist in developing either the 3-, and 6-year reviews or documents for promotion or awarding of continuing appointments.This "special instructions" document addresses activities that are unique to the College of Agriculture and Life Sciences and specifies any recommended formats. The basis for these procedures is the University Handbook of Appointed Personnel and the annual instruction packets from the Provost regarding tenure and continuing appointment. Related documents to read from the College are:

Guidelines & Criteria for Promotion and Tenure/Continuing Status 

Special Instructions for College candidates:Cooperative Extension's Educational Outreach. The greater part of program efforts accomplished by Cooperative Extension professionals will be reported in Section VIB Evaluation of Educational Outreach of the curriculum vitae.

Statement of College of Agriculture and Life Sciences method for FTE assignments. CALS assigns FTE by instruction, research, extension, and/or academic support. Faculty usually either have one or two types of appointments. The rest of the campus does not use this designation and therefore review committees are not accustomed to this approach. It helps to identify the College structure better if your FTE split is indicated. This should be done in the position description.

Each individual to be reviewed is responsible for preparing and submitting to the Department/School/County Extension unit committee a P&C dossier. The candidate's dossier should contain such information as outlined by the annual guidelines published by the University Provost's office. See Provost's guidelines. This information changes to some degree each year, so current guidelines must be acquired (normally available in late spring for the following year reviews). It is extremely important to follow the procedures in these guidelines. In addition, the College has specific guidelines on designing a strong dossier

Responsibility of Unit Head/Director/County Extension Director
Letters from the units' P&C Committee and the Head/Director/CED must be included in the P&C dossier when forwarded to the Dean. The Department/School/County Extension P&C Committee's report should address the candidate's position of stature in the discipline area and represent peer evaluation of scholarly work, extension efforts, and other relevant academic achievements.The letter from the Head/Director/CED should corroborate, refute, and/or supplement information provided by the units' P&C Committee, and should include an independent evaluation of the candidate's value and contributions as a faculty member of the unit. Furthermore, the letter from the Head/Director/CED should specifically identify expected outcomes of a person in the candidate's area related to professional expectations.The Head/Director/CED will have responsibility to monitor the mandatory review requirements of the University and to notify the individuals to be reviewed sufficiently in advance of the actual review time. The notification will include guidelines for organization of materials, appropriate criteria for evaluation, the projected time schedule for completion of the review, and a copy of P&C guidelines for the unit and the College. Until the current year's guidelines are approved and made available, the previous sets of guidelines can be used. The Head/Director/CED must use letterhead with his/her signature on all documents in the dossier prepared by the Head/Director/CED. The Unit Head has the responsibility to select outside evaluators, solicit letters of evaluation from outside evaluators, and document the selection process and the independence of outside evaluators. See the current year Provost guidelines for further details. Unit heads are asked to summarize the method used to select referees and must list the names of all reviewers contacted, whether or not they agree to serve as referees. It is essential that assessments of the candidate's work and professional standing be evaluated by no less than three outside referees independent from the candidate. It is recommended that 3-8 independent letters be sought. Additional letters from collaborators, faculty colleagues or graduate students may be added to the dossier. It is the responsibility of the Head/Director/CED to confirm the dossier follows University and College guidelines.

All P&C materials will be sent to the Office of the Dean by November 1. The Dean's office will then review the contents for completeness and return any dossiers that are incomplete or improperly compiled. The Dean's office will coordinate the reviews with the College P&C committee, provide for Executive Council review, final review by the Dean, and final transmittal to the Provost.

The College promotion and continuing committee will function only for this purpose. Members are not to review dossiers of new hires and are not members of the department promotion and continuing appointment committee. In the event a unit submits a negative 3rd year recommendation, this committee will review the case.

The College shall have a promotion and continuing committee composed of members appointed by the Dean; the Dean will designate the Chair and Vice Chair. Each member shall hold the rank of associate (three or fewer) or full rank and shall have been awarded continuing status. The members shall serve staggered terms of three years and the membership should reflect the ethnic and gender composition of the College.

The College committee will develop a set of operating rules prior to reviewing any dossiers.

Procedures followed in the College of Agriculture and Life Sciences are:

• The College Committee shall consider P&C dossiers after they have been evaluated by the combined Department/School/County Extension unit committees. The administrative unit in which the P&C candidate is employed must provide the College P&C Committee with the criteria upon which faculty in their academic area are to be evaluated. These criteria along with the College criteria shall form the basis of evaluation by the College P&C Committee. The P&C dossiers are sent to the Dean's Office. Upon completion of their work, the College Committee, through the chairperson, submits recommendations to the Dean. The College P&C Committee's report to the Dean should include an assessment of the candidate's scholarly and academic achievements in comparison with other faculty members in the College of similar rank, research/teaching time allocations, and appointment status. Substantial departures from accepted norms must be justified by the committee. After receiving the College Committee's recommendations, the Dean may solicit the recommendations of the Associate Deans. The Associate Deans' evaluations should be in the form of a memorandum to the Dean. The purpose of such evaluations is to provide the Dean with additional insight and information, and will not become a part of the formal record. The Dean forwards the P&C dossiers to the Provost. Each P&C dossier contains the materials received from the department, school, County Extension unit and the College Committee's recommendation, and the Dean's recommendation. Time requirements for submission of materials to the Provost shall be consistent with University guidelines. The Dean's letter to the Provost should reflect the significance which the College administration places on the candidate's performance and future potential as a faculty member and any additional information not previously presented by the College or unit reviews.
• The Dean notifies candidates of his/her recommendation to the Provost .

Unit Heads/Directors/CEDs shall review continuing-eligible individuals as required/authorized by University P&CA policies and procedures.

College of Agriculture and Life Sciences continuing-eligible statement provides information on college-level guidelines for annual and three-year review for continuing eligible faculty.

Three Year Reviews (or as adjusted due to special circumstances - see 5.03 and UHAP, Section 4.10.03)

Purpose of Review
In general, the 3-year review is to provide guidance to the candidate for a successful 6-year review and to provide a means of instructing the candidate in the successful preparation of materials for the subsequent continuing review or as a terminal review if it determines the candidate is not likely to get continuing status at the next review. At the 3-year review, a decision will be made to advise the person in writing: 1) of any problem areas which may preclude the granting of continuing by the 6th year, 2) to confirm that everything is progressing as expected, 3) to recommend non-retention of a person not likely to gain continuing status in the 6th year. Candidates will also receive appropriate feedback at their annual review.

General Procedure
The UHAP, Chapter 4, states that reappointment of continuing-eligible personnel at the end of three years may be made without college or University review, but that the decision for reappointment must be preceded by a formal evaluation (review) by the Head/Director/CED and unit committee on Promotion and Continuing. The reviews should build on the annual performance evaluations required under Board of Regents' policy. The UHAP states that these evaluations shall be expressed in writing, identifying any problem areas which may preclude the granting of continuing status and a copy shall be given to the continuing-eligible professional. It is important that a professional employee receive notice of inadequate performance at the earliest possible point in his/her career

While the UHAP indicates these reviews only require University-level actions or College committee action if the unit head recommends termination, 3-year review will be examined by the Dean.

The 3-year departmental review committee must be the same as for P&C because these types of issues are most relevant for this committee. It should not be done by an administrative peer committee developed for annual evaluations.

These reviews should follow the P&C guidelines where appropriate, except no external evaluations should be sought. The results of annual evaluations should be used in this review. These reviews also follow the time schedule for the promotion and continuing process and are due in the State Extension office by September 7 (and they will forward by November 1 to the Dean's Office). Any recommendations for non-renewal must be forwarded on a timely basis so the results can be reviewed on the same time cycle for promotion and continuing reviews. This minimizes efforts of the departmental committees and in the case of a negative review, allows other committees to review the material in their normal cycle.

Actions for Positive Review
When the administrative unit Head/Director/County Extension unit has completed the 3- or 6-year review, he/she will notify the Dean of his/her recommendation. The dean should be notified in advance of the Head/Director/CED notification to the candidate of the review results. The Dean will notify the Head/Director/CED of concurrence or disagreement with the review. The final letter will be sent to the candidate by the Head/Director with a copy to the Dean. This letter to the candidate must include present title, type of review, reappointment requested (e.g., 4/5/6 year retention or non-retention), and fiscal year in which the next review will occur. It is possible to make a one year reappointment if conditions warrant an earlier than normal next review.

While it is possible for a person to be promoted at the 3-year review, it is rare and should not be considered except in special situations and with prior discussion with the Dean. Similarly, promotion in the 5th year, while less rare, also requires substantial evidence of relevant performance activities.

Non-retention Recommendation
When a unit head/director decides that he or she will recommend non-retention of a professional following the three-year review, a series of steps are to be initiated resulting in the preparation of a packet containing the following elements:

1) an updated curriculum vitae of the professional; 2) annual performance evaluations for all years the candidate has been associated with the University of Arizona as a continuing-eligible professional; 3) detailed critiques, prepared independently by the departmental standing committee and the unit head/director, evaluating the quality of the candidate's contributions in teaching, research and service; and 4) statements prepared by both the departmental standing committee and the unit head/director, describing the likelihood that the candidate would be recommended for continuing status and promotion during the six-year review, given progress to date. These materials combined with all other materials assembled, are to be forwarded by the unit head/director to the dean, and are to serve as the basis for evaluation by the college committee, the dean, the University Advisory Committee, and the Provost. Outside letters are not required.

Appeal Procedure
Candidates for continuing status or promotion and candidates recommended for non-retention following a three-year review may appeal negative decisions to the President upon official notification of such decisions from the Office of the Provost. Such appeals must be filed in writing with the Office of the President within 30 days after notice of the Provost's decision (see UHAP, Section 4.16).

Reasons for Denial of Continuing Status or Promotion
Upon written request, the Provost will provide a written statement of the reasons for denial of continuing status or promotion.

Sixth Year Review
The 6-year (or seven if a parental delay has been utilized) review is the latest a person at the assistant or associate level can be given continuing appointment. This 6-year review may occur in an earlier year (if the candidate has significant credentials); it is only identified as a 6-year review because that is the last year possible for gaining continuing appointment. Candidates may choose to go up earlier if they feel their record merits early consideration. If they are turned down at that time, they may resubmit a dossier in their sixth year.

Continuing-Eligible Associate and Full Rank Faculty
A candidate who comes in at associate rank with a full six years allowed in their letter of offer could go up for continuing status in any year they feel they are ready, not just at the third OR sixth year.

A continuing-eligible full rank person may be recommended for continuing status or for nonrenewal at any time during the first through third year of service. If continuing status is not granted effective the first, second, or third year, the faculty member shall be informed before the end of the third year that he/she is being recommended for: (1) continuing status effective the fourth year; or (2) an appointment as a full rank without continuing for a fourth and terminal year.

Reviews of Continuing Status Associate Ranks
Individuals holding continuing appointment at the associate rank must be asked in writing each six years if they want to submit a request for promotion. If they decide not to be reviewed for promotion, a letter must be sent through the unit head to the Dean. This notification is to be during the 5th year after continuing status is granted.

Candidate Refusal to Submit Material for a Required Review
There may be cases where a candidate decides not to submit an application for a required review. This is especially critical if it occurs in the 6-year review. If a candidate refuses to prepare required review material, the Head/Director/CED should contact the Dean immediately; these reviews are required unless they are changed due to extenuating circumstances. In such an event, the Head/Director/CED must send the candidate a registered letter stating the requirement, and indicating that in absence of materials submitted by the candidate, the head will submit available materials for review; a copy of this letter should be sent to the Dean. In the event a candidate submits a letter of resignation, the above submittals are not required.

Extension Specialists

The Head/Director/CED of the administrative unit appoints the administrative P&CA committee and has responsibility for the process. When specialists are located at an agricultural center, the center's director will provide comment on candidate readiness in a separate letter of evaluation. The administrative unit Head/Director will also write a separate letter of evaluation (paying particular attention to the relationship of the specialist to agents). If the specialist is appointed in two administrative units, each administrative unit will review the candidate, but the lead administrative unit will be the one with greatest budgeted appointment.

Extension Agents

The Associate Director appoints the program P&CA committee consisting of agents. The CED will provide comment on candidate's readiness as well as contribute a separate letter of evaluation for the P&CA dossier.

Area Agents

Area agents are involved in more than one county and, accordingly, have more administrators involved in their evaluation. However, to maintain administrative efficiency, area agents will be evaluated as Extension Agents, except the CED of major budget assignment will become the lead person for the CED role. Other CED's involved with the Area Agent will consult with the lead CED and provide input for letters to be written.

Research Scientists

The discipline administrative unit Head/Director appoints the P&CA committee and has responsibility for process. Where there is a joint appointment as extension specialist, the CED will be consulted, and if the candidate is located at an agricultural center, the agricultural center's director will be consulted.

All P&CA materials will be sent to the Office of the Dean by November 1. That office will then review the contents for completeness and return any dossiers that are incomplete or improperly compiled. The Dean's office will coordinate the reviews with the College P&CA committee, and provide for Executive Council review, final review by the Dean, and finally transmit reviews to the Provost. At the time of transmittal to the Provost, the Dean will notify the responsible administrative unit Head/Director/CED of decisions to recommend or deny P&CA. Two copies of the draft dossier should be submitted at least 30 days early for format checking and recommended changes by the Dean's office.

 See CALS Guidelines and Criteria for Promotion and Continuing Status for Cooperative Extension Personnel and Expanded Guidelines & Criteria for Evaluation, Promotion & Continuing Status, Cooperative Extension Agent.

 The guidelines provided annually by the Provost should be used for structuring the dossier. In addition, there are suggestions developed over the years that enhance the dossier. Where appointments are made jointly with other colleges, the promotion and continuing committees for those colleges will review the candidates as well. The checklist for Shared Appointments must be completed and submitted. The lead college will be the one with the greatest budget allocation for the individual.

 In some cases, units may not have up-to-date position descriptions for faculty positions. A listing of generic position descriptions for continuing status personnel is in Appendix A . There are many activities that may be used in conjunction with the position descriptions in evaluating CALS faculty for promotion or tenure/continuing status.

The ranks of professional personnel are as follows:

• Extension - Assistant Agent, Associate Agent, Agent
• Research - Academic Associate, Research Associate, Assistant Research, Associate Research Scientist, Research Scientist
• Instruction - Lecturer, Lecturer, Assistant Professor, Associate Professor,  Professor

All appointed personnel must submit an Annual Performance Report. This report provides background material for personnel evaluations and summarizes program involvement and accomplishments for administrative use throughout the year. For example, this report and the accompanying evaluation is used for annual performance feedback and personnel development recommendations, background information for considering promotion and continuing appointments and documentation of faculty efforts. The APR for all Extension personnel can be filled out throughout the year via UA Vitae.

The Annual Performance Report (UA Vitae) for all Extension personnel:

• must be completed online and is available throughout the year, and
• is due on or before February 1 each year.

Included in the report is information needed for required Federal statistical reporting. This is a separate sheet with a form listing face-to-face contacts by ethnicity and gender. A total number of volunteers by gender and total number of hours of service must also be reported.

Agents submit a completed APR online to their County Director; the County Director will then submit all APRs for their unit to the Extension Director. Specialists submit a completed APR online to their Unit Head; the Unit Head will then submit all APRs for their unit to the Dean.

Annual evaluations are required by the UHAP for all appointed personnel and require supporting data such as the Annual Performance Report described previously. These evaluations have several purposes including providing guidance for professional development choices (e.g., sabbaticals, professional activities), accessing progress and performance, recognizing special talents and achievements, and identifying weaknesses that should be addressed during the next evaluation period. While they can be used for merit salary increases and associated review purposes, they are intended to be multipurpose

UA Vitae is prescribed by the College to be used by all appointed personnel (teaching, research, specialists, agents, and administrators). A confidential database of APRs is maintained by the State Office.

Annual evaluations also include a component of peer review. This can be done in several ways: use a subcommittee or the unit as a whole for the reviews, use the data submitted in the Annual Performance Report for the basis of comments, and either use the evaluation form provided by the College (or a departmental modification) or make up an entirely new form that addresses relevant activities to be evaluated by peers.

The following documents will assist you in preparing for your evaluation:

• Annual Performance Report Evaluation Criteria (Extension)
• Annual Performance Peer Review Committee Summary (Extension)
• Appointed Personnel Evaluation Form (College)

Results of annual performance evaluations are to be shared with the appointed personnel by May 15 of the year following the evaluation period. The performance period is the calendar year, January 1 to December 30.

There are specific policies of the University related to administrators. These include the need for annual performance evaluations and 5-year reviews for deans and unit heads. The annual performance report and evaluation form for administrators is the same as for all other appointed personnel in the College. See UHAP, Chapter 5, for specific policies and procedures related to administrator reviews and those which cannot be modified by colleges or departments.

Merit salary increases may only be given when the Arizona State Legislature has appropriate funds for such a purpose. The merit salary increase process is frequently confused with annual performance evaluation process. While the annual performance evaluation can provide data for determining any salary increases based on performance (i.e., merit), the annual performance evaluation serves additional important functions (see Annual Performance Evaluation). In addition, there may be additional criteria specific for merit salary increases.

• Merit salary increases must be based on written criteria developed by the administrative unit members . Annual evaluation results can be used for merit criteria if the administrative unit chooses and a translation of the evaluation method to merit is made. Merit evaluations are made at the closest administrative level. It is only in the case of a grievance that a higher administrative level will review the evaluation. For counties, the recommendation for merit salary increases are made by the CED with final approval by the Extension Director. Extension specialists will have merit criteria developed by Cooperative Extension Administration and the administrative unit with due consideration for the roles they play in the counties as well as in the discipline. Agents will have merit criteria developed by County Extension units. The development of merit criteria must have input by the specialists and agents.
• Merit Criteria for research professional personnel will be developed by the department/school, with input from the professional personnel.

Market adjustments are based on competitive needs of the discipline rather than actual job performance, and they are not automatic.

Occasionally equity salary adjustments are necessary to bring education, experience and academic achievement levels in line with similar situated peers. Cooperative Extension Administration conducts an equity study and makes recommendations to the Dean and Executive Council. The Dean forwards the recommendations to the Provost for the final decision.

A vacancy in an Extension position occurs:

• when a letter stating the final date of employment for the purpose of retirement or resignation has been received and approved by the Dean of the College, or
• when a letter of termination stating the final date of employment has been received by the employee from the Dean of the College.

Compensation for all or part of unused annual leave depends upon the availability of funds and justification of the critical nature of completion of the employee's activities before the final date of employment. University of Arizona Cooperative Extension personnel on federal appointment who leave to accept employment at another institution and retain a federal appointment usually are not eligible to transfer unused annual and sick leave. Each institution has its own policy.

The letter of retirement or resignation should reach the Dean of the College as soon as possible and preferably six months prior to the final date of employment. The retirement letter should be addressed to the immediate supervisor and should include the effective date of termination and official title. The statement within the letter should indicate the last day at work and whether earned annual leave is to be used or payment accepted for the unused, earned annual leave. No more than twenty-two (22) days of annual leave may be paid. Some examples are:

• Example 1 - "I resign from my position as County Extension Director, "X" county, effective at the close of business December 31. At that time I will have used all accumulated annual leave."
• Example 2 - "I resign from my position as Extension Specialist, "X", at the end of my current contract, June 30. At that time I expect to have 100 hours of unused annual leave for which I expect payment."
• Example 3 - "I will retire from my position as Extension Agent, Agriculture and Natural Resources, "X" County effective at the end of my current contract, June 30. I request payment for 22 days of unused annual leave at that time."

To accomplish an orderly release, the letters must be routed as shown in the following illustration:

Each supervisor must sign and date the letter of resignation before forwarding to the next administrator. The immediate supervisor will add necessary lines to the original letter for supervisor/administrator approval. If adequate space is lacking on the original letter a separate signature sheet may be added.

Emeritus Status

The title of "Emeritus" for retiring or continuing faculty, regardless of the years of service at the University of Arizona, must be requested in writing to the Provost. The request must be routed through CALS Administrative Services who will secure the approval of the Dean prior to forwarding the request to the Provost.

Notification of Release of Professional Personnel is sent to the employee in a letter from either the Dean of the College or the Director of Cooperative Extension. This letter will indicate the final date of employment and include procedures to be followed by the employee to effect the termination. In cases where grievances may apply the process and procedures described in UHAP, Chapter 6, will be followed.

The payroll representative of the employee in an involuntary or voluntary termination must complete a University of Arizona Termination Report (on line). This completed report must be submitted to Systems Control through CALS Administrative Services. If available, the employee and unit head should sign the termination report. For more information, refer to Dismissal or Suspension-Faculty , Dismissal or Suspension-Professional, or Removal, Dismissal and Suspension - Administrative

The UA Associate Vice-President for Research has responsibility for coordination and staffing an Institutional Review Committee and an Ethics Committee. The charge of these committees is to review perceived and actual conflicts of interest.

The College of Agriculture and Life Sciences policy adheres to that of the University. It requires the approval of outside consulting before it is undertaken. Faculty should use the Notice of Intent to Consult form when seeking this approval.

The College makes use of this form in reporting to University administration the information required as noted above in Section 5.09.01. In addition, annually and prior to November 1, each employee must indicate in writing to their supervisor whether or not they are involved in outside consulting in any of its forms. Each department or unit head must then file annually by November 1 with the Vice Dean and Director of the Experiment Station a single letter indicating that "the undersigned individuals have no consulting or outside employment." These letters will then be forwarded to the office of the Vice President for Research and Graduate Studies.

The College of Agriculture and Life Sciences policy is as follows:

Consulting by appointed personnel is allowed by UHAP, Section 2.06.06; however, these guidelines are broad and do not specify allowable times or exclusionary consulting activities. The first three entries below are University level issues; the last three are specific to College of Agriculture and Life Sciences extension personnel:

• It does not interfere with employee's regular work.
• Prior written approval is obtained by the Head/SD/CEAD and Dean.
• Written records must be kept and reported annually to the Dean, who will report to the Provost, for all consulting activity paid or unpaid for the calendar year.
• Consulting in the same specialty areas as the employee's assigned duties for a fee could constitute favored treatment to some clientele for outside pay or benefit while denying similar treatment to other clientele. Therefore, any situations where this could be an issue should be discussed with the Director of Cooperative Extension.
• Consulting for a fee might create a perception that extension employees are not supporting the clientele needs they would normally serve, thereby limiting the employee's performance.
• Consulting should be performed outside Arizona and be approved as consulting time or vacation.

Outside work by faculty is permitted by university and college policy when it does not conflict with university employment. In-state consulting for Cooperative Extension faculty is considered a conflict of commitment and interest.

Within Cooperative Extension, consulting for a fee in the same specialty areas as the employee's assigned duties could constitute favored treatment to some clientele for outside pay or benefit while denying similar treatment to other clientele. Consulting for a fee also might create a perception that Cooperative Extension employees are not supporting the clientele needs they would normally serve, thereby limiting the employee's performance.

Any consulting done should be performed outside the State of Arizona and be pre-approved as consulting time or annual leave.

NIFA Conflict of Interest Policy Guidelines

The 1990 Farm Bill amended the Smith-Lever Act by inserting after the second sentence of section 4 the following:

"The Secretary shall ensure that each college seeking to receive funds under this Act has in place appropriate guidelines, as determined by the Secretary, to minimize actual or potential conflicts of interest among employees of such college whose salaries are funded in whole or in part with such funds.

" The nature of Cooperative Extension work requires considerable public contact. The Cooperative Extension System is proud of the contributions it is making. The impression of the Cooperative Extension System is in the hands of each Cooperative Extension employee. Courteous, efficient and effective interaction with the public is important in gaining trust and support. It is also important that Cooperative Extension employees represent the best of their abilities and tap other valuable resources as appropriate. It is hoped that Cooperative Extension employees will take pride in their contributions as well as in the contributions of other extension employees to the system and that they will share their knowledge, skills and enthusiasm with the clientele it serves.

The public views Cooperative Extension staff and volunteers as educators who represent the outreach component of their land-grant college/university. Cooperative Extension systems should avoid situations which question its public trust and those that create a conflict of interest.

Each publication prepared by Cooperative Extension and distributed to the public must contain the following disclaimer:

"ANY PRODUCTS, SERVICES, OR ORGANIZATIONS THAT ARE MENTIONED, SHOWN, OR INDIRECTLY IMPLIED IN THIS PUBLICATION* DO NOT IMPLY ENDORSEMENT BY THE UNIVERSITY OF ARIZONA"*

Replace the word PUBLICATION with other appropriate terms, such as video program, computer program, or other college products.

Faculty seeking an advanced degree may pursue one by:

• Taking short term educational leave, not exceeding five weeks, to attend one summer session of credit course work at an institution of higher education.
• Enrolling for a credit course each semester while fulfilling the responsibilities of paid employment.

Arizona Cooperative Extension will facilitate leave for these educational opportunities with the following requirements:

• There is approval by County Extension Director and/or Department Head/School Director with consideration given to program needs and commitment at the county and state level.
• Any requested leave will require documented proof of commitment to maintain the ongoing programs for which the individual is responsible during his or her absence.

Arizona Cooperative Extension will not fund tuition or other incidental educational expenses. Short term educational leave may be taken at full pay with appropriate administrative approval. Long term educational leave may be taken at partial pay with appropriate administrative approval.

The procedure to follow is to submit a descriptive, written application for all study leaves for approval, in writing, to the immediate supervisor and the Director of Cooperative Extension. Such applications must conform to University guidelines. Faculty living in a remote location may be hindered in easily pursuing credit course work by lack of easy accessibility to a University. Special arrangements will be made to facilitate opportunities for such faculty.

Employees with continuing status may be granted leave without pay for a period of up to one year in order to obtain additional education and training. They may subsequently request an extension for up to a full second year. Leave without pay for educational purposes must be authorized by the Extension Director and Provost. Such leave will be authorized only when in the best interest of the University.

Higher administrative officers and faculty members with rank of assistant professor or higher may not pursue advanced degrees at this University. Any University of Arizona Cooperative Extension employee, with the rank of assistant agent or higher, may seek admission to any graduate program at this University only with the approval of the Extension Director and the Provost.

Sabbatical Leaves

The University of Arizona policies and procedures related to sabbatical leaves can be found in UHAP 8.03.02.

Some special things to note:

• Unit heads are expected to incorporate projected sabbatical leaves in planning for faculty responsibilities.
• To apply for sabbatical leave you must use the Application for Sabbatical Leave form available on the Vice Provost for Academic Affairs website.
• Any candidate whose application has been denied has the right of appeal. The appeals process is described in the "Instructions on Application for Sabbatical Leave." Sabbatical accomplishments are to be reported in two parts as outlined in the "Instructions on Application for Sabbatical Leave."
• Any faculty member in the College of Agriculture and Life Sciences who defers an approved sabbatical leave to accommodate instructional staffing needs of the unit may apply to the unit administrator and to the dean for a waiver of the University regulations prohibiting counting the period of the delay towards the next sabbatical. On recommendation of the unit administrator, the dean may grant such a waiver if doing so is in the best interests of the University. (Thus for example, a faculty member who is approved to take a sabbatical in 2005-06, but who defers the sabbatical until 2006-07 to accommodate instructional needs and receives such a waiver, would continue to be eligible to take a sabbatical in 2011-2012.) Application by a faculty member for such a waiver may only be denied by the dean.
• For purposes of this policy, a sabbatical proposal qualifies as "approved" if it is approved by the dean, or if it is conditionally approved by the dean, subject to the unit's ability to meet instructional needs. Candidates and unit administrators who foresee the likelihood of wanting to take advantage of this policy may forward sabbatical applications requesting such conditional approval.
• A maximum of one year of such a delay may be counted towards the next sabbatical. Only faculty who have received approval for a proposed sabbatical are eligible for this waiver. In such cases the faculty member may also apply to the dean (without further peer review of the content of the proposal) to defer the approved sabbatical for a maximum of one year. However, if the project on which the faculty member proposed to work during the original sabbatical changes, a new sabbatical proposal must be submitted and reviewed by the normal process.
• Sabbaticals that are deferred for other reasons will continue to be governed by UHAP, Sections 8.03.02.
• An employee may not earn paid annual leave during a sabbatical leave. Sick leave may accrue during a sabbatical.

TImetable for Cooperative Extension Faculty

On or before October 1, county Extension faculty interested in applying for a sabbatical leave to be approved during the following annual year must submit an informal written request to the County Extension Director. This letter should briefly state the proposed sabbatical activity and suggestions as to how his or her assigned duties and responsibilities will be met during the sabbatical leave.

If the request is approved by the County Director, it must be so noted and forwarded by the CED to reach the Director of Extension by November 1.

CatCard and ISO# Requests (employee self service)

How to Obtain a CatCard When Working Remotely

Visit https://myphoto.catcard.arizona.edu/ 

Select “Get Started Now!”

Log in with your NetID and password

You will enter your EMPLID in the Student ID area

Follow through the instructions for completing the form and uploading your photo and ID.

Once submitted a confirmation email will automatically be sent to your inbox.

Your Cat Card will be mailed to the mailing address on file through UAccess.
(you can check the status of your request on their website as well)

If you have any questions you can contact the CatCard Team at OnlineCatCard@fso.arizona.edu or (520) 621-9162

If you work on campus visit the Cat Card office in person.
Office location can be found at http://catcard.arizona.edu/

How to Obtain an ISO# (CatCard #) Only (no physical card issued)

Visit http://catcard.arizona.edu/office/e-mail

Complete the E-mail Form.

Once your request is submitted online, the CatCard office will email you an ISO#.

If you have any questions you can contact the CatCard Team at OnlineCatCard@fso.arizona.edu or (520) 621-9162

CatCard Contacts
Shanda Cline shandacline@email.arizona.edu
Danielle Hunt danielle@email.arizona.edu
Matt Stevenson mzsteven@email.arizona.edu

Contact your departmental payroll representative for information.

Professional association fees (according to the UA FSO Policy & Procedures #910) can be paid from State and Local accounts. It states: 'Dues are only allowable for professional organizations in which the University derives a business benefit from the institutional or individual membership. The organization's membership must be restricted to a particular occupational interest group or academic discipline and whose purpose is generally to provide a common association for its members (e.g. AMA, ASCE, ASA). Dues for social service organizations, political action committees, or lobbying organizations are not allowable from any funds. Some organizations identify an option to add donations or contributions to political action committees to the base dues. These charges are not allowable; only the base dues will be paid.' Faculty are encouraged to not use State accounts for professional organization dues since those accounts have more immediate needs that other accounts cannot cover.

Faculty may request within the fiscal year from Extension Administration funding for Professional Development travel. Requests must be approved by the Unit Head and Associate Director.

The Employee Assistance Service provides assistance to eligible University employees with personal problems that may interfere with job performance through UA Life & Work Connections in areas such as child care, elder care, employee assistance, work/life support and worksite wellness.

The Accompanying Partner Employment Program at the University of Arizona offers assistance to relocating partners of newly hired administrators, faculty, academic professionals and classified staff at the University in their search for positions for which they qualify. These may be within or outside of the University.

Contact for this assistance may be initiated by either the hiring department or the accompanying partner and can begin prior to relocation if needed. For further information contact Human Resources (626-4692).

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:

• 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:

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:

• 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.

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.

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.

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.

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.
    
    

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.

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.

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

Submit Professional Travel Funding Request

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.

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.

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)

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.

Signature Program Team (SPT) Criteria and Purpose

SPTs create synergy among faculty, help us identify statewide and county-level program goals and priorities, plan Extension programs, share resources, and engage stakeholders.

The purpose of a SPT is:

• Address one or more Signature Program Areas or Community Development
• Produce a product demonstrating program impacts, such as a poster, display or exhibit at a college or university event; Extension publication, workshop, app, website or social media
• Enhance communication and collaboration among campus units and county offices

Signature Program Teams should have regular meetings, ether virtual or in person, to develop inputs and outputs. Participation from at least 3 counties and campus/Experiment Station faculty is required. Campus partners need not have an Extension appointment. See Signature Program Areas  Please see the second page of this document for details on how to develop and submit a SPT proposal. Maximum funds of up to $2,000 per SPT. An annual SPT progress report is due at the end of the year and should be submitted no later than January 15, 2018.

Cooperative Extension Agriculture & Natural Resources SPT Funding Proposal

Proposal Requirements and Submission Format:
Submit proposal as a Word document using the following format based on the Logic Model for Program Development and Assessment.
Maximum of 5 page proposal narrative including a budget and budget narrative.

1. Title
   Principal Leader/Contact
2. Situation
   Problem or Need
   Goal(s) and Objective(s)
3. Inputs
   Project Leaders and Team Members
   Counties/Departments involved
   Collaborators
4. Outputs
   Activities - what will be done
   Participation - who will be reached
5. Expected Impacts
6. Plan for Communicating Program Impacts
7. Budget and narrative

Proposals should be emailed to pbrown@ag.arizona.edu

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.

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.

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.

Updated 8/6/14

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 assigned Associate Editor’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:

• AUTHORSHIP

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 Extension Publications Editor (EPE).  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 an author.

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.

• SUBMISSION

Author will submit their publication to the FastTrack review website where s/he will enter the data, including proposed reviewers (with email addresses).  If the author does not have a username and password for the FastTrack site, contact the EPE.

EPE contacts the appropriate Associate Editor to start the review process.

• REVIEWS AND DISTRIBUTION

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
Editor directly.)

After reading the reviewer’s comments, Associate Editor either accepts or rejects publication via FastTrack.  The FastTrack system will automatically forward an email notifying the author of the decision.  The email will include reviewer’s comments.

If accepted, the 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.  This is NOT done through the FastTrack system but rather through normal email.

The Associate Editor reviews final draft and if acceptable, forwards all material to the EPE via email. The EPE will follow up with the Associate Editor via email. Authors may appeal an Associate Editor's decision directly to the EPE.

The EPE sends the publication to the Pesticide Information and Training Office (PITO) for approval if necessary. PITO reviews the publication and returns to EPE for final approval via email.

If rejected, the author may have the opportunity to resubmit.  This decision will be made by the Associate Editor.

The publication must be available electronically to CALS CCT for distribution and archival purposes.

CALS has the right to distribute the publication even if another source is also distributing the
publication.

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, CALS CCT 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 EPE gives final approval for publication and distribution to the CALS CCT.

• PUBLICATION

Once approved by the EPE, the final draft will be sent to CALS CCT by the EPE.  At that time, an email will be sent to the author requesting the publication be added to the CALS online publication system.  To add your publication, follow the directions below:

1. Go to https://legacy.extension.arizona.edu/user (if you are new to the system, you may need permission to access the site.  Contact the Extension Publications Editor if you have questions.
2. Move your cursor to the “Add content” button in the upper left hand corner, on the solid black line next to the house icon.
3. Click on “Extension Publication”.
4. Fill in the Title, Author (to add an author click on “Add Another” Item).  Author should be Last Name, First Name.
5. If you don’t have an abstract, please enter a short description of the publication. 
6. If this is a revision, after you have entered a short description or abstract (step 5 above), please write “Revised YY/20XX.  Originally published YY/20XX" (see example below).
   Food allergies are on the rise and as a result more people are becoming in tune with this very important issue. A true food allergy, sometimes called a food hypersensitivity, causes the body to produce an immune reaction in response to eating a certain food. Recent studies show that almost 1 in 20 children under the age of five years of age and nearly 1 in 25 adults have an allergy to at least one food. Allergies are often inherited and most oftentimes diagnosed early in life.
   Revised 11/2012. Originally published: 06/2006.
7. Identify the language
8. Enter names of contributors (if you have any).  This has also included the academic department in the past.
9. Enter other publications that may be related to this one.  Be sure to enter the AZ numbers.
10. Enter keywords (these will be used in addition to the title and authors for our search function)
11. Click on the Subject Categories that pertinent to the publication (you can check more than one)
12. Select the Type - for most publications, this will include Text.  Also select Pamphlet for short publications or Book if appropriate.  Select Video if this publication is released only as a video (e.g., on YouTube)
13. Don’t fill out the pink area, scroll down and hit SAVE!

    After the publication has been added, CALS CCT contacts the lead author and sends a galley proof for the author’s approval.  This will be the author’s last opportunity to make any changes before publication.

• POST-PUBLICATION

The publication is published in the online publication system and the URL is sent to the author and Extension.

Cooperative Extension announces Web version.

• FOLLOW-UP

EPE initiates a review every two to five years (depending upon publication’s content) for content accuracy and relevance.

Corresponding/first authors who are current employees are encouraged to update their original
publications.

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 EPE.

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.

UA Web Development Policies & Guidelines

General Extension Policy for Web Sites (including blogs)

• For all Cooperative Extension sites, the UA banner including the UA banner logo and the words "Cooperative Extension" or the Extension logo, must occur at the top of the front/main page. Provide a link to the main UA, CALS, and Cooperative Extension pages.
• Copyright issues - no posting of copy written material (including graphics) that is not your own without permission (unless you just link to it).
• The normal disclaimers and privacy statement that go on all publications must be included in the page footer.

Issued in furtherance of Cooperative Extension work, acts of May 8 and June 30, 1914, in cooperation with the U.S. Department of Agriculture, Jeffrey C. Silvertooth, Associate Dean & Director, Economic Development & 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.

• An Arizona Board of Regents (ABOR) copyright statement must be included in the page footer: "All contents copyright © 2011. Arizona Board of Regents" or similar. Only ABOR holds the copyright to UA Web pages.
• Only information blogs are allowed (open commenting on University sites may result in liability issues).

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).

• A virtual domain name for a site on the College of Agriculture and Life Sciences main server is a site name that does not start with either cals.arizona.edu or ag.arizona.edu. If you wish to request a virtual domain name on the CALS server, your program must demonstrate significant funding from sources outside of the University of Arizona. If your program meets this requirement, it will then be reviewed and approved by the Cooperative Extension Director or designate. You must also meet the CALS virtual domain requirements.
• New Cooperative Extension sites using Drupal must either be within the new Extension domain (i.e., legacy.extension.arizona.edu) or must be a subsite of the Extension Drupal multisite (e.g., newsite.legacy.extension.arizona.edu). The decision as to which option to go with will be a joint one on the part of the site developers and the Cooperative Extension State Office Web team (contact information below). Drupal Web Site Coordination New Extension sites created in Drupal must be coordinated with the Extension Web team to best use resources. An Extension Drupal Site Work plan (guidelines in development) should be followed.
• Web Site Contact Information
  • Dominic Rodriguez, Coordinator, Operations (drodriguez1@email.arizona.edu (link sends e-mail))
  • CCT Web and Mobile Development: may be contacted at webdev@cals.arizona.edu (link sends e-mail).

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:

• Intellectual Property Policy FAQs - The University of Arizona Intellectual Property Policy explains, supplements, and implements the Arizona Board of Regents (ABOR) Intellectual Property Policy for the University of Arizona. The ABOR IP Policy establishes the basic rights and obligations relating to Intellectual Property created by employees, students, and others connected to the University, provides an explanation of some of the key aspects of the ABOR IP Policy, and also provides additional detail  regarding Intellectual Property creation, ownership, disposition, and transfer at the University.
• UALibraries - Understanding Copyright
• UA Web Resources provides information about copyright and the web
• U.S. Copyright Office, Library of Congress provides complete information.

University of Arizona Electronic Mail Policy

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 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):

Issued in furtherance of Cooperative Extension work, acts of May 8 and June 30, 1914, in cooperation with the U.S. Department of Agriculture, Jeff Silverstooth, 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 promocion del trabajo de la Extension Cooperativa, leyes del 8 de mayo y 30 de junio de 1914, en colaboracion con el Departamento de Agricultura de los Estados Unidos, Jeff Silvertooth, Director, Extension Cooperativa, Facultad de Agricultura y Ciencias de la Vida, Universidad de Arizona. La Universidad de Arizona es una institucion de oportunidades iguales y accion afirmativa. La Universidad no discrimina, en sus programas y actividades, por razones de raza, color, religion, sexo, nacionalidad de origen, edad, discapacidad, condicion 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).

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

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.

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:
On-Campus Example                                            Off-Campus Example
John Doe                                                                Jane Doe
Plant Sciences                                                       Cochise County Cooperative Extension
The University of Arizona                                       The University of Arizona
Forbes 303 / PO Box 210036                                450 S Haskell Ave
Tucson AZ 85721-0036                                          Willcox AZ 85643-2790

• 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:

  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.
   

• 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.

• 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.

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."

Since January 1, 1995, regulations require employers to conduct drug and alcohol testing of employees who are required to have a Commercial Driver's License (CDL) as part of their job. These regulations were issued by the Federal Highway Administration, under the authority of the Omnibus Transportation Employee Testing Act of 1991. Risk Management and Safety is coordinating the university's program to comply with these new requirements as part of its overall occupational medical surveillance program. Drug and alcohol testing of CDL employees are now required for each of the following:

• Pre-employment: Testing must be completed before allowing a new employee to drive or perform a safety sensitive function. Post-accident: CDL drivers involved in vehicle accidents must be tested as soon as practicable after an accident. Reasonable suspicion: Supervisors are required by the regulation to refer an employee for testing if they suspect drug or alcohol impairment. Random testing: At least 25% of the university's CDL drivers must be randomly tested for alcohol and 50% tested for drug use at least once per year. Individual departments may elect to exceed these minimum levels.
• Return-To-Duty and Follow-up: Any employee removed from driving as a result of a failed test must pass a repeat test if they return to duty.

 Any department hiring or creating a CDL position must contact Risk Management at 520-621-1790 to arrange for the required Department of Transportation medical exam and drug/alcohol testing. Risk Management and Safety is funding program costs at this time.

High Occupancy Vehicle (HOV) 

Training Mandatory training is required for all drivers (faculty, staff and students) of High Occupancy Vehicles (HOVs), including suburbans or vans, for the University of Arizona. A class schedule and registration information is available through the above link.

Insurance Coverage for State Vehicles

Arizona law requires the owners of personally owned vehicles to carry an insurance card in the vehicle showing evidence that the owner of the vehicle is financially responsible. University vehicles do not have insurance cards and are exempt from this requirement

As the University of Arizona is an agency of the State of Arizona, University vehicles are exempt from and do not carry evidence of financial responsibility. If asked about the University's insurance, say that the University is self-insured and exempt per ARS Sec.Sec.28-4003 from needing evidence of insurance as a State of Arizona owned vehicle.